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The U.S. National Science Foundationas a Funding Agency
Christopher A. Loretz, DirectorU.S. National Science Foundation
Tokyo Regional Office
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National Science Foundation
Established by Congress with the National Science Foundation Act of 1950 to consist of the National Science Board (NSB) and the Director“to promote the progress of science; to advance the national health, prosperity and welfare; and to secure the national defense”As an independent federal agency, NSF does not fall under any cabinet department.NSF activities are guided by the National Science Board.
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NSF Organizational Chart
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NSF Personnel*
*FY2004
2001,47713165143341,104Employment Type Total
200(on site)
000000Commercial Operations
049511000484Business Operations
028233000249Program Support
0700876514334371Scientists & Engineers
TemporaryIntermittentIPAVSEEOperational Category
ContractorsOperational
Category Total
Non-permanent
Permanent
Employment Type
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National Science Board (NSB)
Oversees and guides activities of, and establishes priorities for the National Science FoundationServes as an independent national science policy body that provides advice to the President and Congress on policy issues in science and engineeringMembership: 24 members, appointed by the President and confirmed by the Congress
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NSF by the Numbers
NSF Annual Budget: US$5.58 billion (FY04)NSF share of federal R&D: 4%NSF share of academic R&D: 22%FY05 Budget Request: US$5.745 billion
In FY2003: 40,169 proposals and 10,868 competitive awards (27% funding rate)
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R&D Share of Gross Domestic Product*
0 0.5 1 1.5 2 2.5 3
Italy
Russian Federation
United Kingdom
Canada
France
Germany
Korea
United States
Japan
R&D Expenditures/GDP (%)
*FY2000-2001; Source: Science and Engineering Indicators 2004, and elsewhere
Nominal GDP(CY2003)
US$ trillion
11.004
4.293
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U.S. R&D: Sector by Source of Funds
0
20
40
60
80
100
% R&D Funding
Development AppliedResearch
Basic Research
GovernmentIndustryOther (incl. universities, colleges, nonprofits)
*FY2002; Source: Science and Engineering Indicators 2004
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U.S. R&D: Sector by Performer
0
20
40
60
80
100
% R&D Expenditure
Development AppliedResearch
Basic Research
GovernmentIndustryOther (incl. universities, colleges, nonprofits)
*FY2002; Source: Science and Engineering Indicators 2004
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U.S. R&D: Expenditures by Agency
0 10 20 30 40 50 60 70 80 90 100
Others
USDA
NSF
DoE
NASA
HHS
DoD
Total
Current US$ (billions)Basic Research Total R&D
100.0%100.0%45.6%4.9%27.3%55.1%8.7%9.4%7.6%9.7%3.5%13.0%2.9%3.0%4.4%4.9%
*FY2002; Source: Science and Engineering Indicators 2004
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Setting Policies and Priorities at NSF
Guidance and advice provided by: NSB, OSTP, and others (The National Academies, for example)Advisory committees: standing committees of outside expertsWorkshops and task forces: ad hoc groups convened for particular purposesPlanning documents
Strategic plan (5-year)Performance plan (1-year)
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How Are Science Policy Decisions Made and Implemented?
The decisions involve:Government policy advisorsIndependent advisory organizationsCongressional budget legislatorsScience funding agencies
Implementation is achieved through budgetary appropriation and program funding.
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Government Science Policy Advisors
Office of Science and Technology Policy (OSTP)
Established in 1976Advises the President and others in the Executive Office of the White House on matters of domestic and international science and technologyImplements sound S&T policies and budgetsWorks with private sector, state and local governments, science and education communities, and other nations
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OSTP Organization
Director
Associate DirectorAssociate Director
Science Portfolio:• Environment• Life Sciences• Physical Sciences and
Engineering• Social, Behavioral and
Education Sciences
Technology Portfolio:• Technology• Telecommunications &
Information Technology• Space and Aeronautics
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Advisory Groups of the Executive Branch
President’s Council of Advisors on Science and Technology (PCAST)
Provides advice from the private sector and academic community on technology, scientific research priorities, and math & science educationMembership: 23 members selected by the President, plus the Director of OSTP
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National Science and Technology Council (NSTC)
Cabinet-level council; the principle means for the President to coordinate science, space and technology within the federal S&T enterpriseMembership: President (Chair), Vice President, Assistant to the President for S&T, cabinet secretaries and agency heads with significant S&T responsibilitiesEstablishes clear national goals for government S&T investmentsForms investment package to meet national goals
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The National Academies
The National Academy of Sciences (NAS; 1863)National Research Council (1916)
National Academy of Engineering (NAE; 1964)Institute of Medicine (IOM; 1970)Membership (elected by academic community):
NAS: 1,800NAE: 1,900IOM: 1,200
Provides advice as a non-governmental organization
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National S&T Priorities*Homeland and National Security
Developing vaccines, biometrics and sensor technologies, and mapping pathogen genomesAnti-terrorism R&DUniversity-based Homeland Security Centers
HealthSARS and West Nile Virus defense and treatment
EnergyHydrogen Fuel InitiativeITER
EnvironmentClimate Change Research InitiativeParticulate matter effects on cardiovascular disease
*Science for the 21st Century, National Science and Technology Council, July 2004
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Setting Policies and Priorities at NSF
Guidance and advice provided by: NSB, OSTP, and others (The National Academies, for example)Advisory committees: standing committees of outside expertsWorkshops and task forces: ad hoc groups convened for particular purposesPlanning documents
Strategic plan (5-year)Performance plan (1-year)
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The NSF Strategic Plan
Charts a course for funding support for science and engineering research investment, including SMET* educationCurrent foci:
PeopleIdeasTools
A public document:http://www.nsf.gov/od/gpra/start.htm
*Science, Mathematics, Engineering and Technology
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The Budget Process (simplified)
Congress(House and Senate)AUTHORIZATION
HEARINGSAPPROPRIATION
ScienceAgencies
OSTP,NSTC
NAS, NSB,and others
REQUEST
BUDGET
President
SCIENCE POLICIES& PRIORITIES
ADVICE
ADVICE
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NSF Priority Areas (FY05 Budget Request)
Biocomplexity in the Environment ($100 mill)Nanoscale Science and Engineering ($305 mill) Mathematical Sciences ($89 mill)Human and Social Dynamics ($23 mill)Workforce for the 21st Century ($20 mill)
Information Technology Research
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Federal Cross-Cutting Activities*
Networking and Information Technology Research & DevelopmentNational Nanotechnology InitiativeClimate Change ScienceHomeland Security and Antiterrorism R&DMolecular-level Understanding of Life ProcessesEducation Research
*with NSF participation
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R&D Investment Criteria
Quality: R&D programs must justify howfunds will be allocated to ensure quality R&D.Relevance: R&D programs must be able to articulate why this investment is important, relevant and appropriate.Performance: R&D programs must be able to monitor and document how well the investment is performing.
OMB/OSTP--http://www.ostp.gov/html/ombguidmemo.pdf
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NSF 2003-2008 Strategic Plan
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NSF: FY04 Budget by Account
Research/Related Activities: $4.25 billionEducation/Human Resources: $939 millionMajor Research Equipment: $155 millionSalaries and Expenses: $219 millionOffice of Inspector General: $10 million
Overall increase of 3.9% over FY03
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Major Research Equipment
Atacama Large Millimeter Array (ALMA) EarthScopeHigh-Performance Instrumented Airborne Platform for Environmental Research (HIAPER)IceCube Neutrino ObservatoryLarge Hadron ColliderNetwork for Earthquake Engineering Simulation (NEES)Terascale Computing SystemsNational Ecological Observatory Network (NEON)Rare Symmetry Violating ProcessesScientific Ocean Drilling VesselSouth Pole Station
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NSF: FY04 Budget by Strategic Goal
People = to build a world-class science and engineering workforce: $1.1 billionIdeas = to generate new knowledge across the frontiers of science and engineering: $2.8 billionTools = to get the job done efficiently and effectively: $1.4 billionAdministration/Management: $287 million
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NSF Budget & Performance Integration Matrix
NSF 2003-2008 Strategic Plan
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Outcome Reporting
Government Performance and Results Act (GPRA; 1993)
Annual accounting for program outcomes (results) from science and engineering research and education investments through integration of:
PlanningBudgetingPerformance measurement
Required of all federal government agenciesNSF GPRA Web site:
http://www.nsf.gov/od/gpra/start.htm
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Applicant EligibilityU.S. academic institutions acting on behalf of their facultyNon-profit, non-academic organizations (Independent museums, observatories, research laboratories, professional societies and similar organizations in the U.S. that are directly associated with educational or research activities)
For-profit organizations (U.S. commercial organizations, especially small businesses with strong capabilities in scientific or engineering research or education)
State and local organizations (State educational offices or organizations and local school districts)
Unaffiliated individuals (Scientists, engineers or educators in the U.S. and U.S. citizens)
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Core Investments*
Number of grant awards (10,868)Annual grant size ($135,609 average annualized)Average grant duration (2.9 years)Average Decision Time (5.31 months)
*NSF FY2003 Performance and Accountability Report, and elsewhere
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Comparison of NSF Budget, Staff and Competitive Proposal Submissions over Time
NSF FY2005 Budget Request
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Performance Goal: Time to Decision
Goal: To process proposals from submission to decision within six (6) months of proposal deadline
Result: 77% (FY2003)
NSF FY2003 Performance and Accountability Report
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Performance Goal: Merit Review
Goal: At least 85% of basic and applied research funds will be allocated to projects that undergo merit review
Result: 89% (FY2003)
NSF FY2003 Performance and Accountability Report
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NSF Organizational Chart
Dr. Machi Dilworth
Dr. Enriqueta Barrera
Office of International Science and Engineering (OISE)
NSF Tokyo Regional Office (NSF/T)
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Web Resources
NSF/NSB:http://www.nsf.gov
OSTP:http://www.ostp.gov
NAS:http://www.nas.edu
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