The Federal R&D Budget Matt Hourihan September 11, 2019 For the AAAS Science & Technology Policy Fellows AAAS R&D Budget and Policy Program http://www.aaas.org/rdprogram/rd-budget-and-policy-program

How do they slice and tally the R&D budget? Definitions via OMB Circular A-11: Basic Research: “Experimental or theoretical work…to acquire new knowledge of the underlying foundations of phenomena and observable facts.” Applied Research: “Original investigation undertaken in order to acquire new knowledge...directed primarily towards a specific practical aim or objective.” Development: “Creative and systematic work, drawing on knowledge gained from research and practical experience, which is directed at producing new products or processes or improving existing products or processes.” R&D Facilities: “necessary for the execution of an R&D program” R&D Equipment: “major movable equipment”

The Budget Process at a Glance Executive Branch Legislative Branch White House Budget Committees Budget Resolution OMB Agencies OSTP February Budget Request Appropriations Committees & Subcommittees SPENDING BILLS (x12) Timeline is 18 months (or more) from the start of agency planning to completion of appropriations and start of the fiscal year on October 1, however… Congress hasn’t gotten appropriations finished on time since 1996

Committees and Cardinals The Budget Resolution sets the overall spending limit (302a’s)  This is divvied up by Appropriations Committee chairs among subcommittees (302b’s) Subcommittee chairs (a.k.a. the “Cardinals”) are responsible for producing “Chair’s mark”: initial bill for each subcommittee Key: Getting a bill that can PASS (well duh) Incrementalism; universalism Hearings, “Dear Colleagues,” Member Days Senate (where minority has power) can sometimes moderate House’s choices (Remember the Basic Process) Subcommittee  Committee  Floor  Conference committee to resolve differences  President’s desk Bills AND reports (Image source: Roll Call)

What factors influence science appropriations? “All politics is local.” Studies suggest: Legislators tend to be overrepresented on subcommittees relevant to their constituents and districts Their districts tend to receive more funding (including research agencies like NIH) Personal legislator interest Public interest “Saints” and “Guardians”? “We don’t earmark NSF because no one else earmarks NSF.” – Anonymous staffer quoted in Savage 1991 Ideology and party preferences But: “There is no such thing as a fiscal conservative when it comes to his district or subcommittee” –David Stockman (Reagan’s OMB chief)

What factors influence science appropriations? “All politics is local.” Studies suggest: Legislators tend to be overrepresented on subcommittees relevant to their constituents and districts Their districts tend to receive more funding (including research agencies like NIH) Personal legislator interest Public interest “Saints” and “Guardians”? “We don’t earmark NSF because no one else earmarks NSF.” – Anonymous staffer quoted in Savage 1991 Ideology and party preferences But: “There is no such thing as a fiscal conservative when it comes to his district or subcommittee” –David Stockman (Reagan’s OMB chief)

What factors influence science appropriations? “All politics is local.” Studies suggest: Legislators tend to be overrepresented on subcommittees relevant to their constituents and districts Their districts tend to receive more funding (including research agencies like NIH) Personal legislator interest Public interest “Saints” and “Guardians”? “We don’t earmark NSF because no one else earmarks NSF.” – Anonymous staffer quoted in Savage, LSQ 1991 Ideology and party preferences But: “There is no such thing as a fiscal conservative when it comes to his district or subcommittee” –David Stockman (Reagan’s OMB chief)

What factors influence science appropriations? “All politics is local.” Studies suggest: Legislators tend to be overrepresented on subcommittees relevant to their constituents and districts Their districts tend to receive more funding (including research agencies like NIH) Personal legislator interest Public interest “Saints” and “Guardians”? “We don’t earmark NSF because no one else earmarks NSF.” – Anonymous staffer quoted in Savage, LSQ 1991 Ideology and party preferences But: “There is no such thing as a fiscal conservative when it comes to his district or subcommittee” –David Stockman (Reagan’s OMB chief)

Energy & Water Subcommittee House Senate Chair Marcy Kaptur (D-OH) Lamar Alexander (R-TN) Ranking Member Mike Simpson (R-ID) Dianne Feinstein (D-CA) Tradeoffs: Balancing basic research and facilities, labs, tech portfolio, NNSA; also Army Corps, Bureau of Reclamation NNSA funding has been priority of late Office of Science: as basic science arm, generally supported in more bipartisan fashion National labs help Technology programs: Congress tends to fund when funding is available, but can also be first on the chopping block Some value innovation programs more than others Regional energy politics and economics

Labor, HHS, Education Subcommittee House Senate Chair Rosa DeLauro (D-CT) Roy Blunt (R-MO) Ranking Member Tom Cole (R-OK) Patty Murray (D-WA) In this bill: deep divisions over public health programs, education, labor… But everybody loves NIH! We have now had 4 years (and counting) of multibillion dollar increases Alzheimer’s, cancer, neuroscience, opioids among recent priorities Congress has protected NIH awardees from indirect cost changes, salary cap changes Other programs also have their supporters: public health and preparedness matter to lots of people (BioShield, BARDA, CDC, etc) Gun violence research?

Commerce, Justice, Science Subcommittee House Senate Chair Jose Serrano (D-NY) Jerry Moran (R-KS) Ranking Member Robert Aderholt (R-AL) Jeanne Shaheen (D-NH) How to balance many different missions and public interest goals? NSF: many continue to value basic research Universities, industry advocacy Disciplinary fights? NASA: more of a priority in recent years Again: labs and research centers help Balancing the science portfolio? NOAA and NIST: some program elements more controversial than others NOAA: climate research funding source of dispute; but legislators often support locally-relevant research funding, including Sea Grant NIST: lab programs have been supported for competitiveness; industrial innovation / manufacturing programs a target

Current State of Play House mostly done: we estimate an overall increase of ~6% for research funding Senate began issuing their own appropriations THIS WEEK… Recent science priorities have included NIH, energy science and technology, NSF, Defense research Scaling back from House? …followed by floor action, then conference committees to negotiate final numbers with House. Issues: Border wall Gun violence research line items Abortion But other research-relevant legislation (CJS, Interior, Energy) could see clearer sailing Fiscal year ends September 30: will need a Continuing Resolution for some/most/all agencies (Image source: Roll Call)

mhouriha@aaas.org 202-326-6607 http://www.aaas.org/rd For more info… mhouriha@aaas.org 202-326-6607 http://www.aaas.org/rd

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