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Research Administration For Scientists COMP 290-083 Tim Quigg Class 1: January 7 Introduction and Overview History of Research Funding in US Overview of Federal Budget Process Overview of Federal Research Budget Email: quigg@cs.unc.edu

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slide1

Research Administration

For Scientists

  • COMP 290-083
  • Tim Quigg
  • Class 1: January 7
  • Introduction and Overview
  • History of Research Funding in US
  • Overview of Federal Budget Process
  • Overview of Federal Research Budget
slide2

Email: quigg@cs.unc.edu

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

slide3

Introduction: Instructor

  • Call me Tim
  • Associate Chair for Administration and Finance
  • Senior Contract Specialist
  • Co-founder of two software companies
    • CQ Data Systems – Learning Experience
    • SoftSpoken, Inc. – bought by First Logic

COMP 290-083

slide4

Introduction: Instructor

  • Major Account Rep – Motorola Computer Systems
  • CFO/Deputy Director of Large State Government Program – Appointed by the Governor
  • Director of Large Social Science Research Project Funded by DHEW

COMP 290-083

slide5

Introduction: Instructor

  • SRA International
    • Distinguished Faculty
    • President, Southern Section
    • Board Member
    • Frequent Lecturer: Workshops/Conferences/Short Courses
  • ~ 30 years experience

COMP 290-083

slide9

When did the federal government become involved in funding university research?

slide10

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

  • Before WWII
  • Mainly internal sources
  • Notable exception –

Agriculture

  • Morrill Act of 1862: Land-Grant Colleges
    • 30,000 acres of federal land/congressional representative to each State

COMP 290-083

slide11

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

  • 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)

COMP 290-083

slide12

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

COMP 290-083

slide15

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

  • 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
  • Current federal $ from various acts > $550 million annually

COMP 290-083

slide16

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

  • 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

COMP 290-083

slide17

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

  • 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

COMP 290-083

slide18

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

  • 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

COMP 290-083

slide19

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

  • 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)

COMP 290-083

slide20

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

  • Proximity (variable time) fuze
  • 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

COMP 290-083

slide21

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

  • Theory
  • 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

COMP 290-083

slide22

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

  • Problems
  • 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

COMP 290-083

slide23

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

  • 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.”

COMP 290-083

slide24

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

  • 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

COMP 290-083

slide25

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

  • 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

COMP 290-083

slide26

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

  • Responsible for promoting science and engineering
    • Six priority areas:
      • Mathematical Sciences
      • Social, Behavioral, and Economic Sciences
      • Biocomplexity in the Environment
      • Information Technology Research
      • Nanoscale Science and Engineering
      • Learning for the 21st Century Workforce

COMP 290-083

slide27

Excerpts from the State of the Union Address January 4, 1950

Sound bite Transcript:

"The value of our natural resources is constantly being increased by the progress of science. Research is finding new ways of using such natural assets as minerals, sea water, and plant life. In the peaceful development of atomic energy, particularly, we stand on the threshold of new wonders. The first experimental machines for producing useful power from atomic energy are now under construction. We have made truly the first beginnings in this field, but in the perspective of history, they may loom larger than the first airplane, or even the first tools that started man on the road to civilization.”

Harry S. Truman

slide28

KEY HISTORICAL DATES

APRIL 27, 1950

Final passage by House of Representatives of bill creating the National Science Foundation. House passed the original bill, H.R. 4846, on March 1 by 247-126 vote.

APRIL 28, 1950

Final passage of science bill by the Senate. Original Senate bill, S.247, was passed on March 18.

MAY 10, 1950

President Harry S. Truman signed the bill creating the National Science Foundation. Truman announced this signing in the morning from the rear platform of a train in Pocatello, Idaho.

SEPTEMBER 27, 1950

NSF's first budget of $225,000 was approved by President Truman.

NOVEMBER 2, 1950

President Truman announced his appointments to The National Science Board.

DECEMBER 12, 1950

The first meeting took place of the National Science Board in the White House.

slide29

NSF by the Numbers

  • NSF annual budget: $4.789 billion (in Year 2002)
  • NSF's share of total annual federal spending for R&D: 4%
  • NSF's share of federal funding for all basic research done at academic institutions: 23%
  • NSF's share of federal funding for basic academic research in: physical sciences (36%); environmental sciences (49%); engineering (50%); mathematics (72%); computer science research (78%); and anthropology (100%).
  • Number of organizations (colleges and universities, schools, nonprofit institutions, and small businesses) receiving NSF funds each year: nearly 2,000
  • Number of proposals that NSF competitively reviews each year: 32,000
  • Approx. number of total awards funded each year: 20,000
  • Approx. number of new awards funded each year: 10,000
  • Number of reviewers (scientists and engineers) who evaluate proposals for NSF each year: 50,000
  • Number of reviews done each year: 250,000
  • Number of students supported through NSF's Graduate Research Fellowship Program since 1952: 36,000
  • Number of people (teachers, students, researchers, post-doctorates and trainees) that NSF directly supports: nearly 200,000
slide31

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

slide32

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

slide33

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Guidance

slide34

Department of Energy

Science

Fossil

Energy

NNSA

The Budget Process

slide35

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Budget Request

slide36

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Passback

Budget Request

slide37

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

The Budget Process

Appeal

Passback

Budget Request

slide38

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

President’s

Budget Request

slide39

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
slide40

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
slide42

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

Bills

slide43

White House

Department of Energy

OMB

Science

Fossil

Energy

NNSA

Congress

Senate

House

Approps

Approps

The Budget Process

Apportionment

$

slide44

FY 1999

FY 2000

FY 2001

The DOE/SC Budget Cycle

slide47

Outlays as a Percent of GDP

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

slide48

Total Government Surplus or

Deficit as a Percent of GDP

slide49

The National Debt is

$6.9 Trillion!

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)
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)
slide58

FY 2002 Proposed R&D Budget

($98 Billion BA*)

*Total includes additions resulting from Defense Budget Amendment

slide66

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
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

slide68

“There is no law that requires you to take money from the government to support your research

but once you do, there are many laws you must follow!”

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

Remember:

COMP 290-083

slide69

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