1. The Federal R&D Budget Matt Hourihan September 11, 2019
For the AAAS Science & Technology Policy Fellows
AAAS R&D Budget and Policy Program

3. 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”

9. 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

12. 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)

13. 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)

14. 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)

15. 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)

16. 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)

17. 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

18. 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?

19. 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

20. 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)

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

24. (extras follow)