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An OMB Perspective on Federal Funding of Research Michael Holland Program Examiner Office of An OMB Perspective on Federal Funding of Research Michael Holland Program Examiner Office of Management & Budget 2

Outline • Who or What is OMB? • The Federal Budget and US R&D: Outline • Who or What is OMB? • The Federal Budget and US R&D: the “Big Picture” • The Budget Process • Future Issues 3

“One of the interesting things about OMB is that it is unexplainable to everyone “One of the interesting things about OMB is that it is unexplainable to everyone who lives outside of the Beltway and misunderstood by nearly everyone who lives inside the Beltway. ” Paul O'Neill, Former Deputy Director, OMB Current Secretary of Treasury 4

The Mission of OMB serves the Presidency as the primary agency for leading the The Mission of OMB serves the Presidency as the primary agency for leading the coordination of policy development in the Executive Branch and for ensuring consistency, efficiency, and effectiveness in policy implementation. • OMB prepares the President’s Budget • OMB provides oversight of financial management, procurement, and information technology policies • OMB reviews and clears proposed legislation, regulations, and executive orders • OMB ensures continuity of these functions during the transition to new Presidential Administrations 5

Executive Office of the President (EXOP) White House Office of Management & Budget (OMB) Executive Office of the President (EXOP) White House 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) Council of Environmental Quality (CEQ) Office of Science & Technology Policy (OSTP) Primarily career staff Political Mix of detailees, career, political 6

Office of Management & Budget SUPPORT OFFICES General Counsel Legislative Affairs Communications Administration Economic Office of Management & Budget SUPPORT OFFICES General Counsel Legislative Affairs Communications Administration Economic Policy STATUTORY OFFICES DIRECTOR Deputy Director Office of Federal Financial Management (OFFM) Deputy Director for Management Office of Federal Procurement Policy (OFPP) Executive Associate Director Legislative Reference Budget Review Office of Information & Regulatory Affairs (OIRA) Resource Management Offices (RMOs) Natural Resource Programs ENERGY, SCIENCE & WATER ·Energy ·Science & Space ·Water & Power NATURAL RESOURCES ·Agriculture ·Environment ·Interior National Security Programs INT’L AFFAIRS ·State/USAI ·Economic Affairs NATIONAL SECURITY ·C 4 Intelligence ·Ops & Support ·Force Structure & Investment ·VA Human Resource Programs HEALTH ·Health Financing ·Public Health ·HHS Branch EDUCATION & HR ·Education ·Income Maintenance ·Labor ·Personnel Policy General Government Programs TRANSPORTATION, COMMERCE, JUSTICE & SERVICES ·Transportation ·Commerce ·Justice/GSA HOUSING, TREASURY & FINANCE ·Financial Institutions ·Treasury ·Housing 7

Office of Management & Budget SUPPORT OFFICES STATUTORY OFFICES DIRECTOR Resource Management Offices (RMOs) Office of Management & Budget SUPPORT OFFICES STATUTORY OFFICES DIRECTOR Resource Management Offices (RMOs) Natural Resource Programs National Security Programs Human Resource Programs General Government Programs DOE, NSF NASA, USDA USGS, EPA Smithsonian DOD VA NIH Ed NIST NOAA DOT 8

Outline • Who or What is OMB? • The Federal Budget and US R&D: Outline • Who or What is OMB? • The Federal Budget and US R&D: the “Big Picture” • The Budget Process • Future Issues 9

Government Spending as a Share of GDP, 2000 10 Government Spending as a Share of GDP, 2000 10

Composition of Federal Revenues 11 Composition of Federal Revenues 11

FY 2002 Proposed Budget ($2. 0 Trillion OL) R&D = 14% of discretionary spending FY 2002 Proposed Budget ($2. 0 Trillion OL) R&D = 14% of discretionary spending 12

U. S. R&D Spending Growth Is Due Mostly to Private Sector 13 U. S. R&D Spending Growth Is Due Mostly to Private Sector 13

Increased U. S. R&D Spending Is Due Mostly to Private Sector (Cumulative “New Money, Increased U. S. R&D Spending Is Due Mostly to Private Sector (Cumulative “New Money, ” 1993 -1999) Billions of Nominal Dollars 80 60 89% Non-Federal 40 Federal 20 64% 0 11% All R&D 36% Basic Research 94% Applied Research Source: National Science Foundation 14

Federal R&D in 2002 15 Federal R&D in 2002 15

FY 2002 Proposed R&D Budget ($98 Billion BA*) *Total includes additions resulting from Defense FY 2002 Proposed R&D Budget ($98 Billion BA*) *Total includes additions resulting from Defense Budget Amendment 16

R&D Balance In Addition to Life Sciences, Some Other Disciplines Have Done Well Factors R&D Balance In Addition to Life Sciences, Some Other Disciplines Have Done Well Factors of Constant FY 1992 Dollars 175 Mathematics and Computer Sciences 150 Environmental Sciences 125 Life Sciences 100 Physical Sciences 75 1992 1993 1994 1995 1996 1997 1998 1999 17

Historical R&D Priorities (obligations, in 1996 constant dollars) 30% Energy Average Annual Increases 25% Historical R&D Priorities (obligations, in 1996 constant dollars) 30% Energy Average Annual Increases 25% Space 20% 15% 10% All Others Defense Health 5% All Others 0% All Others -5% 1962 - 1968 1973 - 1979 - 1985 1995 - 2001 Source: National Science Foundation 18

Earmarks to Universities & Colleges Millions of Nominal Dollars Increasing and Undermining Competitive, Merit-Based Earmarks to Universities & Colleges Millions of Nominal Dollars Increasing and Undermining Competitive, Merit-Based Efforts in Some Fields 1, 200 800 400 0 1996 1997 1998 1999 2000 Source: Chronicle of Higher Education 19

Federal Science & Technology (F S&T) Budget 20 Federal Science & Technology (F S&T) Budget 20

Outline • Who or What is OMB? • The Federal Budget and US R&D: Outline • Who or What is OMB? • The Federal Budget and US R&D: the “Big Picture” • The Budget Process • Future Issues 21

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

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

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

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

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

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

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

The Budget Process Department of Energy Science Fossil Energy White House OMB NNSA Congress The Budget Process Department of Energy Science Fossil Energy White House OMB NNSA Congress • Budget Resolution • 302(b) Allocation House Senate • Subcommittee Markup • Committee Markup • Floor Vote Approps • Conference 29

The Budget Process Department of Energy Science Fossil Energy White House NNSA OMB SAPs The Budget Process Department of Energy Science Fossil Energy White House NNSA OMB SAPs Congress • Budget Resolution • 302(b) Allocation House Senate Hearings • Subcommittee Markup • Committee Markup • Floor Vote Approps • Conference 30

The Budget Process Department of Energy Science Fossil Energy White House OMB NNSA Congress The Budget Process Department of Energy Science Fossil Energy White House OMB NNSA Congress House Senate Approps Bills 31

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

The DOE/SC Budget Cycle FY 1999 FY 2000 FY 2001 33 The DOE/SC Budget Cycle FY 1999 FY 2000 FY 2001 33

R&D as a Percentage of OMB PAD $ 100% % BA, FY 2001 80% R&D as a Percentage of OMB PAD $ 100% % BA, FY 2001 80% 60% 40% 20% 0% FY 2001 est. BA per PAD NRP HRP GGP NSP $80. 7 B $111. 8 B $90. 5 B $340. 6 B F S&T Other R&D Non R&D Note: F S&T + Other R&D = Total R&D 34

R&D as % of Approp. Comm. $ 35 R&D as % of Approp. Comm. $ 35

Executive Office of the President (EXOP) White House Office of Management & Budget (OMB) Executive Office of the President (EXOP) White House 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) Council of Environmental Quality (CEQ) Office of Science & Technology Policy (OSTP) Primarily career staff Political Mix of detailees, career, political 36

Outline • Who or What is OMB? • The Federal Budget and US R&D: Outline • Who or What is OMB? • The Federal Budget and US R&D: the “Big Picture” • The Budget Process • Future Issues 37

R&D Policy Issues for FY 2003 and Beyond • The President’s Management Agenda includes R&D Policy Issues for FY 2003 and Beyond • The President’s Management Agenda includes government-wide and agency-specific management and performance initiatives. • The R&D initiative stems from our concern that current methods used to set Federal R&D spending are inconsistent or otherwise insufficient. • Without agreed-upon investment criteria, research funding decisions are often set based upon anecdotes and last year’s funding level. • Can we make more informed decisions about research investments? Can we devise a set of rules for applied (and later basic) research programs? 38

Draft Criteria for Applied R&D at DOE • Projects support work where the private Draft Criteria for Applied R&D at DOE • Projects support work where the private sector cannot capture the benefits of developing the technology due to market failure, and in which there is a clear public interest • Projects present the best means to support the Federal policy goals, compared to other policies • Projects are subject to a competitive merit-based process, with external review when practical • Project proposals are comprehensive, complete and include performance indicators and “off ramps, ” and a clear termination point 39

Further Information • OMB website www. whitehouse. gov/omb • President’s budget w 3. access. Further Information • OMB website www. whitehouse. gov/omb • President’s budget w 3. 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 • Shelley Lyne Tomkin, Inside OMB, ME Sharpe (1998). 40

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Budget Issues Federal Budget Deficit/Surplus, FY 1960 -2011 in billions of dollars 42 Budget Issues Federal Budget Deficit/Surplus, FY 1960 -2011 in billions of dollars 42

2002 Discretionary Spending ($ in billions) Additions • Campaign initiatives • Pay & programmatic 2002 Discretionary Spending ($ in billions) Additions • Campaign initiatives • Pay & programmatic • National Emergency Reserve • Technical adjustments Offsets • Non-repetition earmarked funding • Non-repetition one-time funding • Program decreases Net Increase +15. 3 +19. 0 +5. 6 -4. 3 -4. 1 -11. 5 +25. 7 (4. 0% increase) (further details in A Blueprint for New Beginnings) 43

FY 2002 R&D Budget Summary • Spurs Private R&D investments -- R&E Tax Credit FY 2002 R&D Budget Summary • Spurs Private R&D investments -- R&E Tax Credit ($1. 7 billion FY 2002; $9. 9 billion FY 2002 -2006) • Sets Federal R&D as Priority -- 6% growth (vs. 4% discretionary growth) • Establishes commitment to health research -- Doubles NIH by FY 2003 • Addresses Math/Science Education Needs -- at least $1 Billion over five years 44