Research Administration For Scientists

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. 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

4. 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

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

6. COMP 290-083

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

10. 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

11. 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

12. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. 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

27. 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

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) 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

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

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

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

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

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

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

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

39. 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

40. 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

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

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

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

45. Overview of Federal Budget

46. Government Spending as a Share of GDP, 2000

47. 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.

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

49. The National Debt is $6.9 Trillion!