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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
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When did the
federal government
become involved
in funding
university research?
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• 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
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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)
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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
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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
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• During WWII
History: External Support for University Research in U.S.
• 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
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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
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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
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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)
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History: External Support for University Research in U.S.
• 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
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History: External Support for University Research in U.S.
• 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
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History: External Support for University Research in U.S.
• 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
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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.”
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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
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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
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Overview of Federal Budget Process
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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
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Guidance
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Budget Request
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Budget Request
Passback
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Budget Request
Appeal
Passback
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
President’s
Budget Request
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
•Budget Resolution
•302(b) Allocation
•Subcommittee Markup
•Committee Markup
•Floor Vote
•Conference
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
•Budget Resolution
•302(b) Allocation
•Subcommittee Markup
•Committee Markup
•Floor Vote
•Conference
Hearings
SAPs
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
Bills
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The Budget Process
Department of Energy
ScienceFossil
EnergyNNSA
White House
OMB
Congress
House Senate
Approps Approps
Apportionment
$
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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
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Overview of Federal Budget
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Government Spending as a Share of GDP, 2000
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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
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Total Government Surplus or Deficit as a Percent of GDP
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The National Debt
Is
$8.1 Trillion!
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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.
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Composition of Federal Revenues
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The Federal Government Dollar--Where It Goes
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SOURCE: Science and Engineering Indicators -2004
National R&D funding, by source
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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
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$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
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05p2
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actrnd03
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aclifp03
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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
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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
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05pf1
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Awards in Millions at UNC-CH
$0
$100
$200
$300
$400
$500
$600
$700
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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
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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
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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!
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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