Eligibility Criteria

1
Department of DefenseResearch Opportunities
Workshop
Office of the Director for Basic Research Keith
Thompson DEPSCoR Program Manager, OSD
2
Research Perspective

• The DoD Perspective
• Significant Pressure on Research DoD Budget
• We have a responsibility to the Warfighters
• ST is Their Future DoD seeks incremental and
  leap-ahead progress
• Stable ST Funding, efficient and effective
  execution are KEY
• The Research Perspective
• Cheese? Someone is serving Cheese?
• Whos serving Cheese?
• Where is it?
• What Flavor is it?
• How much of it is there?
• What are the chances that I can get some of it?

7-08-02
3
Research, Development,Testing Evaluation
6.1 Basic Research (is of Primary interest to
Universities) systematic study directed toward
greater knowledge or understanding of the
fundamental aspects of phenomena and of
observable facts It includes all scientific
study and experimentation directed toward
increasing fundamental knowledge and
understanding in those fields of the physical,
engineering, environmental, and life sciences
related to long-term national security needs. It
is farsighted high payoff research that provides
the basis for technological progress. Basic
research may lead to (a) subsequent applied
research and advanced technology developments in
Defense-related technologies, and (b) new and
improved military functional capabilities in
areas such as communications, detection,
tracking, surveillance, propulsion, mobility,
guidance and control, navigation, energy
conversion, materials and structures, and
personnel support. 6.2 Applied Research
systematic study to understand the means to meet
a recognized and specific national security
requirement. It is a systematic application of
knowledge to develop useful materials, devices,
and systems or methods. It may include design,
development, and improvement of prototypes and
new processes to meet general mission area
requirements. Applied research translates
promising basic research into solutions The
dominant characteristic is that applied research
is directed toward general military needs with a
view toward developing and evaluating the
feasibility and practicality of proposed
solutions and determining their parameters.
Applied Research precedes system specific
research. Program control of the Applied Research
program element is normally exercised by general
level of effort. 6.3 Advanced Technology
Development 6.4 Demonstration and Validation 6.5
Engineering and Manufacturing Development 6.6
RDTE Management Support 6.7 Operational Systems
Development
ST
RDTE
Source FMR, http//www.dtic.mil/comptroller/fmr/0
2b/Chapter05.pdf
7-08-02
4
Science and Technology Budget
1978 - 2002 FY 03 Constant Dollars M
6.3 Advanced Technology Development 6.2
Applied Research 6.1 Basic Research
Budget Year
7-06-02
5
DoD University Basic Research Funding
Is Your Targeted Funding Source Narrow?
DEPSCoR in FY 2003 10M (Requested)
Update 3/19/99, KT
6
DoD Basic Research Budget
FY 00 DoD 6.1 Obligations to Universities
Colleges 653 Million
Source Federal Funds for Research and
Development, FY 00, NSF 02-321
Updated 7/06/02, KT
7
Federal Basic Research Budget _at_ Us
FY 00 Fed 6.1 Obligations to Universities
Colleges 10 Billion
DoD DoE NIH NASA
NSF Other 653M 485M 5,991M 520M 2,129M 244M

Updated 7/06/02, KT
Source Federal Funds for Research and
Development, FY00, NSF 02-321
8
Basic ResearchUniversity Funding Snapshot
Dollars in M
Source Federal Funds for RD NSF Report 02-321,
others
updated 7/02/02, kt
9
DoD UNIVERSITY RD PARTICIPATION Funding by
Color of Money

TOTAL FY 2000 TO UNIVERSITIES OBLIGATIONS
(M) (M) () /98
BASIC RESEARCH (6.1) 1,230 653 53 APPLIED
RESEARCH (6.2) 3,690 459 12 TOTAL
RESEARCH 4,920 1,113 23 DEVELOPMENT
(6.3-6.7) 28,247 493 2 TOTAL RD 33,167 1,606 5
PRIMARILY FUNDING TO UNIVERSITY-AFFILIATED
LABORATORIES, SUCH AS THE APPLIED PHYSICS LAB AT
JOHN HOPKINS UNIVERSITY
Updated 7/04/02, KT
Source Federal Funds for Research and
Development, NSF02-321
10
DoD 6.1/6.2 Budget Trends

• During Past Eight Fiscal Years (FY93-00)
• (FY93 was most recent 6.1 high -- FY66 was
  highest at 1.62B constant)
• Basic Research (6.1) Down (-3) overall but
  recovering
• Applied Research (6.2) Up 5 overall
• Basic Research to Universities
• About 53 of DoD 6.1 goes to Universities
• (FY00 6.1 1,230M, 653M to, 53.1 Us in FY00)
• (FY98 6.1 1,031M, 546M to, 53.0 Us in FY98)
• (FY96 6.1 1,138M, 646M to, 56.8 Us in FY98)
• About 12 of DoD 6.2 goes to Universities
• (Primarily Funding To University-affiliated
  Laboratories, Such As The Applied Physics Lab At
  John Hopkins University)
• (FY00 6.2 3,690M, 459M to, 12.4 Us in FY00)
• (FY98 6.2 2,939M, 418M to, 14.2 Us in FY98)
• (FY96 6.2 2,858M, 392M to, 13.7 Us in FY98)

Source Federal Funds for Resarch and
Development, FY96NSF98-332, FY98 NSF00-317,
FY00 NSF02-321
updated 7/05/02, KT
11
DoD Basic Research Funding
Total DoD 6.1
Navy
Army
Air Force
FY60 FY65 FY70 FY75
FY80 FY85 FY90 FY95 FY00
(FY00 Dollars are actual not constant)
updated 7/04/02, KT
Source Federal Funds for Research and Development
12
Performers of DoD Basic ResearchFY1970-FY2003
(FY 2003 Constant s)

Universities
Dollars in Million
Govt Labs
Industry
Other
Fiscal Year
updated 7/05/02, KT
Source OSD, Program Analysis
13
DoD Percent of Research

Rsch
6.2
6.1
FY00 DoD of all Federal...
Aeronautical Astronautical Electrical
Engineering Mechanical Engineering Metallurgy
Materials Civil Engineering All Engineering
Mathematics Computer Science All Fields of
Research
_at_ Us 52 28 68 67 37 14 33 14
37 7
_at_ Us 71 3 68 72 59 20 36 15 88 8
_at_ Us 37 90 69 67 33 11 32 14 12 7
00 Rsch 38 14 81 71 36 35 39 15
35 13
updated 7/05/02, KT
Source Federal Funds for RD, NSF Report 02-321
14
DoD Basic Research at Us Csby Broad
Discipline

Other Social Sciences Math and Computer
Sciences Engineering Environmental
Sciences Physical Sciences Life
Sciences Psychology
Discipline
15
DoD Basic Research by Specific Discipline

Other Social Sciences Math and Computer
Sciences Science and Engineering Environment
al Sciences Physical Sciences Life
Sciences Psychology
Other Other Soc Sci Sociology Political
Sci Economics Antrhopology Other MC
Sci Computer Sciences Mathematics Other
Eng Materials/Metallurgy Mechanical Electrical
Civil Chemical Astronautical Aeronautical Oth
er Env Sci Oceqanography Geological Atmospheric
Other Phys Sci Physics Chemistry Astronomy O
ther Life Sci Medical Agriculture Environmental
Bio Bilogical Other Psyc Social
Aspects Biological Aspects
Discipline
16
DoD Basic Research by Specific Discipline1 of 2

Other Social Sciences Math and Computer
Sciences Engineering
Other Other Soc Sci Sociology Political
Sci Economics Antrhopology Other MC
Sci Computer Sciences Mathematics Other
Eng Materials/Metallurgy Mechanical Electrical
Civil Chemical Astronautical Aeronautical
Discipline
17
DoD Basic Research by Specific Discipline2 of 2

Other Env Sci Oceqanography Geological Atmosphe
ric Other Phys Sci Physics Chemistry Astronomy
Other Life Sci Medical Agriculture Environmen
tal Bio Bilogical Other Psyc Social
Aspects Biological Aspects
Environmental Sciences Physical
Sciences Life Sciences Psychology
Discipline
18
DoD Basic Research at Us Cs by Specific
Discipline Compared to All Federal ( within
Field )

Other Social Sciences Math and Computer
Sciences Science and Engineering Environment
al Sciences Physical Sciences Life
Sciences Psychology
Other Other Soc Sci Sociology Political
Sci Economics Antrhopology Other MC
Sci Computer Sciences Mathematics Other
Eng Materials/Metallurgy Mechanical Electrical
Civil Chemical Astronautical Aeronautical Oth
er Env Sci Oceqanography Geological Atmospheric
Other Phys Sci Physics Chemistry Astronomy O
ther Life Sci Medical Agriculture Environmental
Bio Bilogical Other Psyc Social
Aspects Biological Aspects
Discipline
19
Federal Research in Selected Disciplines
FY00 Obligations
Dollars in M
Engineering
Science
(6.1 6.2 Funding)
Source Federal Funds for RD NSF Report 02-321
updated 7/05/02, KT
20
Sources for DoD Basic Research Funding

• No Single Point of Entry for DoD Research Funding
  
• Locate All Possible Interested Parties Through

U.S. Army Research Office http//www.aro.army.mil
Army Medical http//www-usamraa.army.mil http//
mrmc-www.army.mil Office of Naval
Research http//www.onr.navy.mil Air Force
Office of Scientific Research http//www.afosr.af
.mil/ Missile Defense Agency http//www.acq.osd.
mil/bmdo/bmdolink/html/bmdolink.html Jurgen
Pohlman, [phone], juergen.pohlmann_at_bmdo.osd
.mil Defense Advanced Projects Agency
http//www.arpa.mil/
FY 2003 DEPSCoR Competition is OPEN BAA
Announced CBD, Army (ARO), Navy
(ONR) Air Force (AFOSR) Home
Pages
More URLs in the Notes View
updated 7/05/02, KT
21
Answers on the Internet
http//www.aro.army.mil (pick Annual BAA)
BAA Solicitation
updated 7/05/02, KT
22
Elements of the DoDBasic Research Programs (1)

• MURI Multidisciplinary University Research
  Initiative program
• Designed to address large multidisciplinary topic
  areas representing exceptional opportunities for
  future DoD applications and technology options.
• 25-40 awards/yr. 500K-1M/yr. (3 yr effort 2)
• Funding 15-25M/yr.
• DURIP Defense University Research
  Instrumentation Program
• http//www.afosr.af.mil/oppts/afrfund.htmresearch
  
• Provides resources for major equipment purchases
  for basic research
• Funding - 45M in FY02, 50K - 1M/award (avg.
  of 213K)
• FY03 Closes 8/22/02
• DEPSCoR DoD Experimental Program to Stimulate
  Competitive Research
• http//www.aro.army.mil/research/
• Stimulates competitive research in selected
  states (and Puerto Rico) that have not
  traditionally received large Federal research
  awards
• 18 States plus PR US Virgin Islands
• FY03 Closes 10/24/02, Awards will average
  gt500K/each cost match/ 3 yr effort

Updated 7-08-02, KT
23
Elements of the DoDBasic Research Programs (2)

• HBCU/MI Infrastructure
• http www.aro.army.mil/research/
• By the Services OSD intended to assist
  developing infrastructure
• Funding 15-24M/yr, Awards range from 50-500K/yr
  for 1-4 year efforts
• FY03 anticipated in Oct, 2002, will close 8-10wks
  later
• GICUR Government/Industry Co-sponsorship of
  University Research
• Funds U.S. university consortia to conduct long
  range basic research critical to both public and
  private sectors.
• FY02 Funding 9M
• Congressionally Directed
• Announcements on the websites of the service(s)
  executing the program(s)
• Other Authorized/Appropriated programs and
  projects as directed by Congress
• Competitively awarded
• FY02 xxx through OSD for

Updated 7-08-02, KT
24
Elements of the DoDBasic Research Programs (3)

• SBIR
• http//www.acq.osd.mil/sadbu/sbir/
• DoD's SBIR program funds early-stage RD projects
  at small technology companies -- projects which
  serve a DoD need and have the potential for
  commercialization in private sector and/or
  military markets.
• Twice yearly competition (FY2002.2 Post 5/1/02,
  Open 7/1/02-8/14/02) (FY3003.1 Post 10/1/02,
  Open 12/2/02-1/15/03)
• Phase I 60K-100K/6 mos.(15 of submissions)
• Phase II 500K-750K/2 yrs. (40 of Phase I
  awards)
• Phase III Co-funding private sector govt
• STTR Science Technology Transfer
• http//www.acq.osd.mil/sadbu/sbir/
• Similar to SBIR but funds cooperative RD
  projects involving a small business and a
  research institution to create an effective
  vehicle for moving research ideas to the market,
  where they can benefit both private sector and
  military customers.
• Annual Competition (FY03 - Post 1/2/03. Open
  3/3/03-4/16/03)

Updated 7-08-02, KT
25
Elements of the DoDBasic Research Programs (4)

• NDSEG National Defense Science and Engineering
  Graduate Fellowships
• http//www.asee.org/ndseg/html/preface.htm
• Early career awards for study and research
  leading to doctoral degrees in mathematics and
  physical, biological, ocean, and engineering
  sciences (senior Undergrad, 1st year grad,
  field-change-start-overs). U.S. Citizens
  Nationals (native residents of a possession of
  the United States such as American Samoa )
• 36 Month Fellowships, 200/yr., pays for Tuition
  fees stipend of 23K-25K/yr.
• Anticipate closing January, 2003
• YIP Young Investigator Program
• http//www.onr.navy.mil/sci5Ftech/industrial/yip
  5Fannounce.htm
• This award recognizes the finest scientists and
  engineers who, early in their research careers,
  show exceptional potential for leadership at the
  frontiers of scientific knowledge. The award
  includes a three-year, 300,000 research grant.
• FY03 Closes November, 2002
• PECASE Presidential Early Career Award for
  Science and Engieering
• A select subset of YIP, several researchers
  receive the prestigious PECASE each year (2
  yrs./100K.yr.).

Updated 7-08-02, KT
26
Elements of the DoDBasic Research Programs (5)

• Summer Faculty High School and University
  Faculty programs
• http//www.aro.army.mil/research/index.htm
• Opportunities for university and college faculty
  members to perform research at defense facilities
  during the summer months. Faculty members
  Competitively selected for placement at
  laboratories and centers that share their
  research interests to collaborate on existing
  technical projects or start new short-term
  efforts.

Updated 7-08-02, KT
27
Objectives of DEPSCoR
Improve Capability Through Research Grants
Graduate Student SupportAll Geared Toward
Infrastructure Building

• As Defined in Legislation-
• Objectives are to
• Enhance the capabilities of institutions of
  higher education universities in eligible
  States to develop, plan, and execute science and
  engineering research that is competitive under
  the peer-review systems used for awarding Federal
  research assistance and
• Increase the probability of long-term growth in
  the competitively awarded financial assistance
  that universities in eligible States receive from
  the Federal Government for science and
  engineering research.

Ultimate Objective is to Successfully Compete
in Full and Open Research Competitions
Greater Flexibility may be on the way!
updated 7/05/02, KT
28
DEPSCoR Eligibility Criteria

• Must be a State
• Must have an NSF State EPSCoR Committee
• Must meet qualifying formula
• Calculation is run annually - Source for data is
  the most recent NSF Publication,
• Federal Science and Engineering Support to
  Universities, Colleges and Nonprofit Institutions
• Must demonstrate commitment to developing RD and
  improving SE research and education at IHEs

Sa lt (Na/50).6 Where A States average DoD RD
obligations for last three data years Sa The
National average DoD RD obligations to IHE for
last three data years Na
Authorization language defines State as
State of the United States, District of Columbia,
Puerto Rico, Guam, and the Virgin Islands,
American Samoa, and the Commonwealth of the
Northern Mariana Islands.
7-08-02
29
EPSCoR State Committees
AK
FY 2003 Competition
ME
VT
MT
ND
SD
ID
WY
NE
NE
WV
NV
KY
KS
SC
OK
AR
NM
AL
MS
LA
04-09-01
updated 5/17/02, KT
30
DEPSCoR Grant Amounts
Updated 5/16/01, KT
31
DEPSCoR Awards
States Receiving DEPSCoR Funding
Funding Dollars
Missouri was ineligible after FY 1994,
DEPSCoR Graduate
Updated 5/16/01, KT
32
DEPSCoR State Awards by Sponsor

DEPSCoR State Awards by Sponsor
FY 91- 2002
Number of Awards
updated 5/17/02, KT
33
Growth from DEPSCoR

• Strategic Focus by State Committees
• Diversify Funding Sources
• Substantial Research Outside of Sheltered
  Competition
• Focused Effort
• Relevant Research
• Whats the potential payoff for the Warfighter
• Quality Proposals
• Establish Contacts with the Component Scientists
• Blind Proposals are a shot in the dark
• Establish valuable Collaborations
• Best available within State/Nation

updated 7-08-02, KT
34
Back Up Slides
BACK UPSLIDES
5-20-97
35
Strategic Research Areas
Biomimeticsresearch to develop novel synthetic
materials, processes, and sensors through
advanced understanding and exploitation of design
principles found in nature. Nanoscienceresearc
h to achieve dramatic and innovative enhancements
in the properties and performance of structures,
materials, and devices that have controllable
features on the nanometer scale (i.e., tens of
angstroms). Smart Materials and
Structuresresearch to demonstrate advanced
capabilities for modeling, predicting,
controlling, and optimizing the dynamic response
of complex, multielement, deformable structures
used in land, sea, and aerospace vehicles and
systems. Information Technology (IT)research
to provide fundamental advances enabling the
rapid and secure transmission of large quantities
of multimedia information (speech, data, images,
and video) from point to point, broadcast, and
multicast over distributed networks of
heterogeneous communications, command, control,
computers, intelligence, surveillance, and
reconnaissance (C4ISR) systems. Human-Centered
Systemsresearch to develop advanced systems that
can sense, analyze, learn, adapt, and function
effectively in uncertain, changing, and hostile
environments in achieving the mission.
Compact Powerresearch to exploit new concepts
to achieve significant improvements in the
performance of compact power sources and power
consuming devices through fundamental advances
relevant to current technologies.
updated 5/16/01, KT
From the DRAFT FY2001 Basic Research Plan
36
UNIVERSITY RD PARTICIPATION Funding by Color of
Money

PRIMARILY FUNDING TO UNIVERSITY-AFFILIATED
LABORATORIES, SUCH AS THE APPLIED PHYSICS LAB AT
JOHN HOPKINS UNIVERSITY
Updated 7/04/02, KT
Source Federal Funds for Research and
Development, NSF02-321
37
University Research Initiative Program Funding
UPDATE THIS SLIDE
Or Do You See A Target Rich Environment?
Requested in FY 1998 -- 238 MILLION TOTAL
Gulf War Illness
URISP
3
4
DEPSCoR
Multidisciplinary Research
4
44
Rsrch Traineeships
20
Grad Fellowships
5
Early Career Awards
Instrumentation
1
19
5-20-97
38
PROGRAM DESCRIPTIONS

• UNIVERSITY RESEARCH INITIATIVE (URI)
• Multidisciplinary URI (MURI) Multidisciplinary
  university teams, long-term, major topics of
  joint interest, 1M/YR
• Augmentation Awards for SE Research Training
  (AASERT) Awards to DoD principal investigators
  for support of graduate students to work on DoD
  research projects (3YR awards)
• Defense University Research Instrumentation
  Program (DURIP) High end instrumentation for
  universities (up to 1M)
• HISTORICALLY BLACK COLLEGES/UNIVERSITIES
  MINORITY INSTITUTIONS (HBCU/MI)
• Research, instrumentation, centers, mentoring
  (13M)
• GOVERNMENT/INDUSTRY COSPONSORSHIP OF UNIVERSITY
  RESEARCH (GICUR)
• Potential New Start Program
• Multidisciplinary university-based program
  jointly funded by government and industry

5-20-97
39
Summary

• DoD is a key Federal Funder of Research and
  Students
• Sustaining Research and Development capabilities
  is Crucial to National Security Economic Health
  of the U.S.
• Sustaining the DoD Research Budget is Crucial to
  the continued success of this Nations
  technological advancements
• Universities play a critical role in our plan for
  continued leadership in world technology
• Increased awareness of ST is CRITICAL

5-20-97
40
DEPSCoR Authorization Legislation

• Authorization from PL103-337, as amended
• Secretary of Defense shall conduct DEPSCoR
• Objectives
• Enhance the capabilities of institutions of
  higher education universities in eligible
  States to develop, plan, and execute science and
  engineering research that is competitive under
  the peer-review systems used for awarding Federal
  research assistance and
• Increase the probability of long-term growth in
  the competitively awarded financial assistance
  that universities in eligible States receive from
  the Federal Government for science and
  engineering research.
• Activities
• Research grants
• Financial Assistance for Graduate Students
• Eligibility
• States designated by DUSD(AT)
• Formula - Sa lt (Na/50).6
• States with NSF established State Committees
• Demonstrated commitment to developing research
  base and improving science and engineering
  research and education programs at IHE

5-20-97
41
FY 1995 Federal Funding for Basic Research
UPDATE THIS SLIDE

• FY 1995 Total (6.1 Budget Category) 14.2
  Billion

(Source Federal Funds for RD, NSF Report 96-334)

• DoD major source of funding in computer science,
  electronics, optics, materials, aerospace
  engineering, and oceanography

5-20-97
42
Defense Basic Research by Discipline
UPDATE THIS SLIDE
1994 Total DoD 6.1 1.2B
Manufacturing
Cognitive Neural
Terrestrial
Atmosphere Space
Other
Mathematics
Computer Science
Chemistry
Physics
Mechanics
Materials
Ocean
Biology Medical
Electronics
0
2
4
6
8
10
12
14

5-20-97