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An OMB Perspective on Federal Funding of Research Michael Holland Program Examiner Office of Management & Budget Outline Who or What is OMB? The Federal Budget and US R&D: the “Big Picture” The Budget Process Future Issues

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an omb perspective on federal funding of research

An OMB Perspective on Federal Funding of Research

Michael Holland

Program Examiner

Office of Management & Budget

slide3

Outline

  • Who or What is OMB?
  • The Federal Budget and US R&D: the “Big Picture”
  • The Budget Process
  • Future Issues
slide4

“One of the interesting things about OMB is that it is unexplainable to everyone who lives outside of the Beltway and misunderstood by nearly everyone who lives inside the Beltway.”

Paul O'Neill,

Former Deputy Director, OMB

Current Secretary of Treasury

slide5

The Mission of OMB

  • OMB serves the Presidency as the primary agency for leading the coordination of policy development in the Executive Branch and for ensuring consistency, efficiency, and effectiveness in policy implementation.
    • OMB prepares the President’s Budget
    • OMB provides oversight of financial management, procurement, and information technology policies
    • OMB reviews and clears proposed legislation, regulations, and executive orders
    • OMB ensures continuity of these functions during the transition to new Presidential Administrations
slide6

Executive Office of the President (EXOP)

White House Office

Office of

Management & Budget

(OMB)

Office of the

Vice President

(OVP)

President’s Foreign Intelligence Advisory Board (PFIAB)

US Trade Representative

(USTR)

Office of

Policy Development

(OPD)

National Security Council (NSC)

Office of

Administration

(OA)

Council of

Economic Advisors

(CEA)

Office of National Drug Control Policy (ONDCP)

Primarily career staff

Council of

Environmental Quality

(CEQ)

Office of Science & Technology Policy (OSTP)

Political

Mix of detailees, career, political

slide7

SUPPORT OFFICES

STATUTORY OFFICES

General Counsel

Legislative Affairs

Communications

Administration

Economic Policy

Legislative Reference

Budget Review

Office of Federal Financial Management (OFFM)

Office of Federal Procurement Policy (OFPP)

Office of Information & Regulatory Affairs (OIRA)

Office of Management & Budget

DIRECTOR

Deputy Director

Deputy Director for Management

Executive Associate Director

Resource Management Offices (RMOs)

Natural Resource Programs

National Security Programs

Human Resource

Programs

General Government

Programs

  • ENERGY, SCIENCE & WATER
  • Energy
  • Science & Space
  • Water & Power
  • NATURAL RESOURCES
  • Agriculture
  • Environment
  • Interior
  • INT’L AFFAIRS
  • State/USAI
  • Economic Affairs
  • NATIONAL SECURITY
  • C4 Intelligence
  • Ops & Support
  • Force Structure & Investment
  • VA
  • HEALTH
  • Health Financing
  • Public Health
  • HHS Branch

EDUCATION & HR

  • Education
  • Income Maintenance
  • Labor
  • Personnel Policy
  • TRANSPORTATION, COMMERCE, JUSTICE & SERVICES
  • Transportation
  • Commerce
  • Justice/GSA
  • HOUSING, TREASURY & FINANCE
  • Financial Institutions
  • Treasury
  • Housing
slide8

SUPPORT OFFICES

STATUTORY OFFICES

Office of Management & Budget

DIRECTOR

Resource Management Offices (RMOs)

Natural Resource Programs

National Security Programs

Human Resource

Programs

General Government

Programs

DOE, NSF

NASA, USDA

USGS, EPA

Smithsonian

DOD

VA

NIH

Ed

NIST

NOAA

DOT

slide9

Outline

  • Who or What is OMB?
  • The Federal Budget and US R&D: the “Big Picture”
  • The Budget Process
  • Future Issues
slide12

FY 2002 Proposed Budget ($2.0 Trillion OL)

R&D = 14% of discretionary spending

increased u s r d spending is due mostly to private sector cumulative new money 1993 1999

80

60

89%

Non-Federal

40

Billions of Nominal Dollars

Federal

20

64%

94%

11%

36%

0

All R&D

Basic Research

Applied Research

Source: National Science Foundation

Increased U.S. R&D Spending Is Due Mostly to Private Sector(Cumulative “New Money,” 1993-1999)
slide16

FY 2002 Proposed R&D Budget

($98 Billion BA*)

*Total includes additions resulting from Defense Budget Amendment

r d balance in addition to life sciences some other disciplines have done well

175

Mathematics and

Computer Sciences

150

Environmental

Sciences

Factors of Constant FY 1992 Dollars

125

Life Sciences

100

Physical Sciences

75

1992

1993

1994

1995

1996

1997

1998

1999

R&D BalanceIn Addition to Life Sciences, Some Other Disciplines Have Done Well
historical r d priorities obligations in 1996 constant dollars

30%

Energy

25%

Space

20%

15%

Average Annual Increases

All

10%

Defense

Others

Health

5%

All

All

All

Others

Others

Others

0%

-5%

1962 - 1968

1973 - 1979

1979 - 1985

1995 - 2001

Source: National Science Foundation

Historical R&D Priorities(obligations, in 1996 constant dollars)
slide19

1,200

800

Millions of Nominal Dollars

400

0

1996

1997

1998

1999

2000

Source: Chronicle of Higher Education

Earmarks to Universities & CollegesIncreasing and Undermining Competitive, Merit-Based Efforts in Some Fields
slide21

Outline

  • Who or What is OMB?
  • The Federal Budget and US R&D: the “Big Picture”
  • The Budget Process
  • Future Issues
slide22

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

slide23

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Guidance

slide24

Department of Energy

Science

Fossil

Energy

NNSA

The Budget Process

slide25

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Budget Request

slide26

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Passback

Budget Request

slide27

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Appeal

Passback

Budget Request

slide28

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

President’s

Budget Request

slide29

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

  • Budget Resolution
  • 302(b) Allocation
  • Subcommittee Markup
  • Committee Markup
  • Floor Vote
  • Conference
slide30

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

SAPs

Hearings

  • Budget Resolution
  • 302(b) Allocation
  • Subcommittee Markup
  • Committee Markup
  • Floor Vote
  • Conference
slide31

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

Bills

slide32

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

Apportionment

$

slide33

FY 1999

FY 2000

FY 2001

The DOE/SC Budget Cycle

r d as a percentage of omb pad

100%

80%

60%

% BA, FY 2001

40%

20%

0%

NRP

HRP

GGP

NSP

FY 2001 est. BA

per PAD

$80.7B

$111.8B

$90.5B

$340.6B

F S&T

Other R&D

Non R&D

R&D as a Percentage of OMB PAD $

Note: F S&T + Other R&D = Total R&D

slide36

Executive Office of the President (EXOP)

White House Office

Office of

Management & Budget

(OMB)

Office of the

Vice President

(OVP)

President’s Foreign Intelligence Advisory Board (PFIAB)

US Trade Representative

(USTR)

Office of

Policy Development

(OPD)

National Security Council (NSC)

Office of

Administration

(OA)

Council of

Economic Advisors

(CEA)

Office of National Drug Control Policy (ONDCP)

Primarily career staff

Council of

Environmental Quality

(CEQ)

Office of Science & Technology Policy (OSTP)

Political

Mix of detailees, career, political

slide37

Outline

  • Who or What is OMB?
  • The Federal Budget and US R&D: the “Big Picture”
  • The Budget Process
  • Future Issues
r d policy issues for fy 2003 and beyond
R&D Policy Issues for FY 2003 and Beyond
  • The President’s Management Agenda includes government-wide and agency-specific management and performance initiatives.
  • The R&D initiative stems from our concern that current methods used to set Federal R&D spending are inconsistent or otherwise insufficient.
  • Without agreed-upon investment criteria, research funding decisions are often set based upon anecdotes and last year’s funding level.
  • Can we make more informed decisions about research investments? Can we devise a set of rules for applied (and later basic) research programs?
draft criteria for applied r d at doe
Draft Criteria for Applied R&D at DOE
  • Projects support work where the private sector cannot capture the benefits of developing the technology due to market failure, and in which there is a clear public interest
  • Projects present the best means to support the Federal policy goals, compared to other policies
  • Projects are subject to a competitive merit-based process, with external review when practical
  • Project proposals are comprehensive, complete and include performance indicators and “off ramps,” and a clear termination point
further information
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

  • Shelley Lyne Tomkin, Inside OMB, ME Sharpe (1998).
budget issues
Budget Issues

Federal Budget Deficit/Surplus, FY 1960-2011in billions of dollars

2002 discretionary spending in billions
2002 Discretionary Spending($ in billions)

Additions

  • Campaign initiatives +15.3
  • Pay & programmatic +19.0
  • National Emergency Reserve +5.6
  • Technical adjustments +5.6

Offsets

  • Non-repetition earmarked funding -4.3
  • Non-repetition one-time funding -4.1
  • Program decreases -11.5

Net Increase+25.7 (4.0% increase)

(further details in A Blueprint for New Beginnings)

fy 2002 r d budget summary
FY 2002 R&D Budget Summary
  • Spurs Private R&D investments
  • -- R&E Tax Credit
  • ($1.7 billion FY 2002; $9.9 billion FY 2002-2006)
  • Sets Federal R&D as Priority
  • -- 6% growth (vs. 4% discretionary growth)
  • Establishes commitment to health research
  • -- Doubles NIH by FY 2003
  • Addresses Math/Science Education Needs
  • -- at least $1 Billion over five years