1. 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

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

3. COMP 290-083 Introduction: Instructor 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 Call me Tim

4. Introduction: Instructor Major Account Rep – Motorola Computer Systems COMP 290-083 CFO/Deputy Director of Large State Government Program – Appointed by the Governor Director of Large Social Science Research Project Funded by DHEW

5. Introduction: Instructor SRA International Distinguished Faculty President, Southern Section Board Member Frequent Lecturer: Workshops/Conferences/Short Courses COMP 290-083 ~ 30 years experience

6. COMP 290-083

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

10. Before WWII COMP 290-083 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

11. COMP 290-083 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)

12. COMP 290-083 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

15. COMP 290-083 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

16. During WWII COMP 290-083 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

17. COMP 290-083 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

18. COMP 290-083 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

19. COMP 290-083 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)

20. COMP 290-083 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

21. COMP 290-083 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

22. COMP 290-083 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

23. COMP 290-083 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.”

24. COMP 290-083 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

25. COMP 290-083 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

26. COMP 290-083 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 21 st Century Workforce

27. 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.” Excerpts from the State of the Union Address January 4, 1950 Harry S. Truman

28. 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.

29. 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

30. Overview of Federal Budget Process

31. 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 of Economic Advisors (CEA) Council of Environmental 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

32. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps

33. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Guidance

34. The Budget Process Department of Energy Science Fossil Energy NNSA

35. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Budget Request

36. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Budget Request Passback

37. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Budget Request Appeal Passback

38. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps President’s Budget Request

39. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps Budget Resolution 302(b) Allocation Subcommittee Markup Committee Markup Floor Vote Conference

40. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps Budget Resolution 302(b) Allocation Subcommittee Markup Committee Markup Floor Vote Conference Hearings SAPs

42. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps Bills

43. The Budget Process Department of Energy Science Fossil Energy NNSA White House OMB Congress House Senate Approps Apportionment $

44. The DOE/SC Budget Cycle FY 1999FY 2000FY 2001

45. Overview of Federal Budget

46. Government Spending as a Share of GDP, 2000

47. 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

48. Total Government Surplus or Deficit as a Percent of GDP

49. The National Debt is $6.9 Trillion!

51. Composition of Federal Revenues

52. The Federal Government Dollar- Where It Comes From

53. The Federal Government Dollar--Where It Goes

54. U.S. R&D Spending Growth Is Due Mostly to Private Sector

55. Increased U.S. R&D Spending Is Due Mostly to Private Sector (Cumulative “New Money,” 1993-1999) Source: National Science Foundation 0 20 40 60 80 All R&DBasic ResearchApplied Research Billions of Nominal Dollars Non-Federal Federal 94% 89% 64% 11% 36%

57. Historical R&D Priorities (obligations, in 1996 constant dollars) Source: National Science Foundation -5% 0% 5% 10% 15% 20% 25% 30% 1962 - 19681973 - 19791979 - 19851995 - 2001 Average Annual Increases Space Energy Health Defense All Others All Others All Others All Others

58. FY 2002 Proposed R&D Budget ($98 Billion BA*) *Total includes additions resulting from Defense Budget Amendment

66. Earmarks to Universities & Colleges Increasing and Undermining Competitive, Merit-Based Efforts in Some Fields Source: Chronicle of Higher Education 0 400 800 1,200 19961997199819992000 Millions of Nominal Dollars

67. 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

68. Remember: “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! COMP 290-083

69. 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