COMP 323: Research Administration for Scientists Introduction and Overview History of Research Funding in US Overview of Federal Budget Process Overview

COMP 323: Research Administration for Scientists

• Introduction and Overview

• History of Research Funding in US

• Overview of Federal Budget Process

• Overview of Federal Research Budget

January 18, 2006

Email: [email protected]

Web page: http://www.cs.unc.edu/~quigg/

When did the

federal government

become involved

in funding

university research?

• Before WWII

History: External Support for University Research in U.S.

• Mainly internal sources

Agriculture• Notable exception –

• Morrill Act of 1862: Land-Grant Colleges

• 30,000 acres of federal land/congressional representative to each State


• Sold to provide a perpetual endowment fund for:

• “at least one college where the leading object shall be, without excluding other scientific and

classical studies and including military tactics, to teach such branches of learning as are related to agriculture and the mechanic arts…”

• Kentucky (50¢/acre) – Cornell ($5.50/acre)

History: External Support for University Research in U.S.• Second Morrill Act of 1890

• In order to get $, State had to show that race was not a criterion for admission to land-grant

institution or

• Designate a separate land-grant college for blacks

• “1890 land-grants” created all over the then-segregated South


• Hatch Act of 1887: Agriculture Experiment Station

• Annual appropriation – State match required

• Smith-Lever Act of 1914: Cooperative Extension Service

• Annual appropriation – State match required

• During WWII


• University scientists mobilized to apply expertise to war effort

• National Defense Research Council

• Formed by FDR in June, 1940

• Forum for bringing university/industry/ government scientists together

• 18 month “head-start” on Pearl Harbor


• Office of Scientific Research and Defense (OSRD)

• May 1941

• Dr. Vannevar Bush, Director

• Mission “to explore a possible government role to

encourage future scientific progress.”

• Civilian, not military, control


• OSRD contracted work to other institutions

• Carnegie Institute of Technology – Large Rocket Lab

• MIT – Radiation Lab

• Western Electric and Bell Labs – Sound Amplification

• Emphasis on concentrated, massive rapid development

• Production from model to field e.g., Japanese torpedo jammer developed in one week


• Three critical secret projects pivotal to allied victory in WWII

• Atomic bomb (Manhattan project)

• Radar

• 1935 – NRL – ship radar

• 1942 – MIT – high-frequency, narrow-beam, high-resolution

• Manufactured by Sperry, Westinghouse, Philco (for aircraft)


• Prior to WWII – timed fuze or contact fuze

• Neither effective against highly maneuverable airplanes

• Section T – Applied Physics Lab at Johns Hopkins University assigned task of developing proximity

fuze for Navy’s 5” guns

• Proximity (variable time) fuze


• Fuze contains miniature radio transmitter-receiver

• Sends out signal

• When signal reflected back from target reaches a certain frequency (caused by proximity to target) a circuit closes firing a small charge which detonates projectile

• Theory


• Components – tiny glass vacuum tubes

• Force of 20,000 g’s when fired (2800 ft./sec. muzzle velocity)

• 25,000 revolutions/minute through rifling grooves

• Moisture

• Self-destruct feature for dudes

• Problems


• Importance to war effort

• James V. Forrestal, Secretary of the Navy said, “The proximity fuze has helped me blaze the trail to Japan. Without the protection this ingenious device has given the surface ships of the fleet, our westward push could not have been so swift and the cost in men and ships would have been immeasurably greater”

• Prime Minister, Winston S. Churchill was quoted with “These so-called proximity fuzes, made in the United States.., proved potent against the small unmanned aircraft (V-1) with which we were assailed in 1944.”

• And Commanding General of the Third Army, George S. Patton said, “The funny fuze won the Battle of the Bulge for us. I think that when all armies get this shell we will have to devise some new method of warfare.”


• Bush’s final report The Endless Frontier

• Two principles for expanding R & D in U.S. Universities

• Federal government as patron of science

• Government support should ensure a free rein of investigation by scientists into topics and methods of their choice


• This report lead to the establishment of National Science Foundation (NSF) in 1950

• Independent government agency

• National Science Board

• 24 members plus director

• Appointed by President

Overview of Federal Budget Process

Executive Office of the President (EXOP)White House Office

Office of Management & Budget

(OMB)

Office of the Vice President

(OVP)

National Security Council (NSC)

President’s Foreign Intelligence Advisory

Board (PFIAB)

Office of Policy Development

(OPD)

Council ofEconomic Advisors

(CEA)

Council ofEnvironmental Quality

(CEQ)

US Trade Representative

(USTR)

Office of Administration

(OA)

Office of National Drug Control Policy

(ONDCP)

Office of Science & Technology Policy

(OSTP)Mix of detailees, career, political

Political

Primarily career staff

The Budget Process

Department of Energy

ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Guidance

The Budget Process


ScienceFossil

EnergyNNSA

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Budget Request

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Budget Request

Passback

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Budget Request

Appeal

Passback

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

President’s

Budget Request

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

•Budget Resolution

•302(b) Allocation

•Subcommittee Markup

•Committee Markup

•Floor Vote

•Conference

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

•Budget Resolution

•302(b) Allocation

•Subcommittee Markup

•Committee Markup

•Floor Vote

•Conference

Hearings

SAPs

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

Bills

The Budget Process


ScienceFossil

EnergyNNSA

White House

OMB

Congress

House Senate

Approps Approps

Apportionment

$

The DOE/SC Budget CycleThe DOE/SC Budget Cycle

O N D J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J A S

CURRENT YEAR(FY 1999)

Monthly AFP Changes

CURRENT YEAR + 1(FY 2000)

OMB Budget Preparation

Congressional Bud Prep

Budget Delivered to Congress

Congressional Hearings, ...

Congressional Appropriation

Initial AFP

Monthly AFP Changes

CURRENT YEAR + 2(FY 2001)

Issuance of Unicall

FTPs Received

CRB Preparation

OMB Budget Preparation

Congressional Bud Prep

Budget Delivered to Congress

Congressional Hearings, ...

Congressional Appropriation

Initial AFP

Monthly AFP Changes

FY 1999 FY 2000 FY 2001

Overview of Federal Budget

Government Spending as a Share of GDP, 2000

Between 1966 and 1999, spending on Social Security, Medicare and Medicaid, and interest as a percentage of GDP grew, while spending on defense fell.

Outlays as a Percent of GDP

Total Government Surplus or Deficit as a Percent of GDP

The National Debt

Is

$8.1 Trillion!

U.S. NATIONAL DEBT CLOCK The Outstanding Public Debt as of 17

Jan 2006 at 06:35:53 PM GMT is:

The estimated population of the United States is 298,275,804

so each citizen's share of this debt is $27,431.22.

Composition of Federal Revenues

The Federal Government Dollar--Where It Goes

SOURCE: Science and Engineering Indicators -2004

National R&D funding, by source

Historical R&D Priorities(obligations, in 1996 constant dollars)

Source: National Science Foundation

-5%

0%

5%

10%

15%

20%

25%

30%

1962 - 1968 1973 - 1979 1979 - 1985 1995 - 2001

Ave

rag

e A

nn

ual

Incr

ease

s

Space

Energy

Health

DefenseAllOthers

AllOthers

AllOthers

AllOthers

$48

$23

$9

$7

$3

$2

$1

$4

Defense HHS NASA Energy

NSF USDA Commerce Other

FY 2002 Proposed R&D Budget ($98 Billion BA*)

*Total includes additions resulting from Defense Budget Amendment

05p2

actrnd03

aclifp03

Earmarks to Universities & CollegesIncreasing and Undermining Competitive,

Merit-Based Efforts in Some Fields

Source: Chronicle of Higher Education

0

400

800

1,200

1996 1997 1998 1999 2000

Mil

lio

ns

of

No

min

al

Do

lla

rs

Further Information

• OMB website

www.whitehouse.gov/omb

• President’s budget

w3.access.gpo.gov/usbudget • AAAS Science & Policy Programs

www.aaas.org/spp/• DOE’s Office of Science

www.er.doe.gov• NSF Science Resources Studies

www.nsf.gov/sbe/srs/fedfunds/start.htm

05pf1

Awards in Millions at UNC-CH

$0

$100

$200

$300

$400

$500

$600

$700

Sponsored awards vs state appropriations at UNC-CH

$0

$50

$100

$150

$200

$250

$300

$350

$400

$450

$500

$550

$600

(in Millions)

State Appropriations

Sponsored Research Awards

Research Dollars vs Staffing at UNC-CH

$0

$100

$200

$300

$400

$500

$600

$700

FY 97 FY 98 FY 99 FY 00 FY 01 FY 02 FY 03 FY 04

RESEARCH DOLLARS in Millions

0

20

40

60

80

100

STAFFING

Research Dollars

Staffing

Remember:“There is no law that requires you to take money from the government to support your researchbut once you do, there are many laws you must follow!”

The Golden Rule: He who has the gold, makes the rules!

Reading Assignments for Next Week:

The Art of Grantsmanship by Jacob Kraicer

http://www.utoronto.ca/cip/sa_ArtGt.pdf

Zen in the Art of Grantsmanship

http://www.mindspring.com/~bozartmt/zen_in.html

Documents

COMP 323: Research Administration for Scientists Introduction and Overview History of Research Funding in US Overview of Federal Budget Process Overview