Van Scoyoc Associates, Inc'

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Van Scoyoc Associates, Inc.
Federal Funding Workshop Presented by Kevin
Kelly, Van Scoyoc Associates November 13, 2008
WWW.VSADC.COM CONTACT KEVIN KELLY
202.638.1950
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Federally Sponsored Research in the Current
Fiscal Climate
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Budget Challenges Ahead
Federal Research Funding Flat in 2009

• As the federal government enters FY 2009 with an
  RD portfolio of 147.3 billion, an increase of
  2.9 billion or 2 due entirely to a large
  increase for DOD's RD.
• Defense RD gains strongly with a 3.6 or 3
  billion boost to 86.1 billion in 2009, nearly
  all of which is final.
• However the flat-funding formula of the CR
  results in a 61.2 billion total for nondefense
  RD at the start of FY 2009, a cut of 0.1
  compared to 2008.

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Budget Challenges Ahead (continued)

• Taking out development investments, the federal
  investment in basic and applied research totals
  58.2 billion at the start of FY 2009, a small
  244 million or 0.4 percent increase due to large
  research increases in the finalized DOD, DHS, and
  VA budgets.
• After adjusting for inflation, the federal
  investment in research could decline for the
  fifth year in a row in 2009 if the CR's funding
  levels hold for the entire year.
• The flat funding levels of the CR put requested
  increases for the three agencies in the Bush
  Administration's American Competitiveness
  Initiative (ACI) on hold.

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Budget Challenges Ahead

• Four science agencies that received additional
  2008 funding in a June supplemental start FY 2009
  at a reduced funding level.
• The National Institutes of Health (NIH) received
  150 million in June, but without those funds in
  the 2008 base NIH begins 2009 with a budget of
  29.5B in the CR, down 150M or 0.5.
• DOEs Office of Science loses 63M in 2008
  supplementals in the 2009 CR, for a 1.7 cut to
  3.6B for its RD portfolio.
• NSF begins FY 2009 under the CR with 4.5B in RD
  funding, down 23M or 0.5.
• NASA sees its RD funding fall 63M or 0.5 to
  12.2B.

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Follow the Money
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Follow the money

• Development funding gains in 2009, increasing
  2.7 billion or 3.3 to 84.6B. 80 of all
  federal development goes to DOD for weapons
  systems development.
• Defense RD currently makes up nearly 59 of the
  federal RD portfolio under the CR, since large
  DOD increases become final while most nondefense
  programs are flat funded.
• Overall nondefense RD would decline slightly
  under the CR by 0.1 percent to 61.2 billion and
  among the nondefense missions only agriculture
  RD would show a slight uptick (up 2.6) because
  new mandatory agricultural research funds become
  available in FY 2009.

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Follow the Money
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Follow the Money
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Follow the Money
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Follow the Money
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Who gets the Federal RD dollars?
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Impact of an Obama Administration

• President Obama in early 2009 will face a more
  difficult fiscal climate.
• The financial sector rescue package will be in
  full force by early next year, with hundreds of
  billions of dollars flowing out of the U.S.
  Treasury.
• The projected budget deficit in FY 2009 will
  almost certainly climb over the next few months,
  putting pressure on Congress President Obama to
  scale back government spending.
• Congress may hold to their attempts to add 21
  billion to the request for domestic
  appropriations, but there is also a strong chance
  they will scale back spending when finalizing the
  remaining appropriations bills.
• Congress supports increases for American
  Competitiveness Initiative programs and funding
  well above requested levels for biomedical
  research, environmental, and energy RD, the
  later the appropriations process goes the more
  likely it is that lawmakers will abandon or scale
  back these increases.

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How Do Universities Grow Their Federal Research
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Needs Assessment

• What investments does Arkansas need to go from
  good-to-great in selected areas of research
  emphasis?
• The University Foundation -- human and physical
  infrastructure
• People
• Facilities
• Equipment
• What is our triage intervention that creates a
  critical path to greatness.

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How faculty can improve reach and effectiveness

• Develop and sustain relationships with key civil
  servants at federal RD agencies by volunteering
  to serve on
• Review panels for awards
• Advisory Commissions or Boards
• System whereby someone is designated to monitor
  all relevant federal RD websites that announce
  funding opportunities
• Do an inventory of contacts your researchers may
  already have at certain agencies, past or present.

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Setting Priorities

• Strategic objectives
• Assess each proposed initiative for its research
  proficiency is it
• World Class/One-of-a-kind?
• Competitive?
• Emerging?
• Identify and support the stars on the faculty
• Most research universities rely on their top 10
• Faculty with competitive federal funding track
  record.

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Create a Narrow Class of Competition

• The HBCU Research University Science Technology
  (THRUST) Initiative
• Provided 10M to establish an initiative that
  will stimulate the competitive research and
  development capacity of the ten historically
  black colleges and universities that provide
  doctoral degrees in science-related fields.
• Airborne Particulate Matter Research
• Congress create a 8 million program within the
  Environmental Protection Agency for extramural,
  university based research grants on air
  particulate matter for as many as five university
  based centers on PM research.

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Federal Research Opportunities Whats Hot and
Whats Not
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FY09 Budget Overview

• Physical sciences again enjoy top priority,
  biomedical research budget stays flat
• Major increases to 3 American Competitiveness
  Initiative agencies only (NSF, NIST DOE)
• Goal is to double these agencies budgets during
  2006 2016 time frame
• Non ACI agencies with decent increases are DOD
  and NASA
• Homeland Security RD also sees major increase to
  5.5 billion (10.2 increase)
• 95 of federal RD funding is handled in just 4
  of the annual appropriations bills (C/J/S, DOD,
  EW and Labor/HHS/Education).

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Areas of Emphasis

• The Federal Government and its RD mission
  agencies constantly shift priorities and areas of
  emphasis.
• Currently, the Fab 5 are
• Nanotechnology (National Nanotechnology
  Initiative)
• Energy Research (renewable, clean energy)
• Homeland Security (technologies)
• Translational health research
• Computing network security and resilience.

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Energy

• The Senate would dramatically boost funding for
  DOEs energy RD programs by 22 to 2.9B in 2009
  after enormous increases in 2007 and 2008.
• Funding for most renewable energy RD portfolios,
  energy conservation technologies, and coal
  research would climb dramatically in the Senate
  plan.
• In fossil fuels, coal RD would soar 31 to 644M
  despite the elimination of FutureGen funding,
  including a 25 boost to 149M for carbon
  sequestration research.
• In renewables, funding for biomass, solar energy,
  wind energy, geothermal, and hydropower RD would
  climb dramatically.
• The total DOE RD portfolio would soar 12.7 or
  1.2B to 11B in the Senate appropriation.

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Previous Appropriations Trends
DOE RD Budget Trends
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Social Behavioral Sciences

• NSF funding 233 million (up 18 million, or 8.5
  percent) for the Social, Behavioral, and Economic
  Sciences (SBE) directorate lags because of the
  ACIs emphasis on physical sciences and
  engineering.
• In FY 2009, SBE expects to make 1,277 competitive
  awards and 810 research grants. The average award
  size is estimated to be 117,810 per year and an
  average duration of 2.5 years.
• Recent flat funding for NIH has kept behavioral
  and social science budgets stagnant.
• Education research and data budget increases
  focus on assessment and state data systems.
• A National Academies reports call for increases
  in social and behavioral research related to the
  military is not reflected in the FY 2009 budget.

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Previous Appropriations Trends
NIH RD Budget Trends
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NIH RD Budget Trends
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Previous Appropriations Trends
NSF RD Budget Trends
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Previous Appropriations Trends
Defense RD Budget Trends
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Follow the Money
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Areas of recent DOD RD Increased Investment (6.1
6.3)

• Army RDTE
• Command, Control, Communications Advanced
  Technologies
• Electronic Warfare Advanced Technology
• Combating Terrorism Technology Development
• Advanced Tactical Computer Science and Sensor
  Technology.
• Navy RDTE
• Force Protection Applied Research
• Mine Expeditionary Warfare Applied Research
• Warfighter Sustainment Advanced Technology
• Joint Non-Lethal Weapons Technology Development
• Undersea Warfare Advanced Technology.

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Areas of recent DOD RD Increased Investment (6.1
6.3)

• Air Force RDTE
• Materials
• Aerospace Vehicle Technologies
• Directed Energy Technologies
• Aerospace Technology Development/Demonstration
• Global Positioning System Extension Program.
• Defense wide RDTE
• Information Communications Technology
• Cognitive Computing Systems
• Tactical Technologies
• Counterproliferation Initiatives
• Chemical/Biological Defense Program
• Joint Robotics/Autonomous Systems
• Strategic Environmental Research Program.

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DOD - Areas of Emphasis

• Last week Department of Defense announced plans
  to invest an additional 400 million over the
  next five years to support basic research at
  academic institutions.
• Projects will be based on numerous academic
  disciplines, including physics, ocean science,
  chemistry, electrical engineering, materials
  science, environmental engineering, mechanical
  engineering, information sciences, civil
  engineering, mathematics, chemical engineering,
  geosciences, atmospheric science, and
  aeronautical engineering.
• Topics for the initial funding will focus on the
  following areas of technical challenge counter
  weapons of mass destruction (WMD), network
  sciences, energy and power management, quantum
  information sciences, human sciences, science of
  autonomy, information assurance, biosensors and
  bio-inspired systems, information fusion and
  decision science, and energy and power management.

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Homeland Security

• Congress has finalized an appropriations bill
  providing 1.1B in fiscal year (FY) 2009 for RD
  in the Department of Homeland Security (DHS), a
  9.4 or 93M increase over 2008.
• RD on radiological and nuclear countermeasures
  in the Domestic Nuclear Detection Office (DNDO)
  would fall slightly with a 5 million or 1.9 cut
  to 269M, and chemical and biological
  countermeasures RD in the Science and Technology
  Directorate would also fall (down 3.7 to 200M).
  
• Large increases for RD to support other DHS
  missions such as explosives, technology
  transitions, border and maritime security, and
  protecting infrastructure, and a dramatic 56
  increase for DHS laboratory facilities to 162M.
• University Programs funding would gain slightly
  by 1M to 50M.
• In addition, DHS will receive 2.2B in already
  appropriated funds for Project Bioshield to
  procure biodefense countermeasures from the
  private sector for the national stockpile.

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Agriculture

• The Senate would add 360 million to the budget
  request for RD in the U.S. Department of
  Agriculture (USDA) in 2009, for a total of 2.3
  billion, 1.7 percent less than 2008.
• In June, Congress finally enacted a five-year
  farm bill, the Food, Conservation, and Energy Act
  of 2008 (Public Law 110-246) to reauthorize farm
  and nutrition programs from 2008 through 2012.
  The law creates several new mandatory
  agricultural research programs
• Provides 88 million in research funding for
  2009, but the Senate appropriation would take
  back some of the mandatory funding to retain 16
  million for organics research,
• 36 million for specialty crops research (fruits
  and vegetables), and
• 20 million for bioenergy research, for a total
  of 72 million in research money taken out of the
  Commodity Credit Corporations (CCC) mandatory
  funding pool and given to CSREES to administer.
• Specialty crops research gets a head start with
  30 million in research funding for 2008 that is
  already available.

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Arts Humanities

• Funding Overview
• The Presidents FY09 budget request proposes flat
  funding for NEH at 144.4 million.
• The Presidents FY09 budget request for NEA was
  128.4 million down from 144M in FY08.

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Arts Humanities

• NEH Research Grants
• Fellowships and Stipends - awarded to
  individual scholars for full-time, advanced
  research in the humanities.
• Collaborative Research - supports scholarly
  activities conducted by teams of researchers and
  fellowship programs administered by centers for
  advanced study in the humanities.
• NEH Education Grants
• Professional Development - supports Summer
  Seminars and Institutes for School and College
  Teachers, Landmarks of American History and
  Culture Workshops, and Faculty Humanities
  Workshops.
• Teaching and Learning Resources - supports
  Curriculum and Materials Development grants and
  Humanities Initiatives for Faculty at
  Presidentially Designated Colleges and
  Universities.

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Previous Appropriations Trends
NASA RD Budget Trends
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Nanotech - NNI Funding Trends FY04 to FY08
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Building a Battle (Action) Plan to Grow RD
Funding at Arkansas
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Directed Funding

• Mechanisms at the Congressional level
• Hard earmarks
• Depending on agency, can provide support for
  buildings, instruments or research (paying for
  faculty time to conduct research).
• Create a narrow class of competition
• Not earmarked to Arkansas specifically, but
  structured in such a way to make you prohibitive
  favorite to win awards.
• Program level expansion
• Plus up programs in which you are involved or
  could be involved (e.g. nano).

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Competitive Funding

• University of Arkansas should develop contact
  plans for each agency to undertake outreach
  marketing of your research skills
• What are our capture targets for funding?
• How much? Which Agencies? How long?
• Whats our brand as University of Arkansas
  each college or department?
• Is capturing federal funds a key criteria for
  awarding tenure?
• Do we have a marketing pitch (or road show) to
  use on a day of visits to a specific agency?

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Partners may be key to success

• More bang for the buck if your delegation can
  fund joint University of Arkansas requests with
  other Arkansas partners
• Outside University Partners
• SURA
• Industry Partners
• Defense Energy technologies
• Small businesses
• Emerging companies in fields like nanotech,
  photonic devices, environmental science,
  advanced materials.

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How we can help you be more competitive

• Identify current and emerging competitive funding
  at RD agencies
• Help devise and execute a focused contact plan at
  major RD agencies
• Help secure meetings with key program executives
  at Federal mission agencies with a road show of
  University of Arkansas capabilities to improve
  your visibility
• Use meetings both with Congress and Agencies to
  help tailor emerging competitive RD programs
  to Arkansas' strengths
• Provide suggested partnerships with other
  institutions/entities (political and scientific).

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Example Drill Baby, Drill.!

• You identify subject of research i.e., materials.
• Must have buy-in by multiple parties at the
  University.
• VSA will drill down and review the various
  federal funding opportunities for that subject
  area.
• Provide you the list and plan of action to secure
  that funding opportunity.