U.S. National Science Foundation: An
Overview
Christine M. Matthews
Specialist in Science and Technology Policy
December 20, 2010
Congressional Research Service
7-5700
www.crs.gov
95-307
CRS Report for Congress
P
repared for Members and Committees of Congress
U.S. National Science Foundation: An Overview
Summary
The National Science Foundation (NSF) was created by the National Science Foundation Act of
1950, as amended (P.L.81-507). The NSF has the broad mission of supporting science and
engineering in general and funding basic research across many disciplines. The agency provides
support for investigator-initiated, merit-reviewed, competitively selected awards, state-of-the-art
tools, and instrumentation and facilities. The majority of the research supported by the NSF is
conducted at U.S. colleges and universities. Approximately 82.7% ($3,320.5 million) of NSF’s
FY2007 $4,049.4 million research and development (R&D) budget was awarded to U.S. colleges
and universities.
On February 17, 2009, President Barack Obama signed into law the American Recovery and
Reinvestment Act (ARRA), 2009, P.L. 111-5 (H.R. 1). The legislation provided slightly more than
$3.0 billion for the NSF—$2.5 billion for R&RA, $400.0 million for MREFC, $100.0 million for
EHR, and $2.0 million for the Office of Inspector General. Language in the conference agreement
directed that within the R&RA, $300.0 million be available solely for the Major Research
Instrumentation program. Additional conference language directed that of the total provided to
EHR, $60.0 million be directed to the Robert Noyce Program, $25.0 million be directed to the
MSP, and $15.0 million used solely for the Professional Science Master’s Program.
The FY2011 request for the NSF totals $7,424.4 million, an 8.0% increase ($551.9 million) over
the FY2010 estimate of $6,872.5 million. The FY2011 request provides support for seven major
directorates and other programs and activity accounts. The Research and Related Activities
(R&RA) account is funded at $6,018.8 million in the FY2011 request, 8.2% above the FY2010
estimate of $5,563.9 million. R&RA funds research projects, research facilities, and education
and training activities. R&RA includes Integrative Activities (IA), and is a source of funding for
the acquisition and development of research instrumentation at U.S. colleges and universities,
disaster research teams, Partnerships for Innovation, and the Science and Technology Policy
Institute. The FY2011 request for IA is $295.9 million. The Office of Polar Programs, funded in
the R&RA, is proposed at $528.0 million in the FY2011 request.
On July 22, 2010, the Senate Committee on Appropriations approved S. 3636, Commerce,
Justice, and Science Appropriations Bill, FY2011 (S.Rept. 111-229). The Senate bill requests a
total of $7,353.4 million for the NSF in FY2011, approximately $71.0 million below the
Administration’s FY2011 request and $480.9 million above the FY2010 estimate. Included in the
support for NSF is $5,967.2 million for the R&RA, $51.6 million below the President’s FY2011
request and $403.3 million above the FY2010 level.
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U.S. National Science Foundation: An Overview
Contents
Background ................................................................................................................................ 1
Organization and FY2011 Request .............................................................................................. 2
Biological Sciences (BIO)..................................................................................................... 3
Computer and Information Science and Engineering (CISE) ................................................. 3
Education and Human Resources (EHR) ............................................................................... 3
Engineering (ENG) ............................................................................................................... 4
Geosciences (GEO)............................................................................................................... 4
Mathematical and Physical Sciences (MPS) .......................................................................... 4
Social, Behavioral, and Economic Sciences (SBE) ................................................................ 4
Other Program Activities and Accounts ....................................................................................... 4
Policy Issues ......................................................................................................................... 5
Figures
Figure 1. NSF R&D Support in FY2010 Constant Dollars FY2001-FY2010............................... 2
Contacts
Author Contact Information ........................................................................................................ 8
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U.S. National Science Foundation: An Overview
Background
The NSF’s primary responsibility is to maintain the health and vitality of the U.S. academic
science and engineering enterprise. In addition to ensuring the nation’s supply of scientific and
engineering personnel, the NSF promotes academic basic research and science and engineering
education across many disciplines.1 Other federal agencies, in contrast, support mission-specific
research (i.e., health, agriculture, defense).
The NSF provides support for investigator-initiated, merit-reviewed, competitively selected
awards, state-of-the-art tools, instrumentation and facilities. NSF receives approximately 44,400
proposals for research, graduate and postdoctoral fellowships, and science, mathematics, and
engineering projects annually, and makes about 11,500 new funding awards. Support is provided
to academic institutions, industrial laboratories, private research firms, and major research
facilities and centers. In addition, annual awards are made for professional and service contracts.
While NSF does not operate any laboratories, it does support Antarctic research stations, selected
oceanographic vessels, and national research centers. Additionally, NSF supports university-
industry relationships and U.S. participation in international scientific ventures.
The majority of the research supported by the NSF is conducted at U.S. colleges and universities.
Approximately 81.9% ($3,569.1 million) of NSF’s estimated FY2008 $4,357.7 million research
and development (R&D) budget was awarded to U.S. colleges and universities.2 Preliminary data
reveal that in FY2008, NSF provided approximately 62.4% of all federally funded basic research
conducted at the nation’s colleges and universities, with the exclusion of biomedical research
sponsored by the National Institutes of Health.3
The NSF is an independent agency in the executive branch and under the leadership of a
presidentially appointed Director and a National Science Board (NSB) composed of 24 scientists,
engineers, and university and industry officials involved in research and education. The NSB and
the Director make policy for the NSF.
1 The NSF does not provide funding for research in clinical medicine, commerce, social work, or the arts and
humanities. However, its investments in basic research contribute to scientific advances in drug delivery, regenerative
medicine, and the design and manufacturing of pharmaceuticals.
2 National Science Foundation, Federal Funds for Research and Development: Fiscal Years 2006-2008, Detailed
Statistical Tables, NSF10-303, Arlington, VA, October 2009, Table 10.
3 While the FY2008 R&D appropriation of $4,049.4 million for NSF was only 3.9% of the total federal R&D budget,
the agency plays a significant role in maintaining the academic research enterprise. Preliminary FY2008 data reveal
that the NSF provided 14.3% of all federally supported basic research and 15.7% of federal academic research. In
addition, NSF was the second largest federal supporter of academic research in FY2008, eclipsed by the Department of
Health and Human Services, which provided 70.0%. The Department of Defense, the third largest supporter of
academic research, provided 6.3%. Federal Funds for Research and Development: Fiscal Years 2006-2008, Tables 10
and 59.
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U.S. National Science Foundation: An Overview
Figure 1. NSF R&D Support in FY2010 Constant Dollars
FY2001-FY2010
8,000
7,000
6,000
ons 5,000
illi
M 4,000
in
rs
a
ll 3,000
o
D
2,000
1,000
0
FY2001 FY2002 FY2003 FY2004 FY2005 FY2006 FY2007 FY2008 FY2009 FY2010
R&RA
EHR
Total, NSF
Source: National Science Foundation FY2011 Budget Request to Congress, Summary Tables -14. (R&RA—
Research and Related Activities, and EHR—Education and Human Resources).
Organization and FY2011 Request
The NSF has witnessed growth during a period of constrained research budgets. When measured
in current dollars, its total appropriation increased approximately 65.4% in 10 years—FY2001,
$4,459.9 million; FY2005, $5,480.8 million; and FY2010, $6,872.5 million. Even when inflation
is taken into account, its growth increased 25.7% during this 10-year period. The FY2011 request
for the NSF is $7,424.4 million, an 8.0% increase ($551.9 million) over the FY2010 estimate of
$6,872.5 million. Under President Barack Obama’s Plan for Science and Innovation, the
Administration has proposed doubling the federal investment in basic research over a period of 10
years relative to FY2006 levels. The FY2011 request will be an installment toward that doubling
effort. NSF has identified several strategies in the FY2011 budget request: to expand the scientific
workforce and broaden the participation from underrepresented groups and geographical regions;
to increase three-fold the number of new Graduate Research Fellowships awarded annually; to
expand and enhance international partnerships and interagency collaborations; to perform
effectively with the highest standards of accountability; to meet the National Innovation Strategy
goals of supporting next-generation information technology and secure cyber space; and to
maintain a portfolio of basic, high-risk, and transformative research across all disciplines. NSF
contends that in the global environment of science and engineering, support for transformative,
high-risk, high-reward research is critical to U.S. competitiveness. Arden L. Bement, Director,
NSF, describes transformative research as “a range of endeavors, which promise extraordinary
outcomes; such as, revolutionizing entire disciplines, creating entirely new fields, or disrupting
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U.S. National Science Foundation: An Overview
accepted theories and perspective.”4 Also included in the FY2011 budget request is $766.0
million for a portfolio of programs entitled Science, Engineering, and Education for
Sustainability. Support for these programs will provide integrated methods to expand U.S. energy
independence, reduce energy use and carbon intensity, and improve environmental management,
all while simultaneously promoting economic growth.
The FY2011 request provides support for seven major directorates and other programs and
activity accounts. The Research and Related Activities (R&RA) account is funded at $6,018.8
million in the FY2011 request, 8.2% above the FY2010 estimate of $5,563.9 million. R&RA
funds research projects, research facilities, and education and training activities. R&RA includes
Integrative Activities (IA), and is a source of funding for the acquisition and development of
research instrumentation at U.S. colleges and universities, disaster research teams, Partnerships
for Innovation, and the Science and Technology Policy Institute. The FY2011 request for IA is
$295.9 million. The Office of Polar Programs (OPP), funded in the R&RA, is proposed at $528.0
million in the FY2011 request. The directorates are the Biological Sciences; Computer and
Information Science and Engineering; Education and Human Resources; Engineering;
Geosciences; Mathematical and Physical Sciences; and Social, Behavioral, and Economic
Sciences. Six of the seven directorates are in the R&RA account. The seven major directorates are
described below.
Biological Sciences (BIO)
The FY2011 request of $767.8 million for the BIO Directorate supports programs structured to
improve scientific understanding of biological phenomena, ranging from the study of
fundamental molecules of living organisms to the complexity of biological systems. Types of
support to be provided include research workshops, symposia, conferences, the improvement of
research collections, purchase of scientific equipment, and operation of research facilities.
Computer and Information Science and Engineering (CISE)
The CISE Directorate is proposed at $684.5 million in the FY2011 request. Programs in CISE
focus on the fundamental understanding of computing and information processing, and the use of
state-of-the-art computational techniques in scientific and engineering research. Currently, areas
of research emphasis include parallel processing, automation and robotics, large-scale integrated
electronic systems, scientific computing, and networking.
Education and Human Resources (EHR)
The FY2011 request of $892.0 million for EHR supports science, engineering, mathematics, and
technology education at all educational levels. People receiving funding from the EHR include
senior researchers, postdoctoral associates, graduate and undergraduate students, and teachers and
students at the precollege level. Additional support is provided to individuals through informal
science activities.
4 Bement, Jr., Arden L., Director, National Science Foundation, “Transformative Research: The Artistry and Alchemy
of the 21st Century,” remarks, Texas Academy of Medicine, Engineering and Science Fourth Annual Conference,
Austin, Texas, January 4, 2007. http://www.nsf.gov/news/speeches/bement/07/alb070104_texas.jsp.
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U.S. National Science Foundation: An Overview
Engineering (ENG)
The activities of the ENG, at $825.7 million in the FY2011 request, are directed at enhancing the
long-term economic strength and security of the nation by fostering innovation and excellence in
engineering education and research. The ENG is focused on integrating education and research in
interdisciplinary areas such as information and communication technologies, biotechnology, and
environmental research.
Geosciences (GEO)
The FY2011 request of $955.3 million for the GEO Directorate is to support programs that
promote knowledge and discussions concerning earth, including the sun, atmosphere, continents,
oceans, and interior, and the linkages among them. One of the objectives of the GEO is to expand
the knowledge of the biological, chemical, geological, and physical processes in the ocean, and at
its boundaries, with the atmosphere and the earth’s crust.
Mathematical and Physical Sciences (MPS)
The FY2011 request of $1,409.9 million for the MPS is to fund programs designed to increase the
knowledge base in the relevant sciences; improve the quality of educational programs, with
emphasis at the undergraduate level; improve the rate at which research efforts are translated into
societal benefits; and increase the diversity of approaches and individuals in the mathematical and
physical sciences.
Social, Behavioral, and Economic Sciences (SBE)
The SBE Directorate, proposed at $268.8 million in FY2011, is to support programs directed at
developing basic scientific knowledge about human behavior, culture, interaction, and decision
making, and about social, political, and economic systems, organizations, and institutions. The
SBE serves as the nation’s primary data source on science and engineering human, institutional,
and financial resources.
Other Program Activities and Accounts
The Major Research Equipment and Facilities Construction (MREFC) account is funded at
$165.2 million in the FY2011 request, a 40.8% increase above the FY2010 estimate.5 The
MREFC supports the acquisition and construction of major research facilities and equipment that
extend the boundaries of science, engineering, and technology. According to NSF, it is the
primary federal agency providing support for “forefront instrumentation and facilities for the
academic research and education communities.” NSF’s first priority for funding is for ongoing
projects. Second priority is given to projects that have been approved by the National Science
Board for new starts. To qualify for support, NSF requires MREFC projects to have “the potential
5 The American Recovery and Reinvestment Act, FY2009, provided an additional $400.0 million for the MREFC in
FY2009. For expanded discussion of the MREFC account see CRS Report RS21267, U.S. National Science
Foundation: Major Research Equipment and Facility Construction, by Christine M. Matthews.
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to shift the paradigm in scientific understanding and/or infrastructure technology.” In FY2011
NSF anticipates construction of the National Ecological Observatory Network (NEON) at a cost
of $20.0 million. The NEON will compile data on the effects of climate changes, land use
changes, invasive species on natural resources, and biodiversity. The data from NEON will have
local, regional, and national uses. In addition to the support of NEON, NSF will continue its
support of four ongoing construction projects: Advanced Laser Interferometer Gravitational Wave
Observatory ($23.6 million), Atacama Large Millimeter Array ($13.9 million), Advanced
Technology Solar Telescope ($17.0 million), and the Ocean Observatories Initiative ($90.7
million).
The FY2011 request for the EHR Directorate is $892.0 million, $19.2 million (2.2%) above the
FY2010 estimate. The EHR portfolio is focused on, among other things, increasing the
technological literacy of all citizens; preparing the next generation of science, engineering, and
mathematics professionals; and closing the achievement gap of underrepresented groups in all
scientific fields. Support at the various educational levels in the FY2011 request is as follows:
research on learning in formal and informal settings (including precollege), $247.9 million;
undergraduate, $290.0 million; and graduate, $185.3 million. The Math and Science Partnership
Program (MSP), an interagency program, is proposed at $58.2 million in the FY2011 request. The
MSP in NSF coordinates activities with the Department of Education and its state-funded MSP
sites. NSF’s priorities in the EHR include Discovery Research K-12 ($118.5 million), Integrative
Graduate Education and Research Traineeship ($29.5 million), Graduate Research Fellowships
($107.6 million), and the Graduate Teaching Fellows in K-12 Education ($48.2 million). An
additional priority in the EHR will support a new comprehensive program to increase the
participation of undergraduates at Historically Black Colleges and Universities, at Tribal colleges
and universities, and at Hispanic-serving institutions. This new program, Comprehensive
Broadening Participation of Undergraduates in STEM, will build on and realign the existing NSF
programs that are directed at strengthening and expanding the participation of underrepresented
groups and diverse institutions in the scientific and engineering enterprise. The Comprehensive
Broadening Participation of Undergraduates in STEM is proposed at $103.1 million in the
FY2011 request.
Policy Issues
In September 2006, the NSF released the report, Investing in America’s Future- Strategic Plan
FY2006-2011.6 The report addresses the accelerating pace of scientific discoveries that are
occurring in a more competitive international environment. The Strategic Plan lists several
investment priorities that are targeted for increased emphasis or funding over the next five years.
The investments include furthering U.S. economic competitiveness; promoting transformational,
multidisciplinary research; improving K-12 teaching and learning in science and mathematics;
developing a comprehensive, integrated cyberinfrastructure; and strengthening the nation’s
collaborative advantage through unique networks and innovative partnerships.
There has been considerable debate in the academic and scientific community and in Congress
about the management and oversight of major projects selected for construction and the need for
prioritization of potential projects funded in the MREFC account. One continuing question has
focused on the process for including major projects in the upcoming budget cycle. In a
6 National Science Foundation, Investing in America’s Future-Strategic Plan FY2006-2011, NSF06-48, Arlington, VA,
September 2006, 19 pp.
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management report on major projects, NSF contends that because of the changing nature of
science and technology, it is necessary to have the flexibility of reconsidering facilities at the
various stages of development.7 In addition, NSF asserts that it must be able to respond,
effectively, to possible changes in interagency participation, international and cooperative
agreements, or co-funding for major facilities. NSF maintains that while some “concepts” may
evolve into major research projects, others may prove infeasible for project support.
In February 2008, NSF released its third annual Facility Plan.8 The 2008 Facility Plan covers
readiness stage projects through those projects that are in the process of completion. The Facility
Plan describes NSF’s goals and strategies for incorporating the existing approaches and practices
into a system for selecting, managing, and overseeing large facility projects to make certain that a
large facility is both constructed properly and is the appropriate facility to build. All projects
seeking funding in the MREFC move through a “progressive sequence of increasingly detailed
development and assessment steps” in order to be considered for construction support.
Several pieces of competitiveness legislation have been introduced in the 111th Congress to
strengthen science and mathematics education. There are concerns about the nation’s continued
ability to compete in world markets and to produce a scientific and technical workforce that
would ensure economic prosperity and military capability. A priority of the NSF is to advance the
productivity of research for students and teachers and to increase the number of U.S. students
pursuing scientific and technical disciplines. However, the FY2011 request proposed reductions
for some science education programs. The America COMPETES Act authorized increased
funding for selected science and mathematics education programs, and the establishment of some
new programs. Several of these programs did not receive the authorized level of funding in the
FY2010 budget request.9 Support for EHR has declined from $944.1 million in FY2004 to $892.0
million in the FY2011 request. Questions are being raised as to whether the NSF can effectively
continue in its explicit mission and responsibility to improve science and mathematics education.
On February 17, 2009, President Obama signed into law P.L. 111-5, the American Recovery and
Reinvestment Act, 2009 (H.R. 1). The legislation provided approximately $3.0 billion in
additional appropriation funding for NSF in FY2009—$2.5 billion for R&RA, $400.0 million for
MREFC, $100.0 million for EHR, and $2.0 million for the Office of Inspector General. Language
in the conference agreement directs that within the R&RA, $300.0 million be available solely for
the Major Research Instrumentation program. Additional conference language directs that of the
total provided to EHR, $60.0 million be directed to the Robert Noyce Program, $25.0 million be
directed to the MSP, and $15.0 million used solely for the Professional Science Master’s
Program. The House-passed version of H.R. 1 had provided similar funding levels for the
selected directorates and programs. The Senate-passed version of the legislation, however, would
have provided slightly more than $1.2 billion for the NSF—$1.0 billion for R&RA, $150.0
million for MREFC, $50.0 million for EHR, and $2.0 million for the Office of Inspector General.
On July 22, 2010, the Senate Committee on Appropriations approved S. 3636, Commerce,
Justice, and Science Appropriations Bill, FY2011 (S.Rept. 111-229). The Senate bill requests a
7 National Science Board, Setting Priorities for Large Research Projects Supported by the National Science
Foundation, NSB05-77, Arlington, VA, September 2005, 31 pp.
8 National Science Foundation, 2008 Facility Plan, NSF08-24, Arlington, VA, February 2008, 44 pp. Note: The 2009
Facility Plan is currently in its final review.
9 See CRS Report RL34396, The America COMPETES Act and the FY2009 Budget, by Deborah D. Stine.
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U.S. National Science Foundation: An Overview
total of $7,353.4 million for the NSF in FY2011, approximately $71.0 million below the
Administration’s FY2011 request and $480.9 million above the FY2010 estimate.10 Included in
the support for NSF is $5,967.2 million for the R&RA, $51.6 million below the President’s
FY2011 request and $403.3 above the FY2010 level. Within the R&RA, $144.6 million is
provided for cybersecurity research, with $55.0 million being directed at the Comprehensive
National Cybersecurity Initiative. EPSCoR is to be funded at $157.4 million, a 7.0% increase
over the FY2010 level. The Committee report proposes transferring $54.0 million to the Coast
Guard for operation and maintenance of the polar icebreakers.11 The Senate Committee will also
provide $155.2 million for MREFC ($10.0 million below the request and $37.9 million above the
FY2010 level) and $892.0 million for the EHR (an amount level with the request and $19.2
million above FY2010). The Committee denies the Administration’s request to merge the
programs directed at broadening participation in the sciences—Historically Black Colleges and
Universities Undergraduate Program (HBCU-UP), Tribal Colleges and Universities Program (T-
CUP), and Louis Stokes Alliances for Minority Participation (LSAMP). The report states that
“These three programs each have different purposes and engage students and colleges and
universities in a different manner. One size will not fit all.”12 The report directs NSF to maintain
the structure of these programs and to fund HBCU-UP at $32.0 million, T-CUP at $14.0 million,
and LSAMP at $44.8 million in FY2011.13
H.R. 5116, the America COMPETES Reauthorization Act, FY2010 passed the House on May 28,
2010 (H.Rept. 111-478).14 The bill authorizes appropriations for the NSF for the next five years in
the following amounts: FY2011, $7,481.0 million; FY2012, $8,127.0 million; FY2013, $8,764.0
million; FY2014, $9,436.0 million; and FY2015, $10,161.0 million. Within those authorization
levels, the R&RA is to receive the following: FY2011, $6,020.0 million, FY2012, $6,496.0
million; FY2013, $7,009.0 million; FY2014, $7,562.0 million; and FY2015, $8,160.0 million.
Language in the report directs that a minimum of 5.0% of the research budget be directed toward
high-risk, high-reward, potentially transformative basic research. Language is also included that
states that prior to any realignment of the Broadening Participation Program, NSF should develop
a plan clarifying the objectives of the proposed changes, detailing how the separate programs
would contribute to increasing the number of individuals from underrepresented groups.
On October 18, 2010, Subra Suresh was sworn in as the 13th director of the NSF.15 He replaces
Arden L. Bement who had held the position since 2004.16 Suresh, a mechanical engineer and
10 The FY2010 level has been adjusted reflecting the Coast Guard transfer.
11 Report language in the Senate Committee report cautioned NSF that for FY2012, no funds would be considered for
the operation and the maintenance of the icebreakers Polar Sea and Polar Star. (Although security needs in the Arctic
have increased, both of these heavy icebreakers are currently out of service.) Such funding for operation and
maintenance would have to be sought and included in the Coast Guard’s budget request. An updated Memorandum of
Agreement between the Coast Guard and the NSF must be submitted to the Senate Committee by December 31, 2010.
12 Senate Committee on Appropriations, Departments of Commerce and Justice, and Science, and Related Agencies
Appropriations Bill, 2011, 111th Congress, 2nd Sess., Report to accompany S. 3636, S.Rept. 111-229, July 22, 2010, p.
138.
13 See for example Mervis, Jeffrey, “NSF Misfires on Plan to Revamp Minority Programs,” Science, v. 329, July 23,
2010, p. 376.
14 On May 18, 2010, H.R. 5116 was reintroduced as H.R. 5325. H.R. 5325 was considered under suspension of the
rules but failed to get the necessary two-thirds vote. H.R. 5325 was moved to unfinished business. For an expanded
discussion of the America COMPETES Act, see for example CRS Report R41231, America COMPETES
Reauthorization Act of 2010 (H.R. 5116) and the America COMPETES Act (P.L. 110-69): Selected Policy Issues,
coordinated by Heather B. Gonzalez.
15 Suresh was confirmed by the Senate on September 30, 2010. The appointment is for a six-year term.
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former dean of the school of engineering at the Massachusetts Institute of Technology, has
conducted research in materials science and biology. Suresh indicated that some changes at NSF
that may be necessary to make include the peer review system, a reevaluation of the requirement
for a “broader impact” measure in grant proposals, and the loss of talent along the scientific and
technical pipeline.17 These issues and others are to be addressed in a climate of rising national
debt concerns, budget constraints, and the changing political structure of a 112th Congress.18
Author Contact Information
Christine M. Matthews
Specialist in Science and Technology Policy
cmatthews@crs.loc.gov, 7-7055
(...continued)
16 Bement resigned his position at NSF in May 2010 to become Director, Global Policy Research Institute, Purdue
University.
17 Mervis, Jeffrey, “A World of Changes Prepares Subra Suresh to Tackle Change at NSF”, Science, v. 330, November
19, 2010, pp. 1034-1035.
18 See for example Young, Kerry, “GOP Aims Down, Not Up in Reversal of Budget Goals,” Congressional Quarterly,
December 15, 2010, http://www.cq.com/alertmatch/116816465.
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