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Calendar No. 205
106th CONGRESS
1st Session
S. 296
[Report No. 106-106]
_______________________________________________________________________
A BILL
To provide for continuation of the Federal research investment in a
fiscally sustainable way, and for other purposes.
_______________________________________________________________________
July 12, 1999
Reported with amendments
Calendar No. 205
106th CONGRESS
1st Session
S. 296
[Report No. 106-106]
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
January 22, 1999
Mr. Frist (for himself, Mr. Rockefeller, Mr. Domenici, Mr. Lieberman,
Mr. Gramm, Mr. Bingaman, Mr. Burns, Mr. Breaux, Mrs. Hutchison, Mr.
Cleland, Mr. Thompson, Mr. Kerry, Mr. DeWine, Mr. Kerrey, Mr. Abraham,
Mr. Akaka, Mr. Allard, Mrs. Boxer, Mr. Roberts, Mr. Robb, Ms. Snowe,
Ms. Landrieu, Mr. Cochran, Mr. Sarbanes, Mr. Levin, Mr. Dodd, Mr.
Santorum, Mr. Crapo, Mr. Kennedy, Mr. Durbin, Mr. Moynihan, Mrs.
Feinstein, Mr. Ashcroft, Mrs. Murray, Mr. Conrad, Mr. Coverdell, Mr.
Schumer, Mr. Lott, Mr. Thurmond, Mr. Bunning, and Mr. Daschle)
introduced the following bill; which was read twice and referred to the
Committee on Commerce, Science, and Transportation
July 12, 1999
Reported by Mr. McCain, with amendments
[Omit the part struck through 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,
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Federal Research Investment Act''.
SEC. 2. GENERAL FINDINGS REGARDING FEDERAL INVESTMENT IN RESEARCH.
(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:
(1) Federal investment in research has resulted in the
development of technology that saved lives in the United States
and around the world.
(2) Research and development investment across all Federal
agencies has been effective in creating technology that has
enhanced the American quality of life.
(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.
(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.
(5) Science, engineering, and technology play a critical
role in shaping the modern world.
(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.
(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.
(8) Federal programs for investment in research, which lead
to technological innovation and result in economic growth,
should be structured to address current funding disparities and
develop enhanced capability in States and regions that
currently underparticipate in the national science and
technology enterprise.
(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:
(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.
(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.
(3) Current projections of Federal research funding show a
downward trend.
SEC. 3. SPECIAL FINDINGS REGARDING HEALTH-RELATED RESEARCH.
The Congress makes the following findings with respect to health-
related research:
(1) Health and economic benefits provided by health-related
research.--Because of health-related research, cures for many
debilitating and fatal diseases have been discovered and
deployed. At present, the medical research community is on the
cusp of creating cures for a number of leading diseases and
their associated burdens. In particular, medical research has
the potential to develop treatments that can help manage the
escalating costs associated with the aging of the United States
population.
(2) Funding of health-related research.--Many studies have
recognized that clinical and basic science are in a state of
crisis because of a failure of resources to meet the
opportunity. Consequently, health-related research has emerged
as a national priority and has been given significantly
increased funding by Congress in fiscal year 1999. In order to
continue addressing this urgent national need, the pattern of
substantial budgetary expansion begun in fiscal year 1999
should be maintained.
(3) Interdisciplinary nature of health-related research.--
Because all fields of science and engineering are
interdependent, full realization of the nation's historic
investment in health will depend on major advances both in the
biomedical sciences and in other science and engineering
disciplines. Hence, the vitality of all disciplines must be
preserved, even as special considerations are given to the
health research field.
<DELETED>SEC. 3. </DELETED>SEC. 4. ADDITIONAL FINDINGS REGARDING THE
LINK BETWEEN THE RESEARCH PROCESS AND USEFUL TECHNOLOGY.
The Congress makes the following findings:
(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.
(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 geographically-
diverse 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.
(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.
(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>SEC. 4. </DELETED>SEC. 5. MAINTENANCE OF FEDERAL RESEARCH
EFFORT; GUIDING PRINCIPLES.
(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.
(b) Guiding Principles.--Federal research and development programs
should be conducted in accordance with the following guiding
principles:
(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.
(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.
(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.
(4) Criteria for government funding.--Program selection for
Federal funding should continue to reflect the nation's 2
traditional research and development priorities: (A) basic,
scientific, and technological research that represents
investments in the nation's long-term future scientific and
technological capacity, for which government has traditionally
served as the principle resource; and (B) mission research
investments, that is, investments in research that derive from
necessary public functions, such as defense, health, education,
environmental protection, and raising the standard of living,
which may include pre-commercial, pre-competitive engineering
research and technology development. 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>SEC. 5. </DELETED>SEC. 6. POLICY STATEMENT.
<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 11-year period following the date of enactment of this
Act;</DELETED>
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