1. 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

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

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

4. 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

5. 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)

6. 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

9. 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

10. 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

11. 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

12. 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

13. 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)

14. 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

15. 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

16. 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

17. 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.”

18. 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

19. 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

20. Overview of Federal Budget Process

21. 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

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

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

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

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

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

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

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

29. 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

30. 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

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

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

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

35. Overview of Federal Budget

36. Government Spending as a Share of GDP, 2000

37. 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

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

39. The National Debt Is $8.1 Trillion!

40. 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.

41. Composition of Federal Revenues

42. The Federal Government Dollar--Where It Goes

45. 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

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

47. 05p2

48. actrnd03

49. aclifp03

52. 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

53. 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

59. 05pf1

60. Awards in Millions at UNC-CH

61. Sponsored awards vs state appropriations at UNC-CH

62. Research Dollars vs Staffing at UNC-CH

63. 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!

64. 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