1. NSF-NAC Jim Ulvestad, Division Director, MPS/AST
09/10/2016
NSF Astronomy and the NSF Commitment to Diversity NAC Meeting September 10, 2016
Jim Ulvestad, Division Director, MPS/AST
ALMA

2. National Science Foundation
NSF-NAC
09/10/2016
National Science Foundation
NSF is the primary federal agency that funds basic research in the non-medical sciences
Created by Congress in 1950 “to promote the progress of science; to advance the national health, prosperity, and welfare; to secure the national defense.”
NSF annual budget is $7.5 billion in Fiscal Year (FY) Funding source for 24 percent of all federally supported basic research conducted by U.S. colleges and universities.
Division of Astronomical Sciences (AST), within the Directorate for Mathematical and Physical Sciences (MPS), has a budget of $246.7 million in FY This is slightly less than 0.01 percent of the U.S. federal budget.
AST is the primary federal funding source for ground-based astronomy.
DOE funds research that utilizes ground-based astronomical sensors, and often collaborates with NSF (AST and Division of Physics) in astrophysics-related programs.
NASA is the primary federal funding source for space-based astronomy (also involving collaborations with DOE).
09/10/2016
NAC/NSF
Jim Ulvestad

3. High-Level Summary Outstanding science opportunities offered/developed
NSF-NAC
High-Level Summary
09/10/2016
Outstanding science opportunities offered/developed
ALMA, EVLA, Dark Energy Camera, GPI
Constructing DKIST and LSST
~115 projects/yr in AAG, plus MSIP, ATI, AAPF, REU, PAARE, CAREER
Interagency: DES, DESI, NN-EXPLORE (plus LSST, of course)
NSF spent ~$100M on AST facility construction in FY 2016
Partnerships with NASA and DOE have strengthened
Data-enabled science continues to grow in importance
Impact of LIGO detection of gravitational waves
Mid-decadal review released in August
Unknown prospects for budget increases this decade
Next 1.5 yr are critical for divestment activities
Management of large facilities is becoming more complex
Continued progress at the science frontiers
09/10/2016
NAC/NSF

4. Hypothetical Budget Runouts for AST
NSF-NAC
09/10/2016
Hypothetical Budget Runouts for AST
The sand chart shows the budget distribution under assumptions that (1) no facility reductions occur beyond collaborations already in place, and (2) the Mid-Scale + Individual Investigator Programs grow by 2.5%/yr. Red lines show the upper budget envelope under the assumptions of overall flat budgets or 2.5%/yr increases.
2009 ARRA
AST=2.5%/yr
AST=0.0%/yr
Mid-scale+IIA
LSST
DKIST
Gemini
NSO
NOAO
ALMA
EVLA
NOAO+NSO
GBO+VLBA
NRAO AO
1995
2000
2005
2008
2010
2015
2020
2023
09/10/2016
NAC/NSF

5. NSF INCLUDES Inclusion across the Nation of Communities of Learners of Underrepresented Discoverers in Engineering and Science
Comprehensive initiative to enhance U.S. leadership in science and engineering by seeking and developing STEM talent from all sectors and groups in our society
Long-term goal
Support innovative models, networks, partnerships, and research that enable the U.S. science and engineering workforce to thrive by ensuring that all groups are represented in percentages comparable to their representation in the U.S. population
FY 2016: NSF , , $15.5M
FY 2017 Budget Request $16M
Comprehensive initiative to have IMPACT at SCALE in BP

6. Three Essential Components of NSF INCLUDES
INCLUDES Design and Development Launch Pilots
Proposal deadline has passed
INCLUDES Alliances
INCLUDES Backbone Organization
Alliance-specific Backbone
NSF INCLUDES National Network Backbone

7. NSF INCLUDES Alliances
Up to five NSF INCLUDES Alliances will be funded beginning in FY 2017
Alliances will involve the most promising launch pilot activities
Design and Development Launch Pilots may be reconfigured by adding new partners, collaborators or networks = new Alliance team
Alliances may focus on emerging fields in science and engineering or established fields - key is to advance BP
Each Alliance to be funded for 5 years at $2.5M per year
We expect that a group of design and development pilots would be positioned to form Alliances as early as FY 2017
The most promising launch pilots activities, will have a clear, ambitious and compelling BP challenge goal, and strong leadership, leading to formation of Alliances.
This may require that teams are reconfigured, with new partners leading to an Alliance team.

8. NSF INCLUDES National Network
PILOTS
ALLIANCE
This is another perspective on backbone orgs and that because of the complexity, we will have a DCL to have the field contribute to the vision for the NSF INCLUDES backbone
Mini-backbone to support each Alliance
National Backbone to support the Network of Alliances (INCLUDES National Network)
INCLUDES National Backbone Org
Shared data, knowledge, best practices
On-ramp mechanisms
Monitor progress at national level
Turner, Merchant, Kania & Martin, 2012.

9. AST Broadening Participation Programs
NSF-NAC
09/10/2016
AST Broadening Participation Programs
Partnerships in Astronomy and Astrophysics Research and Education (PAARE): $1-2 million/yr
Partnerships between Minority-Serving Institutions and research institutions, including academic institutions, private observatories, and AST-supported facilities
PAARE has funded programs at SCSU/Clemson, CUNY/AMNH/Columbia, Fisk/Vanderbilt, CP Pomona/CSU/UC/nationwide, CSUF/Syracuse, Tenn State/UCB
Scientific Exploration Beneath the Life-Bringing Sun (DKIST cultural mitigation); pipeline for Native Hawaiian STEM students: $2 million/yr
Research Experiences for Undergraduates: $2 million/yr
Most sites have specific goals for broadening participation
Education and Special Programs (one-off proposals). Examples:
Akamai Workforce Initiative, and follow-ons
Columbia Bridge Program
Also, NSF-wide programs include AGEP (Alliances in Graduate Education for the Professoriate) supplements for graduate students from underrepresented groups
09/10/2016
NAC/NSF
Jim Ulvestad

10. General AST Research and Training Programs
NSF-NAC
09/10/2016
General AST Research and Training Programs
10-year summary: FY 2004 to FY 2013
% URM Awards
% URM Pool
% Female Awards
% Female Pool
Research Grants
3.6 ± 0.6
4.2 ± 0.3
19 ± 2
19 ± 1
CAREER
9.2 ± 3.9
5.4 ± 1.1
39 ± 9
25 ± 3
Postdoc
11.0 ± 3.9
6.9 ± 1.2
42 ± 8
39 ± 3
Total
4.4 ± 0.6
4.5 ± 0.3
22 ± 2
22 ± 1
09/10/2016
NAC/NSF
Jim Ulvestad

11. NSF-NAC
09/10/2016
Backup Slides
09/10/2016
NAC/NSF
Jim Ulvestad

12. Decadal Surveys in Astronomy
NSF-NAC
09/10/2016
Decadal Surveys in Astronomy
AST relies on National Research Council (part of the National Academies) decadal surveys to set priorities for ground-based astronomy program
Such NRC studies have been carried out every 10 years since 1960 and are viewed as a successful model for building consensus in a scientific community
Most recent survey, New Worlds, New Horizons in Astronomy and Astrophysics (NWNH), was released in 2010
NWNH assumed a 4%/year rise in AST purchasing power over decade
NWNH recommended “Senior Review” be carried out to prioritize existing vs. new activities in lower budget scenarios
09/10/2016
NAC/NSF
Jim Ulvestad

13. Historical Funding Breakdown
NSF-NAC
09/10/2016
Historical Funding Breakdown
Facilities
Assumes flat budget, currently planned facility evolution.
09/10/2016
NAC/NSF