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Calendar No. 697
105th CONGRESS
2d Session
S. 2217
[Report No. 105-364]
_______________________________________________________________________
A BILL
To provide for continuation of the Federal research investment in a
fiscally sustainable way, and for other purposes.
_______________________________________________________________________
October 2, 1998
Reported with an amendment
Calendar No. 697
105th CONGRESS
2d Session
S. 2217
[Report No. 105-364]
To provide for continuation of the Federal research investment in a
fiscally sustainable way, and for other purposes.
_______________________________________________________________________
IN THE SENATE OF THE UNITED STATES
June 25, 1998
Mr. Frist (for himself, Mr. Rockefeller, Mr. Domenici, Mr. Lieberman,
Mr. Burns, Mr. Bingaman, Mr. Gramm, Mr. Breaux, Mr. Cleland, Mr.
D'Amato, Mr. Moynihan, Mr. Kerry, Ms. Moseley-Braun, Mr. Kerrey, Mr.
Allard, Mr. Abraham, Mrs. Boxer, Mr. DeWine, Ms. Snowe, Mrs. Feinstein,
Mrs. Hutchison, Mr. Durbin, Mr. Faircloth, Mr. Dodd, Mr. Cochran, Mr.
Ashcroft, Ms. Landrieu, Mr. Warner, Mr. Thompson, Mr. Akaka, Mr.
Santorum, Mr. Sarbanes, Mr. Coverdell, and Mr. Robb) introduced the
following bill; which was read twice and referred to the Committee on
Commerce, Science, and Technology
October 2, 1998
Reported by Mr. McCain, with an amendment
[Strike out all after the enacting clause and insert the part printed
in italic]
_______________________________________________________________________
A BILL
To provide for continuation of the Federal research investment in a
fiscally sustainable way, and for other purposes.
Be it enacted by the Senate and House of Representatives of the
United States of America in Congress assembled,
<DELETED>SECTION 1. SHORT TITLE.</DELETED>
<DELETED> This Act may be cited as the ``Federal Research Investment
Act''.</DELETED>
<DELETED>SEC. 2. GENERAL FINDINGS REGARDING FEDERAL INVESTMENT IN
RESEARCH.</DELETED>
<DELETED> (a) Value of Research and Development.--The Congress makes
the following findings with respect to the value of research and
development to the United States:</DELETED>
<DELETED> (1) Federal investment in research has resulted in
the development of technology that saved lives in the United
States and around the world.</DELETED>
<DELETED> (2) Research and development investment across all
Federal agencies has been effective in creating technology that
has enhanced the American quality of life.</DELETED>
<DELETED> (3) The Federal investment in research and
development conducted or underwritten by both military and
civilian agencies has produced benefits that have been felt in
both the private and public sector.</DELETED>
<DELETED> (4) Discoveries across the spectrum of scientific
inquiry have the potential to raise the standard of living and
the quality of life for all Americans.</DELETED>
<DELETED> (5) Science, engineering, and technology play a
critical role in shaping the modern world.</DELETED>
<DELETED> (6) Studies show that about half of all United
States post-World War II economic growth is a direct result of
technical innovation; and science, engineering, and technology
contribute to the creation of new goods and services, new jobs
and new capital.</DELETED>
<DELETED> (7) Technical innovation is the principal driving
force behind the long-term economic growth and increased
standards of living of the world's modern industrial societies.
Other nations are well aware of the pivotal role of science,
engineering, and technology, and they are seeking to exploit it
wherever possible to advance their own global
competitiveness.</DELETED>
<DELETED> (b) Status of the Federal Investment.--The Congress makes
the following findings with respect to the status of the Federal
Investment in research and development activities:</DELETED>
<DELETED> (1) Federal investment of approximately 13 to 14
percent of the Federal discretionary budget in research and
development over the past 11 years has resulted in a doubling
of the nominal amount of Federal funding.</DELETED>
<DELETED> (2) Fiscal realities now challenge Congress to
steer the Federal government's role in science, engineering,
and technology in a manner that ensures a prudent use of
limited public resources. There is both a long-term problem--
addressing the ever-increasing level of mandatory spending--and
a near-term challenge--apportioning a dwindling amount of
discretionary funding to an increasing range of targets in
science, engineering, and technology. This confluence of
increased national dependency on technology, increased targets
of opportunity, and decreased fiscal flexibility has created a
problem of national urgency. Many indicators show that more
funding for science, engineering, and technology is needed but,
even with increased funding, priorities must be established
among different programs. The United States cannot afford the
luxury of fully funding all deserving programs.</DELETED>
<DELETED> (3) Current projections of Federal research
funding show a downward trend.</DELETED>
<DELETED>SEC. 3. ADDITIONAL FINDINGS REGARDING THE LINK BETWEEN THE
RESEARCH PROCESS AND USEFUL TECHNOLOGY.</DELETED>
<DELETED> The Congress makes the following findings:</DELETED>
<DELETED> (1) Flow of science, engineering, and
technology.--The process of science, engineering, and
technology involves many steps. The present Federal science,
engineering, and technology structure reinforces the
increasingly artificial distinctions between basic and applied
activities. The result too often is a set of discrete programs
that each support a narrow phase of research or development and
are not coordinated with one another. The government should
maximize its investment by encouraging the progression of
science, engineering, and technology from the earliest stages
of research up to a pre-commercialization stage, through
funding agencies and vehicles appropriate for each stage. This
creates a flow of technology, subject to merit review at each
stage, so that promising technology is not lost in a
bureaucratic maze.</DELETED>
<DELETED> (2) Excellence in the american research
infrastructure.--Federal investment in science, engineering,
and technology programs must foster a close relationship
between research and education. Investment in research at the
university level creates more than simply world-class research.
It creates world-class researchers as well. The Federal
strategy must continue to reflect this commitment to a strong
research infrastructure. Furthermore, the United States must
find ways to extend the excellence of its university system to
primary and secondary educational institutions and to better
utilize the community college system to prepare many students
for vocational opportunities in an increasingly technical
workplace.</DELETED>
<DELETED> (3) Commitment to a broad range of research
initiatives.--An increasingly common theme in many recent
technical breakthroughs has been the importance of
revolutionary innovations that were sparked by overlapping of
research disciplines. The United States must continue to
encourage this trend by providing and encouraging opportunities
for interdisciplinary projects that foster collaboration among
fields of research.</DELETED>
<DELETED> (4) Partnerships among industry, universities, and
federal laboratories.--Each of these contributors to the
national science and technology delivery system has special
talents and abilities that complement the others. In addition,
each has a central mission that must provide their focus and
each has limited resources. The nation's investment in science,
engineering, and technology can be optimized by seeking
opportunities for leveraging the resources and talents of these
three major players through partnerships that do not distort
the missions of each partner. For that reason, Federal dollars
are wisely spent forming such partnerships.</DELETED>
<DELETED>SEC. 4. MAINTENANCE OF FEDERAL RESEARCH EFFORT; GUIDING
PRINCIPLES.</DELETED>
<DELETED> (a) Maintaining United States Leadership in Science,
Engineering, and Technology.--It is imperative for the United States to
nurture its superb resources in science, engineering, and technology
carefully in order to maintain its own globally competitive
position.</DELETED>
<DELETED> (b) Guiding Principles.--Federal research and development
programs should be conducted in accordance with the following guiding
principles:</DELETED>
<DELETED> (1) Good science.--Federal science, engineering,
and technology programs include both knowledge-driven science
together with its applications, and mission-driven, science-
based requirements. In general, both types of programs must be
focused, peer- and merit-reviewed, and not unnecessarily
duplicative, although the details of these attributes must vary
with different program objectives.</DELETED>
<DELETED> (2) Fiscal accountability.--The Congress must
exercise oversight to ensure that programs funded with scarce
Federal dollars are well managed. The United States cannot
tolerate waste of money through inefficient management
techniques, whether by government agencies, by contractors, or
by Congress itself. Fiscal resources would be better utilized
if program and project funding levels were predictable across
several years to enable better project planning; a benefit of
such predictability would be that agencies and Congress can
better exercise oversight responsibilities through comparisons
of a project's and program's progress against carefully planned
milestones.</DELETED>
<DELETED> (3) Program effectiveness.--The United States
needs to make sure that government programs achieve their
goals. As the Congress crafts science, engineering, and
technology legislation, it must include a process for gauging
program effectiveness, selecting criteria based on sound
scientific judgment and avoiding unnecessary bureaucracy. The
Congress should also avoid the trap of measuring the
effectiveness of a broad science, engineering, and technology
program by passing judgment on individual projects. Lastly, the
Congress must recognize that a negative result in a well-
conceived and executed project or program may still be
critically important to the funding agency.</DELETED>
<DELETED> (4) Criteria for government funding.--Program
selection for Federal funding should require a long-term
horizon, with specific relevance to a Federal mission
requirement, or with broad knowledge-based goals. Additionally,
government funding should not compete with or displace the
short-term, market-driven, and typically more specific nature
of private-sector funding. Government funding should be
restricted to pre-competitive activities, leaving competitive
activities solely for the private sector. As a rule, the
government should not invest in commercial technology that is
in the product development stage, very close to the broad
commercial marketplace, except to meet a specific agency goal.
When the government provides funding for any science,
engineering, and technology investment program, it must take
reasonable steps to ensure that the potential benefits derived
from the program will accrue broadly.</DELETED>
<DELETED>SEC. 5. POLICY STATEMENT.</DELETED>
<DELETED> (a) Policy.--This Act is intended--</DELETED>
<DELETED> (1) to encourage, as an overall goal, the doubling
of the annual authorized amount of Federal funding for basic
scientific, medical, and pre-competitive engineering research
over the 12-year period following the date of enactment of this
Act;</DELETED>
<DELETED> (2) to set a minimum level of investment in order
to maintain the high priority that science, engineering, and
technology had previously been afforded in the Federal
budget;</DELETED>
<DELETED> (3) to invest in the future of the United States
and the people of the United States by expanding the research
activities referred to in paragraph (1);</DELETED>
<DELETED> (4) to enhance the quality of life for all people
of the United States; and</DELETED>
<DELETED> (5) to guarantee the leadership of the United
States in science, engineering, medicine, and
technology.</DELETED>
<DELETED> (b) Agencies Covered.--The agencies intended to be covered
by this Act are--</DELETED>
<DELETED> (1) the National Institutes of Health, within the
Department of Health and Human Services;</DELETED>
<DELETED> (2) the National Science Foundation;</DELETED>
<DELETED> (3) the National Institute for Standards and
Technology, within the Department of Commerce;</DELETED>
<DELETED> (4) the National Aeronautics and Space
Administration;</DELETED>
<DELETED> (5) the National Oceanic and Atmospheric
Administration, within the Department of Commerce;</DELETED>
<DELETED> (6) the Centers for Disease Control, within the
Department of Health and Human Services;</DELETED>
<DELETED> (7) the Department of Energy (to the extent that
it is not engaged in defense-related activities);</DELETED>
<DELETED> (8) the Department of Agriculture;</DELETED>
<DELETED> (9) the Department of Transportation;</DELETED>
<DELETED> (10) the Department of the Interior;</DELETED>
<DELETED> (11) the Department of Veterans Affairs;</DELETED>
<DELETED> (12) the Smithsonian Institution;</DELETED>
<DELETED> (13) the Department of Education; and</DELETED>
<DELETED> (14) the Environmental Protection Agency (to the
extent that it is engaged in science, engineering, and
technology activities for basic scientific, medical, or pre-
competitive engineering research).</DELETED>
<DELETED> (c) Historical investment trend.--</DELETED>
<DELETED> (1) Over the past 20 years, the percentage of the
civilian discretionary budget allocated to research and
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