Science and Technology Issues in the 113th
Congress
Frank Gottron, Coordinator
Specialist in Science and Technology Policy
June 20, 2013
Congressional Research Service
7-5700
www.crs.gov
R43114
CRS Report for Congress
Pr
epared for Members and Committees of Congress
Science and Technology Issues in the 113th Congress
Summary
Science and technology have a pervasive influence over a wide range of issues confronting the
nation. Public and private research and development spurs scientific and technological
advancement. Such advances can drive economic growth, help address national priorities, and
improve health and quality of life. The constantly changing nature and ubiquity of science and
technology frequently creates public policy issues of congressional interest.
The federal government supports scientific and technological advancement by directly funding
research and development and indirectly by creating and maintaining policies that encourage
private sector efforts. Additionally, the federal government establishes and enforces regulatory
frameworks governing many aspects of S&T activities.
This report briefly outlines an array of science and technology policy issues that may come before
the 113th Congress. Given the ubiquity of science and technology and its constantly evolving
nature, some science and technology related-issues not discussed in this report may come before
the 113th Congress. The selected issues are grouped into 11 categories:
• Overarching S&T issues,
• Workforce and Education,
• Agriculture,
• Biomedical Research and Development,
• Defense,
• Space,
• Nanotechnology,
• Environment,
• Energy,
• Homeland Security, and
• Information Technology.
Each of these categories includes concise analysis of multiple policy issues. The information and
analysis presented in this report should be viewed as introductory rather than comprehensive.
Each section identifies available CRS reports and the appropriate CRS expert for further
information and analysis.
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Contents
Introduction ...................................................................................................................................... 1
Overarching S&T Policy Issues ....................................................................................................... 1
The Federal Science and Technology Policymaking Enterprise................................................ 1
Federal Funding for Research and Development ...................................................................... 2
America COMPETES Act ......................................................................................................... 3
Technological Innovation and the Economy: Impact of Federal R&D Funding ....................... 4
Intellectual Property and Competitiveness Issues ..................................................................... 5
R&D Partnerships and Intellectual Property ............................................................................. 6
Tax Incentives for Technological Innovation ............................................................................ 7
Public Access to Federal Research Results ............................................................................... 8
Workforce and Education ................................................................................................................ 9
Adequacy of the U.S. Science and Engineering Workforce ...................................................... 9
Science, Technology, Engineering, and Mathematics (STEM) Education .............................. 10
Agriculture ..................................................................................................................................... 11
Agricultural Research .............................................................................................................. 11
Agricultural Biotechnology ..................................................................................................... 12
Biomedical Research and Development ........................................................................................ 12
National Institutes of Health (NIH): Budget and Oversight Issues ......................................... 13
Stem Cell Research .................................................................................................................. 13
Prescription Drugs: Costs, Availability, and Federal R&D ..................................................... 14
Defense .......................................................................................................................................... 16
Department of Defense Research, Development, Test, and Evaluation .................................. 16
Space .............................................................................................................................................. 17
NASA ...................................................................................................................................... 17
Earth Observing Satellites ....................................................................................................... 18
Nanotechnology ............................................................................................................................. 18
Nanotechnology and the National Nanotechnology Initiative ................................................. 18
Environment .................................................................................................................................. 19
Climate Change Science .......................................................................................................... 20
Water Research ........................................................................................................................ 21
Carbon Capture and Sequestration .......................................................................................... 22
Geoengineering Technologies ................................................................................................. 23
National Ocean Policy ............................................................................................................. 24
Energy ............................................................................................................................................ 24
Reprocessing of Spent Nuclear Fuel ....................................................................................... 24
Ocean Energy Technologies .................................................................................................... 25
Homeland Security ........................................................................................................................ 26
R&D in the Department of Homeland Security ...................................................................... 27
Detection of Smuggled Nuclear Material ................................................................................ 27
Chemical, Biological, Radiological, and Nuclear Medical Countermeasures ......................... 28
The Select Agent Rule: Bioagent Lab Registration and Security ............................................ 29
BioWatch: Detection of Aerosol Release of Biological Agents .............................................. 30
Publishing Scientific Results with Potential Security Risks .................................................... 30
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Information Technology................................................................................................................. 31
Cybersecurity ........................................................................................................................... 31
Internet Governance and the Domain Name System ............................................................... 33
Broadband Deployment ........................................................................................................... 34
The Federal Networking and Information Technology Research and Development
Program ................................................................................................................................ 35
Using Technology to Manage Spectrum Resources ................................................................ 35
Contacts
Author Contact Information........................................................................................................... 36
Key Policy Staff ............................................................................................................................. 37
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Introduction
Science and technology play an increasingly important role in our society. Advances in science
and technology can help drive economic growth, improve human health, increase agricultural
productivity, and help meet national priorities.
Federal policies affect scientific and technological advancement on several levels. The federal
government directly funds research and development activities to achieve national goals or
support national priorities such as funding basic life science research through the National
Institutes of Health (NIH) or new weapons of mass destruction detectors through the Department
of Homeland Security (DHS). The federal government establishes and maintains the legal and
regulatory framework that affects science and technology activities in the private sector. Tax,
intellectual property, and education policies can have large effects on private sector S&T activity
performance. The federal government also directly regulates certain aspects of science and
technology such as limiting who is allowed to perform research with certain dangerous biological
pathogens through the select agent program or who is allowed to use portions of the radio
frequency spectrum for commercial purposes.
Many science and technology policy issues may come before the 113th Congress. This report is
designed to serve as a brief introduction to many of these issues. Each issue section provides
some background information and outlines the policy issues that may be considered. Each issue
includes a heading entitled “For Further Information” that provides the author’s contact
information and the titles of relevant CRS reports to pursue more detailed policy analysis and
information.
Overarching S&T Policy Issues
Several issues of potential congressional interest apply to federal science and technology policy
in general. This section begins with a brief introduction to the roles each branch of the federal
government plays in S&T policymaking, then discusses overall federal funding of research and
development and its effect on innovation. Additional sections address issues in intellectual
property and tax policy and public access to federally supported research results.
The Federal Science and Technology Policymaking Enterprise
The federal science and technology (S&T) policymaking enterprise is composed of an extensive
and diverse array of stakeholders in the executive, legislative, and judicial branches. The
enterprise fosters, among other things: the advancement of scientific and technical knowledge;
science, technology, engineering, and mathematics (STEM) education; the application of S&T to
achieve economic, national security, and other societal benefits; and the use of S&T to improve
federal decision making.
Federal responsibilities for S&T policymaking are highly decentralized. Congress enacts laws to
establish, refine, and eliminate S&T-related programs and policies, as well as regulations,
regulatory agencies, and regulatory processes that rely on S&T data and analysis. Congress’
authorities related to S&T policymaking are diffuse. While the primary congressional committees
for S&T policy are the House Committee on Science, Space, and Technology and the Senate
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Committee on Commerce, Science, and Transportation, other House and Senate committees also
have jurisdiction over important elements of S&T policy. In addition, there are dozens of informal
congressional caucuses in areas of S&T policy such as research and development, specific S&T
disciplines, and STEM education.
The President formulates annual budgets, policies, and programs for consideration by Congress;
issues executive orders and directives; and directs the executive branch departments and agencies
responsible for implementing S&T policies and programs. The Office of Science and Technology
Policy, in the Executive Office of the President, advises the President and other Administration
officials on S&T issues.
Executive agency responsibilities for S&T policymaking are also diffuse. Some agencies have
broad S&T responsibilities (e.g., the National Science Foundation). Others use S&T to meet a
specific federal mission (e.g., defense, energy, health, space). Regulatory agencies have S&T
responsibilities in areas such as nuclear energy, food and drug safety, and environmental
protection.
Federal court decisions often affect U.S. science and technology policy. Decisions can have an
impact on the development of science and technology (e.g., decisions regarding the U.S. patent
system); S&T-intensive industries (e.g., the break-up of AT&T in the 1980s); and the
admissibility of S&T-related evidence (e.g., DNA evidence).
For Further Information
John F. Sargent Jr., Specialist in Science and Technology Policy (jsargent@crs.loc.gov, 7-9147)
CRS Report RL34736, The President’s Office of Science and Technology Policy (OSTP): Issues
for Congress, by John F. Sargent Jr. and Dana A. Shea
Federal Funding for Research and Development
The federal government has long supported the advancement of scientific knowledge and
technological development through investments in research and development (R&D). Federal
R&D funding seeks to address a broad range of national interests, including national defense,
health, safety, the environment, and energy security; advancing knowledge generally; developing
the scientific and engineering workforce; and strengthening U.S. innovation and competitiveness.
The federal government has played an important role in supporting R&D efforts that have led to
scientific breakthroughs and new technologies, from jet aircraft and the Internet to
communications satellites and defenses against disease.
Between FY2009 and FY2013, federal R&D funding fell from $147.3 billion to an estimated
$138.9 billion, a decline of 5.7% in current dollars (11.0% in constant dollars). This decline is a
reversal of sustained growth in federal R&D funding for more than half a century, and has stirred
debate about the potential long-term effects on U.S. technological leadership, innovation,
competitiveness, economic growth, and job creation. Concerns about reductions in federal R&D
funding have been exacerbated by increases in the R&D investments of other nations (China, in
particular); globalization of R&D and manufacturing activities; and trade deficits in advanced
technology products, an area in which the United States previously ran trade surpluses. At the
same time, some Members of Congress have expressed concerns about the level of federal
funding in light of the current federal fiscal condition, deficit, and debt. In addition, R&D funding
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decisions may be affected by differing perspectives on the appropriate role of the federal
government in advancing science and technology.
As Congress undertakes the FY2014 appropriations process it faces two overarching issues: the
direction in which the federal R&D investment will move in the context of increased pressure on
discretionary spending and how available funding will be prioritized and allocated. Low or
negative growth in the overall R&D investment may require movement of resources across
disciplines, programs, or agencies to address priorities. Congress will play a central role in
defining the nation’s R&D priorities as it makes decisions with respect to the size and distribution
of aggregate, agency, and programmatic R&D funding.
For Further Information
John F. Sargent Jr., Specialist in Science and Technology Policy (jsargent@crs.loc.gov, 7-9147)
CRS Report R42410, Federal Research and Development Funding: FY2013, coordinated by John
F. Sargent Jr.
CRS Report R42440, Commerce, Justice, Science, and Related Agencies: FY2013
Appropriations, coordinated by Nathan James, Jennifer D. Williams, and John F. Sargent Jr.
CRS Report R41951, An Analysis of Efforts to Double Federal Funding for Physical Sciences
and Engineering Research, by John F. Sargent Jr.
America COMPETES Act
P.L. 110-69, the America “Creating Opportunities to Meaningfully Promote Excellence in
Technology, Education, and Science” (COMPETES) Act, was first enacted in 2007. The act, a
response to concerns about U.S. competitiveness, authorized certain federal research, education,
and related activities. In 2010 Congress passed the America COMPETES Reauthorization Act of
2010 (P.L. 111-358), extending and modifying provisions of the 2007 law. Certain appropriations
authorizations in the 2010 act expire in 2013. Accordingly, the 113th Congress may opt to
reexamine COMPETES and to determine new or modified program and agency authorizations.
Many economists assert that economic, defense, and social benefits accrue preferentially to
nations that lead in scientific and technological (S&T) advancement and commercialization.
However, some analysts suggest that historical U.S. leadership in these areas may be slipping.
They note that other countries are increasingly able to attract S&T jobs and industry while
traditional U.S. strengths appear to be weakening. In particular, some stakeholders have
questioned the adequacy of federal funding for physical sciences and engineering research and
the domestic production of scientists and engineers.
The COMPETES acts were designed to respond to these challenges by increasing funding
authorizations for targeted federal physical science and engineering research activities—e.g., the
so-called “doubling path” accounts at the National Science Foundation, Department of Energy’s
Office of Science, and National Institute of Standards and Technology’s laboratories and
construction accounts—and by authorizing certain federal science, technology, engineering, and
mathematics (STEM) education activities. The acts also authorize the Advanced Research
Projects Agency-Energy (ARPA-E) and prize competitions at federal agencies, among other
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provisions. Implementation of COMPETES acts’ provisions has varied and congressional
appropriations have generally been below authorized levels.
Those who express opposition to the COMPETES Acts do so from several perspectives. Some
critics question the existence of a STEM labor shortage. Other critics recognize a shortage, but
question whether the federal government should address it. Some critics of the COMPETES Act
prefer alternative approaches to improving U.S. competitiveness such as research tax credits or
reducing regulatory costs. Also, some oppose increasing funding for research and development
and STEM education given the federal budget deficit, national debt, and U.S. fiscal situation. Yet
others express concerns about the use of competitiveness as a rationale for economic and
education policy.
For Further Information
Heather B. Gonzalez, Specialist in Science and Technology Policy (hgonzalez@crs.loc.gov, 7-
1895)
CRS Report R41819, Reauthorization of the America COMPETES Act: Selected Policy
Provisions, Funding, and Implementation Issues, by Heather B. Gonzalez
CRS Report R42779, America COMPETES Acts: FY2008-FY2013 Funding Tables, by Heather B.
Gonzalez
Technological Innovation and the Economy: Impact of Federal
R&D Funding
Experts widely accept that technological progress is responsible for up to one-half the growth of
the U.S. economy and is one principal driving force for increases in our standard of living.
Technology contributes to the creation of new goods and services, new industries, new jobs, and
new capital. The application of technologies also can contribute to the resolution of those national
problems that are amenable to technological solutions.
Technological progress is achieved through innovation, the process by which industry provides
new and improved products, manufacturing processes, and services. Research and development
(R&D) contribute to economic growth by their impact on productivity. Some analysts maintain
that innovations arising from R&D are the most important ones.
Traditionally, the government funds R&D to meet the mission requirements of the federal
departments and agencies. The government also supports work in areas where there is an
identified need for research, primarily basic research, not being performed in the private sector.
While basic research can be the foundation for important new innovations, the results generally
are long term, may prove to be unmarketable, and the benefits may not accrue solely to the
organization funding the work.
Federal funding reflects a consensus that while basic research is important for innovation, the rate
of return to society as a whole generated by investments in this activity is significantly larger than
the benefits that can be captured by any one firm performing it. It is estimated that the social rate
of return on R&D spending is over twice that of the rate of return to the inventor. Because the
knowledge associated with an innovation can be dispersed and adapted to other products and
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processes, experts argue there tends to be private sector underinvestment in research, thus
necessitating federal funding.
Economic analysis has shown the importance of federally funded R&D to advancements in
innovation. Studies demonstrate that collaboration with publicly funded research organizations
increase private sector productivity in many industries, findings that parallel additional work
showing the importance of public science to innovation and technological advancement across
industrial sectors. Federal R&D can stimulate the additional and often substantial private
investment necessary to bring new and improved technologies to the marketplace.
While the development of new products, processes, and services for the marketplace is primarily
a private sector activity, government plays a role in structuring the environment in which business
decisions are made and thereby influences private sector behavior. Choices made by the 113th
Congress related to financing the research endeavor may have immediate impacts on current
federal programs as well as long term effects on the nation’s technological progress.
For Further Information
Wendy H. Schacht, Specialist in Science and Technology Policy (wschacht@crs.loc.gov, 7-7066)
CRS Report RL33528, Industrial Competitiveness and Technological Advancement: Debate Over
Government Policy, by Wendy H. Schacht
CRS Report RL32324, Federal R&D, Drug Discovery, and Pricing: Insights from the NIH-
University-Industry Relationship, by Wendy H. Schacht
CRS Report RL32076, The Bayh-Dole Act: Selected Issues in Patent Policy and the
Commercialization of Technology, by Wendy H. Schacht
CRS Report 96-402, Small Business Innovation Research (SBIR) Program, by Wendy H. Schacht
Intellectual Property and Competitiveness Issues
Most experts agree that patent ownership is an incentive to innovation. The award of a patent is
intended to stimulate the often substantial investment necessary to develop an idea and bring it to
the marketplace embodied in a product or process. Patent title provides the recipient with a
limited-time monopoly over the use of his discovery in exchange for the public dissemination of
information contained in the patent application.
Congressional interest in patent reform was evidenced by sustained legislative activity that led to
enactment of P.L. 112-29, the Leahy-Smith America Invents Act, or AIA. This legislation
arguably made the most significant changes to the patent statute since the 19th century. Among
other provisions, the statute introduced into U.S. law a first-inventor-to-file priority rule, an
infringement defense based upon prior commercial use, and assignee filing. The legislation
prevented patents from claiming or encompassing human organisms, limited the availability of
patents claiming tax strategies, and restricted the best mode requirement. The AIA also made
notable reforms to administrative patent challenge proceedings at the U.S. Patent and Trademark
Office (USPTO) and to the law of patent marking.
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While the AIA was the product of years of discussion and debate, some observers believe that the
legislation did not reflect all the issues that were the subject of congressional discussion including
the assessment of damages during infringement litigation, the publication of all pending patent
applications prior to grant, and “fee diversion” during the appropriations process. While the
reforms introduced by the legislation, intended to improve, update, and adopt global best
practices, will bring immediate changes to patent practice by the USPTO, the private bar, and
innovative firms, experience will show whether the legislation meets its intended goals of
increasing patent quality, making patent dispute resolution more fair and efficient, improving the
environment for innovation, and enhancing the economic growth of the United States.
For Further Information
Wendy H. Schacht, Specialist in Science and Technology Policy (wschacht@crs.loc.gov, 7-7066)
CRS Report R42014, The Leahy-Smith America Invents Act: Innovation Issues, by Wendy H.
Schacht and John R. Thomas
CRS Report RS20906, U.S. Patent and Trademark Office Appropriations Process: A Brief
Explanation, by Wendy H. Schacht
CRS Report R42668, An Overview of the “Patent Trolls” Debate, by Brian T. Yeh
CRS Report RL33367, Patent Reform: Issues in the Biomedical and Software Industries, by
Wendy H. Schacht
R&D Partnerships and Intellectual Property
Congressional interest in the value of intellectual property has grown as technology becomes
increasingly important to the United States. Similarly, the role of patents has changed as the use
of cooperative research and development (R&D) expands to facilitate technological advancement
and generate new products, processes, and services for the marketplace. Various laws, including
the Stevenson-Wydler National Technology Innovation Act (P.L. 96-418) and the “Bayh-Dole”
Act (P.L. 96-517), as amended, have included patent-related incentives to create an environment
conducive to joint ventures between government and industry, or between industry and
universities, as well as among companies.
Patents are widely believed to encourage innovation by simultaneously protecting the inventor
and fostering competition. Patents provide the inventor with a right to exclude others,
temporarily, from use of the invention without compensation. They give the owner an exclusive
right for 20 years (from date of filing) to further develop the idea, commercialize a product or
process, and potentially realize a return on the initial investment. In an academic setting, the
possession of title to inventions is expected to provide motivation for the university to license the
technology to companies for commercialization in expectation of royalty payments. Concurrently,
the process of obtaining a patent places the concept in the public arena. As a disclosure system,
the patent can, and often does, stimulate other firms or individuals to invent “around” existing
patents to provide for parallel technical developments or meet similar market needs.
As such cooperative efforts become more widespread, and new and additional issues have
emerged. Concerns have been expressed regarding the cost of drugs developed in part with
federal funding or in conjunction with federal agencies. Conflicts have surfaced over federal
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laboratories patenting inventions that collaborating parties believe to be their own. In some
agencies, delays continue in negotiating cooperative research and development agreements
(CRADAs) because of disagreements over the dispensation of intellectual property. Policymakers
have raised questions regarding the effects of patenting early stage discoveries (e.g., research
tools) on additional innovation. The National Institutes of Health has encountered difficulties
obtaining for government-sponsored research new experimental compounds developed and
patented by drug companies because of concerns over diminished effectiveness of the intellectual
property if additional applications are discovered. Given these issues, additional decisions may
need to be made during the 113th Congress regarding the way to maintain a balance between
bringing new products and processes to the marketplace and protecting the public investment in
R&D.
For Further Information
Wendy H. Schacht, Specialist in Science and Technology Policy (wschacht@crs.loc.gov, 7-7066)
CRS Report RL33526, Cooperative R&D: Federal Efforts to Promote Industrial
Competitiveness, by Wendy H. Schacht
CRS Report RL33527, Technology Transfer: Use of Federally Funded Research and
Development, by Wendy H. Schacht
CRS Report RL32076, The Bayh-Dole Act: Selected Issues in Patent Policy and the
Commercialization of Technology, by Wendy H. Schacht
CRS Report RL32324, Federal R&D, Drug Discovery, and Pricing: Insights from the NIH-
University-Industry Relationship, by Wendy H. Schacht
Tax Incentives for Technological Innovation
Several concerns are pushing Congress to consider new ways to bolster the domestic climate for
technological innovation. One such concern is the pace of domestic growth in high-paying jobs in
a range of goods and services industries. Two keys to accelerating growth in these jobs are the
creation of more entrepreneurial startup firms and greater business investment in domestic
research and development (R&D) and domestic production of products and services derived from
that research.
One policy lever that could be used for this purpose is the U.S. tax code. Current federal tax law
contains three provisions that have a bearing on U.S. trends in new technology development.
They are: (1) an expensing allowance for qualified research expenditures under Section 174 of the
tax code, (2) a non-refundable tax credit for increases in qualified research expenditures above a
base amount under Section 41, and (3) a partial exclusion for capital gains from the sale or
exchange of qualified small business stock held for five or more years under Section 1202. The
first and third subsidies are permanent; the Section 41 credit expires at the end of 2013.
The credit and expensing allowance encourage companies to invest more in qualified research by
lowering its after-tax cost. Some argue the current credit is too weak to have much influence on
business R&D investment, owing to several problems with the credit’s design, including a lack of
permanence and refundability.
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The Section 1202 gains exclusion is 100% for eligible stock acquired in 2013 and 50% for stock
acquired in 2014 and thereafter. It is intended to boost equity investment in qualified small startup
firms by reducing the tax burden on the returns to that investment. Recent research shows that a
small share of small startup firms accounts for most net U.S. job growth over time. And access to
capital is one of the major barriers to launching a new business.
Congress may choose to consider whether new tax incentives for business investment in domestic
R&D or equity investment in domestic startup firms are needed to speed up growth in domestic
high-paying jobs.
For Further Information
Gary Guenther, Analyst in Public Finance (gguenther@crs.loc.gov, 7-7742)
CRS Report RL31181, Research Tax Credit: Current Law and Policy Issues for the 113th
Congress, by Gary Guenther
Public Access to Federal Research Results
“Open access” or “public access” publishing generally refers to when the entity that holds the
copyright to an article grants all users unlimited, free access to the article. In traditional scientific
publishing, authors and readers pay fees to fund the costs of journal publication and distribution.
This contrasts with open access publishers, which typically charge only authors fees to fund the
costs of journal publication and distribution and give readers free online access to the full text of
articles. Some traditional publishers have implemented a hybrid model where authors may choose
to provide their articles free to readers in exchange for increased author fees.
In February 2013, the White House Office of Science and Technology Policy directed federal
agencies funding over $100 million of research and development to develop plans to make the
published results of federally funded research freely available to the public within one year of
publication. Since 2008, the National Institutes of Health (NIH) have required recipients of NIH
grants to submit an electronic version of their final, peer-reviewed articles to NIH. The NIH
places these articles in a public repository no later than 12 months after publication. This
congressionally authorized policy has raised issues regarding protection of intellectual property
and government competition with the private sector.
Supporters of federal open-access publishing policies have a variety of motivations, including
avoiding rising traditional journal subscription fees; beliefs regarding improved scientific
collaboration and utilization from free information access; and wishes for the public to access the
results of research and development funded by their taxes. These supporters urge increased
federal support for open access publishing.
In contrast, traditional publishers and some scholarly associations object to federal open access
policies because they believe it may weaken the publishing industry, erode profits, and
consequently restrict the activities of associations whose main source of income is publishing.
Opponents of federal open-access publishing policies cite issues such as long-term maintenance
of electronic archives, increased publication costs for researchers, and the perceptions of the
academic community and the academic reward system which appear to give more status to
articles published in traditional journals.
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For Further Information
Dana A. Shea, Specialist in Science and Technology Policy (dshea@crs.loc.gov, 7-6844)
Workforce and Education
Maintaining a rapid pace of scientific and technological advancement requires a sufficient
workforce of scientists and engineers. This section discusses some of the issues related to
workforce issues that may come before the 113th Congress, including the adequacy of the current
workforce and efforts to develop the future workforce.
Adequacy of the U.S. Science and Engineering Workforce
The adequacy of the U.S. science and engineering (S&E) workforce has been an ongoing concern
of Congress for more than 60 years. Scientists and engineers are widely believed to be essential to
U.S. technological leadership, innovation, manufacturing, and services, and thus vital to U.S.
economic strength, national defense, and other societal needs. Congress has enacted many
programs to support the education and development of scientists and engineers. Congress has also
undertaken broad efforts to improve science, technology, engineering, and math (STEM) skills to
prepare a greater number of students to pursue S&E degrees. In addition, some policymakers
have sought to increase the number of foreign scientists and engineers working in the United
States through changes in visa and immigration policies.
Most experts agree that there is no authoritative definition of which occupations comprise the
S&E workforce. Rather, the selection of occupations included in any particular analysis of the
S&E workforce may vary. The policy debate about the adequacy of the U.S. S&E workforce has
focused largely on professional-level computer occupations, mathematical occupations,
engineers, and physical scientists. Accordingly, much of the analytical focus has been on these
occupations. However, some analyses may use a definition that includes some or all of these
occupations, as well as life scientists, S&E managers, S&E technicians, social scientists, and
related occupations.
Many policymakers, business leaders, academicians, S&E professional society analysts,
economists, and others hold diverse views with respect to the adequacy of the S&E workforce
and related policy issues. These issues include the question of the existence of a shortage of
scientists and engineers in the United States, what the nature of any such shortage might be (e.g.,
too few people with S&E degrees, mismatches between skills and needs), and whether the federal
government should undertake policy interventions to address such a putative shortage or to allow
market forces to work in this labor market. Among the key indicators used by labor economists to
assess occupational labor shortages are employment growth, wage growth, and unemployment
rates.
For Further Information
John F. Sargent Jr., Specialist in Science and Technology Policy (jsargent@crs.loc.gov, 7-9147)
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Science, Technology, Engineering, and Mathematics (STEM)
Education
The term “STEM education” refers to teaching and learning in the fields of science, technology,
engineering, and mathematics. Policymakers have an enduring interest in STEM education and
raise the topic in a variety of national policy debates. Popular opinion generally holds that U.S.
students perform poorly in STEM education—especially when compared to students in certain
foreign education systems—however the data paint a complicated picture. Over time U.S.
students appear to have made gains in some areas but may be perceived as falling behind in
others. Estimates of the federal STEM education effort vary. Analysts have identified between
105 and 252 STEM education activities at 13 to 15 federal agencies. Annual federal
appropriations are around $3.0 billion.
The national conversation about STEM education frequently develops from concerns about the
U.S. science and engineering workforce. Some advocates assert that the United States faces a
shortage of STEM workers; others dispute this claim. Although opinions about whether such
shortages exist vary, most observers agree that a general increase in STEM abilities among the
U.S. workforce would benefit the nation’s economy, defense, and health and welfare.
Analysts differ, however, in their conclusions about the scope, scale, and emphasis of federal
STEM education policy. Many analysts prefer comprehensive policies aimed at lifting the STEM
achievement of all students—such as STEM content education for K-12 teachers or changes in
the teaching of STEM subjects across all grade levels (e.g., more hands-on learning). Other
advocates emphasize targeted policies designed to meet specific needs—such as scholarships for
the “best and brightest,” training for the federal workforce, or programs for underrepresented
groups. However, some scholars oppose using education policy to increase the supply of STEM
workers, either because they perceive such policies as corporatizing education at the expense of
other values (e.g., personal development) or because they perceive the market as the more
efficient lever in signaling demand for STEM skills.
The federal STEM education effort itself is closely watched—largely due to perceived
duplication and incoherence in the portfolio. Concerns about the dissemination of STEM
education research and best practices also recur periodically.
For Further Information
Heather B. Gonzalez, Specialist in Science and Technology Policy (hgonzalez@crs.loc.gov, 7-
1895)
CRS Report R42642, Science, Technology, Engineering, and Mathematics (STEM) Education: A
Primer, by Heather B. Gonzalez and Jeffrey J. Kuenzi
CRS Report R42470, An Analysis of STEM Education Funding at the NSF: Trends and Policy
Discussion, by Heather B. Gonzalez
CRS Report R42530, Immigration of Foreign Nationals with Science, Technology, Engineering,
and Mathematics (STEM) Degrees, by Ruth Ellen Wasem
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Agriculture
The federal government supports billions of dollars of agricultural research annually. The 113th
Congress is likely to face issues related to the budget for this research and specific issues arising
from advances in agricultural biotechnology.
Agricultural Research
Public investment in agricultural research has been linked to productivity gains, and subsequently
to increased agricultural and economic growth. The U.S. Department of Agriculture (USDA) is
authorized under various laws to conduct agricultural research at the federal level, and provides
support for cooperative research, extension, and post-secondary agricultural education programs
in the states. USDA’s research program is funded with about $2.5 billion per year of discretionary
funding. Congress traditionally considers reauthorization of agricultural research in periodic
omnibus farm bills that cover virtually all USDA programs and policies. The 2008 farm bill (P.L.
110-246) authorized agricultural research (and many other provisions) through September 30,
2012, and the American Taxpayer Relief Act of 2012 (P.L. 112-240) extended the 2008 farm bill
for one additional year, through September 30, 2013. However, ATRA did not provide funding for
mandatory programs that were authorized in the 2008 farm bill but did not have a budget baseline
beyond the original end of the 2008 farm bill. For agricultural research, these include initiatives
for specialty crops and organic agriculture that provided about $70 million per year.
The 113th Congress has been working on a 2013 farm bill to reauthorize agricultural research and
many other farm bill provisions. The Senate approved its version of an omnibus 2013 farm bill
(S. 954) on June 10, 2013. The House Agriculture Committee approved its version of the farm
bill (H.R. 1947) on May 15, 2013. Both bills would reauthorize funding for agricultural research
and related activities through FY2018, subject to annual appropriations, and amended authority so
that only competitive grants can be awarded under certain programs. Also in both bills,
mandatory funding would increase for the Specialty Crop Research Initiative and the Organic
Agricultural Research and Extension Initiative. To supplement USDA’s basic and applied
research activities, S. 954 would provide mandatory funding of $200 million to establish the
Foundation for Food and Agriculture Research, a nonprofit corporation. The entity would solicit
and accept private donations (matching federal funds) to award grants for collaborative
public/private partnerships with scientists at USDA and in academia, nonprofits, and the private
sector.
For Further Information
Dennis A. Shields, Specialist in Agricultural Policy (dshields@crs.loc.gov, 7-9051)
CRS Report R40819, Agricultural Research, Education, and Extension: Issues and Background,
by Dennis A. Shields
CRS Report R43076, The 2013 Farm Bill: A Comparison of the Senate-Passed Bill (S. 954) and
House-Reported Bill (H.R. 1947) with Current Law, coordinated by Ralph M. Chite
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Agricultural Biotechnology
The 113th Congress is likely to consider issues regarding the use of biotechnology in animals. The
Food and Drug Administration (FDA) is considering approving the first bioengineered animal for
human consumption. Two bills addressing bioengineered fish have been introduced in the 113th
Congress.
FDA’s decision on an application by a Massachusetts biotechnology firm for approval of a
bioengineered salmon is nearing completion. The salmon is engineered to grow to market size in
half the time as non-bioengineered salmon. If approved, the salmon would be the first
bioengineered animal approved for human consumption. The agency had previously determined
that the bioengineered salmon is safe for human consumption, and is nearing completion of its
Environmental Assessment (EA) on potential ecological impacts of commercially producing the
salmon. The EA was made available to the public in December 2012. The comment period on the
EA ended on April 26, 2013. The agency will address these comments, and then issue a final
decision.
Potential approval of the bioengineered salmon has been widely covered in the popular press, and
has been strongly opposed by environmental groups and food safety advocates. FDA is
considering approval under its New Animal Drug Application (NADA) regulatory process.
Opponents of the bioengineered fish regard the NADA structure as inadequate to support the
precedent-setting approval of the first bioengineered animal for human consumption. Senator
Begich of Alaska introduced a bill (S. 246) in February 2013 to prevent the escape of
bioengineered salmon into the wild. Senator Begich and Representative Young also introduced
bills (S. 248 and H.R. 584) that would amend the Food, Drug, and Cosmetic Act to require
labeling of bioengineered fish. Consideration of the FDA regulatory process and food labeling for
bioengineered animals might also lead to further action in the 113th Congress.
For Further Information
Tadlock Cowan, Analyst in Natural Resources and Rural Development (tcowan@crs.loc.gov, 7-
7600)
CRS Report RL32809, Agricultural Biotechnology: Background, Regulation, and Policy Issues,
by Tadlock Cowan
CRS Report RL33334, Biotechnology in Animal Agriculture: Status and Current Issues, by
Tadlock Cowan
CRS Report R41395, Deregulating Genetically Engineered Alfalfa and Sugar Beets: Legal and
Administrative Responses, by Tadlock Cowan and Kristina Alexander
CRS Report R43100, Unapproved Genetically Modified Wheat Discovered in Oregon: Status and
Implications, by Tadlock Cowan
Biomedical Research and Development
Congress has long supported biomedical research and development. Some of the biomedical
research and development issues that the 113th Congress may face include the budget and
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oversight of the National Institutes of Health, federal support of stem cell research, and the
relationship of federal R&D to the cost and availability of prescription drugs.
National Institutes of Health (NIH): Budget and Oversight Issues
NIH is the lead federal agency conducting and supporting biomedical and behavioral research and
research training. Its budget of nearly $31 billion funds basic, clinical, and translational research
in NIH’s own laboratories and in universities and research institutions nationwide. The
extramural research program (over 80% of the NIH budget) provides grants, research contracts,
and research training awards to support over 300,000 scientists and research personnel affiliated
with 2,500 universities, academic health centers, hospitals, and independent research institutions.
In constant (inflation-adjusted) dollars, NIH funding was 16% lower in FY2012 than it was at its
peak in FY2003 (not counting stimulus funding in FY2009). The NIH budget doubled over a
five-year period (FY1999-FY2003), but since FY2004, constraints on discretionary spending
have decreased budget growth below the rate of inflation in most years. As access to grant
funding has tightened, NIH is working to improve the efficiency and breadth of research training,
including assisting young scientists with career paths outside traditional academic settings.
Another goal is greater diversity in the biomedical research workforce and improved career
advancement, particularly for under-represented minorities. Initiatives include a summer research
program for undergraduate students and a mentoring network matching scientists by interests and
background. Additional oversight topics could include regulatory compliance and reporting
requirements, such as rules for financial conflict of interest, the Physician Payments Sunshine
Act, and human subjects protection.
In FY2012, Congress approved an NIH reorganization focused on translational medicine, the
science of converting basic research discoveries into clinical applications that benefit patients.
The new National Center for Advancing Translational Sciences (NCATS) works on more rapid
and reliable ways to test promising drugs and other products, and fosters partnerships between
researchers, industry, and health care entities to speed commercialization and adoption of new
therapies. Some in Congress have concerns about government overlap with private sector product
development activities, whether NIH is expanding its mission beyond basic and applied research
to drug development, and the degree of continued NIH attention to non-NCATS activities that
were transferred into the Office of the Director.
For Further Information
Pamela W. Smith, Analyst in Biomedical Policy (psmith@crs.loc.gov, 7-7048)
CRS Report R42410, Federal Research and Development Funding: FY2013, coordinated by John
F. Sargent Jr.
CRS Report R41705, The National Institutes of Health (NIH): Organization, Funding, and
Congressional Issues, by Judith A. Johnson and Pamela W. Smith
Stem Cell Research
Embryonic stem cells have the ability to develop into virtually any cell in the body, and may have
the potential to treat injuries and medical conditions, such as diabetes and Parkinson’s disease.
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Human embryonic stem cell lines are derived, using non-federal funds, from very early embryos
produced via in vitro fertilization (IVF). Because the process of removing these cells destroys the
embryo, some believe the isolation of stem cells from human embryos is ethically unacceptable.
Since FY1996, the Dickey amendment included in Labor-HHS appropriations laws has prohibited
the use of federal funds for the creation of human embryos for research purposes or for research
in which human embryos are destroyed. This has prevented federal funding for research in areas
such as IVF and human embryonic stem cells.
In August 2001, President George W. Bush announced that for the first time, federal funds would
be used to support research on human embryonic stem cells but limited funding to research on 21
preexisting stem cell lines. Scientists expressed concern about the quality and longevity of these
21 stem cell lines, believing that research advancement requires access to newly derived human
embryonic stem cell lines. However, those concerned about the ethical implications of deriving
stem cells from human embryos argue that researchers should use alternatives, such as induced
pluripotent stem (iPS) cells or adult stem cells.
On March 9, 2009, President Barack Obama signed an executive order reversing the nearly eight-
year-old Bush policy and directing the National Institutes of Health (NIH) to issue new guidelines
for the conduct of embryonic stem cell research. Guidelines were issued in July 2009 and a new
registry was created listing human embryonic stem cell lines that are eligible for federally
supported research. As of January 2013, 200 stem cell lines are in the registry. Legislation
introduced but not passed in the 111th and 112th Congresses would have codified the Obama stem
cell policy, preventing reversal by future administrations. However, even if such legislation had
been enacted, the use of federal funds for the derivation of new human embryonic stem cell lines
would still not be permitted as long as the Dickey amendment is in effect.
For Further Information
Judith A. Johnson, Specialist in Biomedical Policy (jajohnson@crs.loc.gov, 7-7077)
CRS Report RL33540, Stem Cell Research: Science, Federal Research Funding, and Regulatory
Oversight, by Judith A. Johnson and Edward C. Liu
Prescription Drugs: Costs, Availability, and Federal R&D
Congress has exhibited a strong and ongoing interest in facilitating the development of new,
innovative pharmaceuticals for the marketplace while reducing the cost of drugs to consumers.
Policies pertaining to funding for R&D, intellectual property protection, and cooperative ventures
have played an important role in the economic success of the pharmaceutical sector. Industry-
specific legislation also works to encourage innovation in the pharmaceutical sector while
facilitating the entry of lower cost generic competition.
A critical component of many of these federal efforts concerns patents. Patent ownership can
provide an economic incentive for companies to take the results of research and make the often
substantial investment necessary to bring new goods and services to the marketplace. In the
pharmaceutical industry, patents are perceived as particularly important to innovation due, in part,
to the ease of duplicating the invention.
Many factors contribute to innovation in the pharmaceutical industry and its ability to bring new
and inventive products to the marketplace. However, this sector is facing issues associated with
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the loss of revenue available for additional R&D due to generic competition and patent
expirations. While generic versions of brand pharmaceuticals benefit the public due to their lower
cost, some observers assert that without the research, development, and testing performed by the
brand name pharmaceutical companies, generic drugs would not exist.
Recently, patents on a significant number of “blockbuster” drugs have expired. Brand firms often
use funds from these sales to invest in additional R&D. The effect of blockbuster patent
expirations on pharmaceutical companies can be significant, particularly when there are
insufficient products in the development pipeline to replace these drugs. Some experts point to
indications that productivity is declining in this sector as revenues available for additional
investment appear to be decreasing.
Some Members of Congress have expressed concern over whether the current legislative
approach to encouraging innovation, particularly with respect to drug discovery, is appropriate.
Other experts argue that the government’s financial, scientific, or clinical support of biomedical
research entitles the public to commensurate considerations in the prices charged for any resulting
drugs. Critics of the current situation maintain that the need for incentives in the pharmaceutical
and biotechnology sectors is mitigated by industry access to government-supported work,
monopoly power through patent protection, as well as regulatory and tax advantages.
However, other commentators view government intervention in price decisions as contrary to a
long-term trend of government promotion of innovation in the private sector. Supporters of
existing incentives for technology development argue that they have given rise to robust domestic
pharmaceutical and biotechnology industries. At issue is what initiative, if any, can effectively
reduce the cost of safe and effective prescription drugs and what may be the long-term impact of
these efforts on innovation in the pharmaceutical industry.
For Further Information
Wendy H. Schacht, Specialist in Science and Technology Policy (wschacht@crs.loc.gov, 7-7066)
CRS Report R42399, Drug Patent Expirations: Potential Effects on Pharmaceutical Innovation,
by Wendy H. Schacht
CRS Report RL33605, Authorized Generic Pharmaceuticals: Effects on Innovation, by John R.
Thomas
CRS Report RL33717, Pharmaceutical Patent Litigation Settlements: Implications for
Competition and Innovation, by John R. Thomas
CRS Report R41483, Follow-On Biologics: The Law and Intellectual Property Issues, by Wendy
H. Schacht and John R. Thomas
CRS Report R42815, Mayo v. Prometheus: Implications for Patents, Biotechnology, and
Personalized Medicine, by John R. Thomas
CRS Report RL32324, Federal R&D, Drug Discovery, and Pricing: Insights from the NIH-
University-Industry Relationship, by Wendy H. Schacht
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Defense
Science and technology play an important role in national defense. The Department of Defense
relies on a robust research and development effort to develop new military systems and improve
existing systems. Issues that may come before the 113th Congress regarding the Department of
Defense’s science and technology include budgetary concerns and the effectiveness of programs
to transition S&T findings into fielded products.
Department of Defense Research, Development, Test, and
Evaluation
At roughly $68 billion ($67.520 billion requested for FY2014), the Research, Development, Test,
and Evaluation program at the Department of Defense is the single largest research and
development program in the federal government. A majority share of the program, in dollar terms
(>80%), is devoted to the development of new and the improvement of existing military systems.
The remainder, $11 billion to $12 billion per year, goes toward basic research, applied research,
and the development of a technology base with potential application to future military systems.
This latter investment is referred to as the Department’s Science and Technology (S&T) program.
One area of concern for some in the science and technology community is maintaining the S&T
portion of the budget as the Department’s overall spending is expected to decline. Some experts
contend that maintaining a robust S&T program now is necessary to maintain or improve the
country’s military advantage in the future. However, advances in knowledge and technology
supported by the S&T budget may take years to develop. The immediate value may be low and
the future value unknown. The FY2014 budget request for S&T was $11.983 billion. This
represents a slight increase of $316 million (<3%) above the actual amount available in FY2012.
The request is $610 million below what was provided in the FY2013 continuing resolution,
before factoring in the sequestration.
While there is concern about the overall S&T budget, there is also concern among some experts
regarding the level of funding for the Department’s basic research activities. The Department is
not the largest federal supporter of basic research ($2.165 billion requested in FY2014). However,
it is a major supporter in certain fields (e.g., mathematics, materials). Much of this support goes
to universities and supports the development of graduate and undergraduate students.
Another area of concern is the efficient and effective transition of technology from the laboratory
to the field. While many new military systems can trace the origins of their fundamental
technologies back to earlier S&T programs, the transition is not automatic. In some cases well
developed technologies are not utilized. In other cases, systems being developed for acquisition
try to incorporate technologies that are not yet fully developed. In the first case, the technologies
may reside in small companies not able or willing to manage the complexities of the military
acquisition process, or the acquisition community may find the new technologies unfamiliar or
that they require changes in operations. In the second case, system developers may be overly
optimistic about what can be accomplished in a given amount of time and with a given amount of
funds. Congress has established a number of programs over the last few years to address these
concerns (e.g., Rapid Reaction Fund, the Rapid Innovation Fund, the Defense Acquisition
Challenge). Congress may choose to examine how effectively these programs achieve their
objectives.
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For Further Information
John Moteff, Specialist in Science and Technology Policy, (jmoteff@crs.loc.gov, 7-1435)
Space
Congress has historically had a strong interest in space policy issues. Two space topics that may
come before the 113th Congress include the reauthorization of NASA and issues related to earth
observing satellites.
NASA
Spaceflight has been an issue of strong congressional interest since the establishment of the
National Aeronautics and Space Administration (NASA) in 1958. The 113th Congress is expected
to consider legislation to reauthorize NASA. Issues include the direction of NASA’s human
spaceflight program and the impact of constrained budgets on NASA’s other missions, such as
unmanned science satellites.
With the last flight of the space shuttle in July 2011, the United States lost the capability to launch
astronauts into space and to deliver cargo to the International Space Station (ISS). Since that time,
NASA has relied on Russian spacecraft for ISS crew transport. For ISS cargo transport, NASA
regained a U.S. capability in October 2012, when a NASA-contracted commercial flight
successfully delivered a payload of supplies and equipment.
As directed by the NASA Authorization Act of 2010 (P.L. 111-267), NASA is pursuing a two-
track strategy for human spaceflight. First, for transport to low Earth orbit (including the ISS)
NASA is supporting commercial development of a crew capability like the commercial cargo
capability achieved in 2012. NASA expects commercial crew transportation services to be
available by 2017.
Second, for human exploration beyond Earth orbit, NASA is developing a new crew capsule
(Orion) and a new heavy-lift rocket to launch it. NASA expects the first crewed test flight of this
system in 2021. Under current plans, an asteroid will be Orion’s first destination for human
exploration, but many details of the first mission remain to be determined.
The 2010 authorization act projected funding increases for NASA that have not occurred. In
considering reauthorization, the 113th Congress may examine whether reduced budget
expectations require corresponding changes to planned programs. One common concern is that
the cost of planned human spaceflight activities may mean less funding for other NASA missions,
such as science, aeronautics research, and technology development. Some of those other missions
have their own issues, however, such as the cost and schedule of the James Webb Space
Telescope, future plans for unmanned Mars exploration following the landing of the Curiosity
rover in August 2012, and the establishment in February 2013 of a new NASA directorate for
space technology.
For Further Information
Daniel Morgan, Specialist in Science and Technology Policy (dmorgan@crs.loc.gov, 7-5849)
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Earth Observing Satellites
The constellation of earth-observing satellites launched and operated by the United States
government performs a wide range of observational and data collecting activities, such as
measuring the change in mass of polar ice sheets, wind speeds over the oceans, land cover
change, as well as the more familiar daily measurements of key atmospheric parameters that
enable modern weather forecasts and storm prediction. Satellite observations of the Earth’s
oceans and land surface help with short-term seasonal forecasts of El Nino and La Nina
conditions, which are valuable to U.S. agriculture and commodity interests, identification of the
location and size of wildfires which can assist firefighting crews and mitigation activities, as well
as long-term observational data of the global climate which are used in predictive models that
help assess the degree and magnitude of current and future climate change.
Congress continues to be interested in the performance of NASA, NOAA, and the U.S.
Geological Survey in the building and operating U.S. earth-observing satellites. Congress has
been particularly interested in the agencies meeting budgets and time schedules so that critical
space-based observations are not missed due to delays and cost overruns. Congressional scrutiny
has focused recently on one specific satellite—the Joint Polar Satellite System (JPSS)—designed
to provide daily measurements from polar orbit that inform weather forecasts and storm
predictions. JPSS was formerly known as NPOESS (National Polar-orbiting Operational
Environmental Satellite). It has experienced delays and higher costs than originally projected by
the administration. Originally expected to have been launched into orbit by now, JPSS is currently
scheduled to launch in 2017. A potential problem resulting from a 2017 launch of the JPSS
satellite is the possibility of a gap in coverage from the polar-orbiting weather satellite system.
The current system of polar-orbiting weather satellites includes the Suomi NPP (formerly known
as the NPOESS Preparatory Project); its mission life extends to 2016. The Suomi-NPP satellite is
now filling the operational gap until the JPSS spacecraft is launched and operational. If the
Suomi-NPP instruments fail prior to the end of its five-year mission life there is a risk of a gap in
polar-orbiting weather satellite coverage.
For Further Information
Peter Folger, Specialist in Energy and Natural Resources Policy (pfolger@crs.loc.gov, 7-1517)
Nanotechnology
This section focuses on the federal effort to accelerate the research and development in the
emerging field of nanotechnology. This multiagency initiative is presented separately because
nanotechnology does not fit neatly into the other categories in this report. Rather, nanotechnology
may be incorporated into many scientific fields and many experts believe it has the potential to
revolutionize some fields.
Nanotechnology and the National Nanotechnology Initiative
Nanoscale science, engineering, and technology—commonly referred to collectively as
nanotechnology—is believed by many to offer extraordinary economic and societal benefits.
Nanotechnology R&D is directed toward the understanding and control of matter at dimensions
of roughly 1 to 100 nanometers (a nanometer is one-billionth of a meter). At this size, the
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properties of matter can differ in fundamental and potentially useful ways from the properties of
individual atoms and molecules and of bulk matter.
Most current applications of nanotechnology are evolutionary in nature, offering incremental
improvements in existing products and generally modest economic and societal benefits. For
example, nanotechnology is being used in automobile bumpers, cargo beds, and step-assists to
reduce weight, increase resistance to dents and scratches, and eliminate rust; in clothes to increase
stain- and wrinkle-resistance; and in sporting goods to improve performance. In the longer term,
some believe that nanotechnology may deliver revolutionary advances with profound economic
and societal implications, such as detection and treatment of cancer and other diseases; clean,
inexpensive, renewable power through energy creation, storage, and transmission technologies;
affordable, scalable, and portable water filtration systems; self-healing materials; and high-
density memory devices.
The development of this emerging field has been fostered by significant and sustained public
investments in nanotechnology R&D. In 2001, President Clinton launched the multi-agency
National Nanotechnology Initiative (NNI) to accelerate and focus nanotechnology R&D to
achieve scientific breakthroughs and to enable the development of new materials, tools, and
products. More than 60 nations subsequently established programs similar to the NNI.
Through FY2012, Congress has appropriated approximately $16.1 billion for nanotechnology
R&D; FY2013 funding is estimated to be $1.7 billion. In 2003, Congress enacted the 21st Century
Nanotechnology Research and Development Act (P.L. 108-153), providing a legislative
foundation for some of the activities of the NNI, establishing programs, assigning agency
responsibilities, and setting authorization levels through FY2008. Legislation has been introduced
in successive Congresses to amend and reauthorize the act though none have been enacted into
law. Congress has directed its attention primarily to three topics that may affect the realization of
nanotechnology’s hoped for potential: R&D funding; U.S. competitiveness; and environmental,
health, and safety (EHS) concerns.
For Further Information
John F. Sargent Jr., Specialist in Science and Technology Policy (jsargent@crs.loc.gov, 7-9147)
CRS Report RL34511, Nanotechnology: A Policy Primer, by John F. Sargent Jr.
CRS Report RL34401, The National Nanotechnology Initiative: Overview, Reauthorization, and
Appropriations Issues, by John F. Sargent Jr.
CRS Report RL34614, Nanotechnology and Environmental, Health, and Safety: Issues for
Consideration, by John F. Sargent Jr.
Environment
Science and technology play an increasingly large role in environmental issues. Science- and
technology-related environmental issues that may come before the 113th Congress include climate
change science, carbon sequestration, and national ocean policy.
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Climate Change Science
Climate change, including the policy questions of whether and how the federal government might
address it, will be on the agenda of the 113th Congress. Science and technology considerations
will underpin virtually all congressional deliberations on the topic.
For FY2014, the President requested $7.9 billion for clean energy programs and $2.7 billion for
the U.S. Global Change Research Program, the federal program that coordinates and integrates
global change research across 13 government agencies. Additionally, the federal government
provides tax and other incentives to deploy technologies in the United States that variously lead
to GHG emissions (e.g., fossil fuel extraction and utilization technologies) or would lower GHG
emissions (e.g., more efficient and renewable energy technologies). The magnitude of federal
expenditures for climate change, their effectiveness, and priorities may be topics for Congress,
particularly in light of budget pressures.
In 2013, several bills have been introduced in Congress. They variously would: prohibit the
Administration from regulating greenhouse gas (GHG) emissions; establish new federal programs
to reduce GHG emissions; tax carbon in fossil fuels; reduce existing incentives for production of
fossil fuels; or support planning for and adaptation to expected climate change. In addition,
sector- or technology-specific issues are likely to come before Congress, such as control of GHG
emissions from international aviation; the feasibility and costs of carbon capture and
sequestration, biofuels, or abatement from existing power plants and refineries; and the value of
investments to lessen damages from future extreme weather events.
Debate on appropriate federal policies is fueled by differing levels of confidence in climate
change science among Members and the public, as well as views about the prospects and costs of
technologies to address climate change. Few scientists dispute that the climate is changing.
Increasingly, private and public decision-makers recognize that the Earth’s climate is not fixed,
but shifts in ways both predictable and unpredictable, on multiple time scales. Over the long run,
not addressing human contributions to the causes of climate fluctuations and their consequences
could set up costly, even catastrophic risks and challenges. Most experts conclude from evidence
and computer modeling that human activities have driven most of the global warming observed
since the1970s, although solar variations and other natural oscillations contribute on some time
scales. The most important human contribution to climate change is carbon dioxide, along with
other so-called “greenhouse gases” and black carbon aerosols. They are emitted by fossil fuel
combustion, land clearing and degradation, and some industrial activities. Effectively reducing
GHG emissions to levels that could stabilize climate change would require, over the long run,
radical technological change in the United States and in rapidly growing economies.
Because it is virtually certain that the climate will continue to change, due to both natural and
human-related causes, Congress may address the federal role in facilitating effective private
decision-making to anticipate and adapt to changes. It may also consider incorporation of climate
change projections into agency management of federal resources and infrastructure, and
requirements and incentives in federal programs that may encourage or impede adaptation.
Effective decisions would all depend on the adequacy and appropriate use of scientific
information and available technologies.
In 2013, two major scientific assessments regarding climate change will be released that are
likely to spark heightened public and policy discussion. First, governments are scheduled to
review and approve the summary of the fifth scientific assessment of climate change (Working
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Group 1 of the AR5) under the Intergovernmental Panel on Climate Change (IPCC). Second, the
National Climate Assessment (NCA), required under the Global Change Research Act of 1990
(P.L. 101-606), was released for public comment, will be reviewed by the National Academy of
Sciences, and is be due for finalization in 2013. According to the U.S. Global Change Research
Project, it “will present a comprehensive picture of the changes in regions and sectors that occur
in response to climate variability and change, including effects on public health and human
well‐being, the economy, infrastructure, and the environment.” (See “Draft Report Information”
at http://www.globalchange.gov/what-we-do/assessment/draft-report-information.)
For Further Information
Jane A. Leggett, Specialist in Energy and Environmental Policy (jaleggett@crs.loc.gov, 7-9525)
CRS Report RL34266, Climate Change: Science Highlights, by Jane A. Leggett
CRS Report RL33817, Climate Change: Federal Program Funding and Tax Incentives, by Jane
A. Leggett
CRS Report R41153, Changes in the Arctic: Background and Issues for Congress, coordinated by
Ronald O'Rourke
CRS Report R42947, Water Resource Issues in the 113th Congress, coordinated by Betsy A. Cody
CRS Report R42392, Aviation and the European Union’s Emission Trading Scheme, by Jane A.
Leggett, Bart Elias, and Daniel T. Shedd
Further climate change-related reports are available at CRS’ webpage on Climate Change
Science, Technology, and Policy.
Water Research
Reliable water quantity and quality is essential for the U.S. population, ecosystems, and economy,
including agriculture and energy production (both traditional and alternative sources). Recent
droughts and flood disasters and their significant social and economic impacts, as well as climate
change impacts and adaptation concerns, also have increased attention to the quality of water
science that is available to inform decision-making and to improve water technologies.
Water science and R&D is spread across more than twenty agencies. No single water research
strategy or formal coordination or prioritization mechanism exists. The most recent estimate of
federal water R&D and science spending was $700 million in FY2004, which was less than 0.5%
of federal R&D in that year. The National Research Council in its 2004 report, Confronting the
Nation’s Water Problems: The Role of Research, found the distribution of water research funding
inconsistent with the nation’s priority water research needs and favoring short-term research. For
example, it found that some legacy monitoring systems had been cutback or eliminated, and that
much of the funding was directed at supporting federal regulatory activities. The report supported
renewed funding of research on water use, water institutions, conservation, and augmentation
(e.g., desalination, reuse). A 2012 GAO report, Energy-Water Nexus: Coordinated Federal
Approach Needed to Better Manage Energy and Water Tradeoffs, found that effective energy and
water policies will continue to be a challenge without more comprehensive data and research.
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In recent Congresses, water research, its coordination, and federal funding have received attention
in hearings and in introduced legislation. This attention in part has been driven by concerns that
current research is insufficient to prepare the United States to confront domestic and international
water challenges. At issue for the 113th Congress are several topics, including whether to provide
additional direction and funding for the federal water research portfolio (e.g., H.R. 5826, 112th
Congress), to support specific research topics (e.g., energy-water research in H.R. 5827, 112th
Congress), and/or to reauthorize appropriations for existing efforts (e.g., the National Integrated
Drought Information System, federal desalination research, and federal support of state water
resources research institutes).
For Further Information
Nicole T. Carter, Specialist in Natural Resources Policy (ncarter@crs.loc.gov, 7-0854)
CRS Report R40477, Desalination and Membrane Technologies: Federal Research and Adoption
Issues, by Nicole T. Carter
CRS Report RL34580, Drought in the United States: Causes and Issues for Congress, by Peter
Folger, Betsy A. Cody, and Nicole T. Carter
CRS Report R42653, Selected Federal Water Activities: Agencies, Authorities, and Congressional
Committees, by Betsy A. Cody et al.
Carbon Capture and Sequestration
Carbon capture and sequestration (or storage)—known as CCS—has attracted congressional
interest as a measure for mitigating global climate change because large amounts of carbon
dioxide (CO2) emitted from fossil fuel use in the United States are potentially available to be
captured and stored underground and prevented from reaching the atmosphere. Large, industrial
sources of CO2, such as electric power plants, are likely initial candidates for CCS because they
are predominantly stationary, single-point sources.
Currently, U.S. power plants do not capture large volumes of CO2 for CCS. Several projects in
the United States and abroad—typically associated with oil and gas production—are successfully
capturing, injecting, and storing CO2 underground, albeit at relatively small scales. According to
the U.S. Department of Energy (DOE), the United States has the potential to store billions of tons
of CO2 underground and keep the gas trapped there indefinitely. Capturing and storing the
equivalent of decades or even centuries of CO2 emissions from power plants (at current levels of
emissions) suggests that CCS has the potential to reduce U.S. greenhouse gas emissions
substantially while allowing the continued use of fossil fuels. However, the additional cost of
installing CCS on CO2-emitting facilities is a primary challenge to the adoption and deployment
of CCS in the United States. In addition, liability, ownership, and long-term stewardship for CO2
sequestered underground are issues that would need to be resolved before CCS is deployed
commercially.
Congress has appropriated nearly $6 billion since FY2008 for CCS RD&D to DOE’s Office of
Fossil Energy: approximately $2.3 billion from annual appropriations and $3.4 billion from the
American Recovery and Reinvestment Act (or Recovery Act). The large and rapid influx of
funding for industrial-scale CCS projects from the Recovery Act may accelerate development and
deployment of CCS in the United States. However, the future deployment of CCS may take a
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different course if the major components of the DOE program follow a path similar to DOE’s
flagship CCS demonstration project, FutureGen, which has experienced delays and multiple
changes of scope and design since its inception in 2003.
For Further Information
Peter Folger, Specialist in Energy and Natural Resources Policy (pfolger@crs.loc.gov, 7-1517)
Geoengineering Technologies
“Geoengineering” refers to a suite of technologies and/or activities that have been offered by
some as a potential response to global climate change. Unlike mitigation activities, which seek to
reduce man-made emissions of greenhouse gases, or adaptation activities, which look to improve
an individual’s or institution’s ability to cope with the impacts of climate change, geoengineering
aims to achieve a deliberate and large-scale modification to the Earth’s energy balance in order to
reduce global mean temperatures (e.g., by blocking incoming solar radiation or removing
greenhouse gases from the atmosphere). To date, little research has been done on most
geoengineering methods, and deployment of the technologies—either through controlled field
tests or commercial enterprises—has been minimal. (Although a few foreign governments,
including the United Kingdom's, as well as scientists from Germany and India, have engaged in
some research.) Many have expressed reservations about the effectiveness and appropriateness of
geoengineering as a tool to address climate change. Others see the need for continued research
due to concerns over the slow progress of emissions reductions, the uncertainties of climate
sensitivity, the possible existence of climate thresholds (or “tipping points”), and the political,
social, and economic impact of pursuing aggressive mitigation strategies. Further, some warn that
the method’s perceived advantages (e.g., low cost, low technology requirements, quick results)
may provoke hasty deployment by an individual or country, which could result in an array of
unanticipated consequences.
Despite several hearings held by the House Committee on Science and Technology in the 111th
Congress, there has been limited federal involvement in, or oversight of, geoengineering.
Congressional interest has focused primarily on whether the activity is a realistic, effective, and
appropriate strategy for the United States and whether funding may be required for potential
research and development. With the possibility that climate change will remain an issue of global
concern, Congress may determine whether geoengineering warrants attention at either the federal
or international level. If so, policymakers may need to consider whether geoengineering can be
addressed effectively by existing laws and international agreements or, alternatively, whether new
laws and treaties would need to be developed.
For Further Information
Kelsi Bracmort, Specialist in Agricultural Conservation and Natural Resources Policy
(kbracmort@crs.loc.gov, 7-7283)
Richard K. Lattanzio, Analyst in Environmental Policy (rlattanzio@crs.loc.gov, 7-1754)
CRS Report R41371, Geoengineering: Governance and Technology Policy, by Kelsi Bracmort
and Richard K. Lattanzio
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National Ocean Policy
In August 2000, legislation to create a U.S. Commission on Ocean Policy was enacted, and in
September 2004, the commission published An Ocean Blueprint for the 21st Century, its final
report with 212 recommendations for a coordinated and comprehensive national ocean policy.
The recommendations spanned a broad range of topics including ocean science and technology.
Earlier in 2000, the Pew Oceans Commission, an independent group, was established to develop
policies to restore and protect living marine resources, and in June 2003, it published America’s
Living Oceans: Charting a Course for Sea Change. In 2005, the commissions identified
complementary recommendations for a number of areas and established the Joint Ocean
Commission Initiative (JOCI). JOCI remains active in supporting ocean policy initiatives and
funding for ocean management and research.
Both the George W. Bush and Obama administrations responded to the U.S. Commission’s
recommendations with executive actions which focused on improving coordination across federal
agencies. The Obama administration also established an Interagency Ocean Policy Task Force,
and in July 2010, President Obama signed Executive Order 13547 which adopted the task force’s
recommendations and established a National Ocean Council. The recommendations stressed
several areas including coordination of federal activities, stewardship of marine resources, and
coastal and marine spatial planning. The administration has stressed that the national ocean policy
is a planning framework that will operate within existing authorities. Some in Congress have
questioned whether the administration’s national ocean policy, especially marine spatial planning,
is a new regulatory program and whether the administration has the statutory authority to
implement the policy.
Since the release of the U.S. Commission’s recommendations, legislation has focused on specific
activities or environmental issues such as marine debris, coral reef conservation, marine fisheries,
ocean exploration, and ocean observation systems. Although these efforts have addressed specific
recommendations of the commissions, it remains an open question as to whether comprehensive
approaches to federal organization and administrative structure, regional ecosystem management,
and marine spatial planning will be considered during the 113th Congress. Furthermore, given
current budgetary constraints it is also questionable whether recommended investments in ocean
technology and research can be maintained or increased. See “Ocean Energy Technologies” for
additional ocean-related policy issues.
For Further Information
Harold F. Upton, Analyst in Natural Resources Policy (hupton@crs.loc.gov, 7-2264)
Energy
The science and technology related- energy issues that may come before the 113th Congress
include reprocessing of spent nuclear fuel and the development of ocean energy technology.
Reprocessing of Spent Nuclear Fuel
Spent fuel from commercial nuclear reactors contains most of the original uranium that was used
to make the fuel, along with plutonium and highly radioactive lighter isotopes produced during
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reactor operations. A fundamental issue in nuclear policy is whether spent fuel should be
“reprocessed” to extract plutonium and uranium for new reactor fuel, or directly disposed of
without reprocessing. Proponents of nuclear power point out that spent fuel still contains
substantial energy that reprocessing could recover. However, reprocessed plutonium can also be
used in nuclear weapons, so critics of reprocessing contend that federal support for the
technology could undermine U.S. nuclear weapons nonproliferation policies.
In the 1950s and 1960s, the federal government expected that all commercial spent fuel would be
reprocessed, using “breeder reactors” that would convert uranium into enough plutonium to fuel
additional commercial breeder reactors.
Increased concern about weapons proliferation in the 1970s and the slower-than-projected growth
of nuclear power prompted President Carter to halt commercial reprocessing efforts in 1977,
along with a federal demonstration breeder project. President Reagan restarted the breeder
demonstration project, but Congress halted project funding in 1983 while continuing to fund
breeder-related research and development. Under President Clinton, research on producing
nuclear energy through reprocessing was largely halted, although some work on the technology
continued for waste management purposes.
The George W. Bush Administration renewed federal support for reprocessing, adopting an
aggressive development schedule for a different technology, called UREX+, with a pilot plant to
have begun operating by the early 2020s.
The Obama Administration halted the focus on UREX+ and implemented a policy of “long-term,
science-based” research on a wide variety of technologies for improving the management of spent
fuel. DOE currently has no specific plans for moving any of the fuel cycle technologies it is
studying beyond the laboratory development stage toward commercial deployment.
The total FY2013 funding request for the current DOE program is $175.4 million, $10.8 million
below the FY2012 appropriation. The House Appropriations Committee recommended $138.7
million, $36.7 million below the request. The Senate Appropriations Committee recommended
$193.1 million, $17.7 million above the request.
For Further Information
Mark Holt, Specialist in Energy Policy (mholt@crs.loc.gov, 7-1704)
CRS Report RL33558, Nuclear Energy Policy, by Mark Holt
CRS Report RL34234, Managing the Nuclear Fuel Cycle: Policy Implications of Expanding
Global Access to Nuclear Power, coordinated by Mary Beth Nikitin
Ocean Energy Technologies
New and improved technology is widely recognized as necessary if growth and diversification of
the U.S. ocean energy portfolio is to occur. Prompted by concerns about U.S. dependence on
foreign fuels and oil spill risks, many in Congress seek to encourage deploying renewable ocean
energy resources: generating electricity from wind blowing above the ocean; harnessing thermal
power from the sun’s heat on the sea, and capturing kinetic forces of ocean tides and waves. Of
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these technologies, offshore wind projects currently offer the only options for commercial
application in U.S. waters.
According to the Energy Information Administration (EIA), 200 megawatts (MW) of offshore
wind capacity producing about 750 million kilowatt hours (kWh) per year of electricity is
anticipated to come online by 2015. The first site proposed for an offshore wind farm in U.S.
waters is off the coast of Massachusetts–– the so-called “Cape Wind” project. This project,
comprising approximately 46 square miles in Nantucket Sound, has been highly controversial.
While some local residents voice concern that operating wind turbines might pose environmental
risks, supporters claim generating “clean” electricity is long overdue. Delays stemming from
litigation have placed further permitting for Cape Wind on hold; no schedule has been
announced for commencing operations.
In addition to litigation hurdles, financing poses challenges for deploying renewable energy
projects. At issue for Congress is whether statutory changes might be needed to facilitate
financing options for Cape Wind and other renewable energy projects. Options for addressing
financing hurdles might include extending federal tax credits designed to spur renewable energy
projects. On October 24, 2012, as part of effort to streamline permitting for renewable energy
projects, DOI announced the first lease granted under the “Smart from the Start” initiative. (No
schedule has been established for this lease. For more details see http://www.boem.gov/
Renewable-Energy-Program/Smart-from-the-Start/Index.aspx.)
Recent concerns of policymakers about ocean drilling safety have prompted a renewed focus on
research to address challenges accompanying deepwater drilling operations. Specifically to help
prevent subsea blowouts, the Marine Well Containment Company –– a consortium of
ExxonMobil, Chevron, ConocoPhillips and Shell ––developed a subsea containment system that
was recently tested by the Bureau of Safety and Environmental Enforcement (BSEE). According
to BSEE, this new system is engineered to shut off flow from an underwater well and to activate
subsea dispersant injection equipment. This system is among other technologies being examined
for blowout prevention at ocean depths of up to 10,000 feet. Congress will likely monitor this
development to ensure ocean drilling safety.
For Further Information
Curry L. Hagerty, Specialist in Energy and Natural Resources Policy (chagerty@crs.loc.gov, 7-
7738)
CRS Report R42942, Deepwater Horizon Oil Spill: Recent Activities and Ongoing Developments,
by Jonathan L. Ramseur and Curry L. Hagerty
CRS Report R40175, Wind Energy: Offshore Permitting, by Adam Vann
Homeland Security
The federal government spends billions of dollars supporting research and development to protect
the homeland. Some of the issues that the 113th Congress may consider include how the
Department of Homeland Security performs research and development and issues regarding its
programs to detect smuggled nuclear material and biological terrorism. This section also includes
issues regarding the development of medical countermeasures against chemical, biological,
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radiological, and nuclear agents; oversight of who is permitted to perform research on certain
dangerous biological pathogens; and how they can communicate scientific results that may pose a
security risk.
R&D in the Department of Homeland Security
The Department of Homeland Security (DHS) has identified five core missions: to prevent
terrorism and enhance security, to secure and manage the borders, to enforce and administer
immigration laws, to safeguard and secure cyberspace, and to ensure resilience to disasters. New
technology resulting from research and development (R&D) can contribute to all these goals.
Coordination of DHS R&D is a long-standing congressional concern. The Directorate of Science
and Technology (S&T) has primary responsibility for establishing, administering, and
coordinating DHS R&D activities. The Domestic Nuclear Detection Office (DNDO) is
responsible for R&D relating to nuclear and radiological threats. The S&T Directorate, DNDO,
and the Coast Guard are the only DHS components that report R&D expenditures to the Office of
Management and Budget. In September 2012, however, the Government Accountability Office
(GAO) found that at least ten DHS components fund R&D and R&D-related activities. GAO
concluded that “as a result, it is difficult for DHS to oversee components’ R&D efforts.”
The S&T Directorate oversees a system of federal laboratories, federally funded R&D centers,
and university centers of excellence. In recent years, maintaining this infrastructure has consumed
a growing share of the directorate’s budget. This trend has constrained the funding available for
R&D projects. Construction of the planned National Bio- and Agro-defense Facility may further
increase infrastructure costs.
Initially envisioned as mainly an R&D organization, the S&T Directorate has expanded its role in
technology acquisition and operational support of other components. It oversees operational test
and evaluation for major acquisitions and provides other scientific and technical assistance
throughout DHS. The focus of its R&D activities is increasingly short-term and incremental, with
reduced emphasis on basic research and high-risk, high-reward projects.
DHS has reorganized its R&D-related activities several times. DNDO and the Office of Health
Affairs (OHA) were both created largely from elements of the S&T Directorate. In the
explanatory statement for the Consolidated and Further Continuing Appropriations Act, 2013
(P.L. 113-6), Congress directed DHS to evaluate the option of merging DNDO and OHA and
realigning some of their functions, possibly including R&D, into other components.
For Further Information
Daniel Morgan, Specialist in Science and Technology Policy (dmorgan@crs.loc.gov, 7-5849)
Detection of Smuggled Nuclear Material
Congress has emphasized the need to detect and interdict smuggled nuclear and radiological
material before it enters the United States, funding investment in nuclear detection domestically
and abroad. The U.S. Government has adopted a layered strategy of engaging internationally
through threat reduction programs and provision of detection equipment to foreign governments;
increasing supply-chain security efforts to track cargo approaching the U.S. border; securing the
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border through emplacement of radiation portal monitors and non-intrusive imaging equipment;
and developing fixed and mobile detection capabilities within the United States. Experts have
criticized this combined system as being insufficient to detect all smuggled special nuclear
material.
Research and development activities supporting detection of nuclear smuggling span multiple
agencies, including DHS and the National Nuclear Security Administration (NNSA). The DHS
and NNSA have spent several years developing, testing, and evaluating next-generation detection
equipment. The development of these next-generation systems has not yet met performance and
timeline expectations. In addition, a shortfall of a key neutron detection material, helium-3, may
force reconsideration of the current nuclear detection approach and require deployment of new
neutron-detection materials.
Congressional policymakers may continue their oversight over the interagency coordination in
nuclear detection activities; development, testing, and procurement of current and next-generation
nuclear detection equipment; and the sufficiency of the global nuclear detection architecture that
links these efforts together.
For Further Information
Dana A. Shea, Specialist in Science and Technology Policy (dshea@crs.loc.gov, 7-6844)
Chemical, Biological, Radiological, and Nuclear Medical
Countermeasures
The anthrax attacks of 2001 highlighted the nation’s vulnerability to biological terrorism. The
federal government responded to these attacks by increasing efforts to protect civilians against
chemical, biological, radiological, and nuclear (CBRN) terrorism. Effective medical
countermeasures, such as drugs or vaccines, could reduce the effects of a CBRN attack.
Policymakers identified a lack of such countermeasures as a challenge to responding to the
CBRN threat. To address this gap, the federal government created several programs over the last
decade to encourage private sector development of new CBRN medical countermeasures. Despite
these efforts, the federal government still lacks medical countermeasures for many CBRN threats.
The Biomedical Advanced Research and Development Authority (BARDA) and Project
BioShield are two prominent federal programs to support the development and procurement
CBRN medical countermeasures. The BARDA directly funds the advanced development of
countermeasures through contracts with private sector developers. Project BioShield provides a
mechanism to remove market uncertainty for countermeasure developers. It allows the federal
government to guarantee developers that the government will purchase a specified amount of the
countermeasure if the company can successfully develop it. The 113th Congress enacted
Pandemic and All-Hazards Preparedness Reauthorization Act of 2013 (P.L. 113-5) which
reauthorized and modified both of these programs. However, some key issues remain unresolved
with these programs, including the form and magnitude of appropriations. In FY2004, Congress
advance appropriated $5.6 billion to Project BioShield for a ten year period. Congress funded
BARDA through annual transfers from the unobligated balance of the Project BioShield advance
appropriation. However for FY2014, there will be no remaining unobligated balances available.
Congressional policymakers may consider whether providing appropriations to each program
individually on an annual basis rather than through a combined multiyear advance appropriation
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would improve these programs’ efficiency or performance. Additionally, congressional
policymakers may consider adjusting the funding level of these programs in the light of the
current fiscal environment.
For Further Information
Frank Gottron, Specialist in Science and Technology Policy (fgottron@crs.loc.gov, 7-5854)
CRS Report R42349, The Project BioShield Act: Issues for the 112th Congress, by Frank Gottron
The Select Agent Rule: Bioagent Lab Registration and Security
The National Select Agents Registry Program (NSAR, http://www.selectagents.gov/) oversees the
possession of “select agents”—i.e., biological agents and toxins with the potential to pose a
severe threat to public, animal, or plant health, or to animal or plant products. The select agent list
is developed and periodically updated by the HHS Centers for Disease Control and Prevention
(CDC) and the USDA Animal and Plant Health Inspection Service (APHIS). Congress mandated
the program in 1996, and expanded and strengthened it through subsequent reauthorizations.
NSAR requires registration and specified security practices by U.S. laboratory facilities—
including those at government agencies, universities, research institutions, and commercial
entities—that possess, use, or transfer biological agents and toxins. Individuals given access to
select agents must undergo background investigations conducted by the Federal Bureau of
Investigation. Federal law bars access by certain groups of individuals, based on criminal history,
immigration status, and other factors.
CDC regulates laboratory facilities that possess human pathogens and toxins (42 CFR 73), and
APHIS regulates laboratory facilities that possess animal and plant pathogens and toxins (7 CFR
331 and 9 CFR 121). The two agencies share oversight of so-called “overlap agents” (such as the
pathogen that causes anthrax), which affect both human and non-human animals.
While NSAR emphasizes the prevention of the intentional use of these agents, there have also
been concerns about the accidental release of these agents from registered facilities. Such releases
can result from the failure of environmental controls, or from improper laboratory practices.
NSAR regulations require registered facilities to have, in addition to the biosecurity provisions
discussed above, biosafety plans that address good laboratory practices, worker safety, and related
matters, to mitigate the possibility of an accidental release.
NSAR has imposed significant constraints on those who choose to work with select agents.
Skeptics point out, however, that it may not prevent intentional acts by individuals who have been
granted access, or by others who have gained access to these agents in countries that lack
comparable regulatory controls. In a 2012 final rule, pursuant to an executive order, CDC
designated a subset of select agents that “present the greatest risk of deliberate misuse with the
most significant potential for mass casualties or devastating effects to the economy, critical
infrastructure; or public confidence” as “Tier 1” agents. The rule established new security
requirements for entities that possess Tier 1 agents, including ongoing monitoring of personnel
who have been granted access to them (77 Fed. Reg. 61084, October 5, 2012).
For Further Information
Sarah A. Lister, Specialist in Public Health and Epidemiology (slister@crs.loc.gov, 7-7320)
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BioWatch: Detection of Aerosol Release of Biological Agents
The BioWatch program—begun in 2003—deploys pathogen sensors in more than 30 large U.S.
cities to detect the possible aerosol release of a bioterrorism pathogen, in order that medications
can be distributed before exposed individuals become ill. The DHS Office of Health Affairs
(OHA) manages the system. The CDC oversees some aspects of laboratory testing. Local
jurisdictions would manage the public health response to a bioterrorism incident.
Timely treatment will reduce casualties during a bioterrorism incident. Federal officials have
sought to improve the responsiveness of the BioWatch system by replacing the current practice of
daily sensor filter collection and analysis with so-called autonomous sensors, which would
transmit pathogen detection findings in near-real time. OHA has pursued procurement of this type
of sensor, which it terms Generation 3, or Gen-3, since 2007. However, GAO has noted that Gen-
3 has a history of technical and management challenges, and a sizeable $5.8 billion life-cycle cost
through FY2028. GAO recommends that DHS reevaluate the mission need and alternatives
before continuing acquisition of these sensors. (GAO-12-810, September, 2012.)
BioWatch has not detected a bioterrorism incident since its inception, although it has detected
pathogens of interest; scientists believe that natural airborne “background” levels of these
pathogens, or close relatives of them, exist in certain regions. In July 2012, the Los Angeles
Times published the first in a series of investigative articles criticizing the performance of
BioWatch, echoing in part the concerns of GAO (above), as well as the National Academy of
Sciences. The articles claimed that the system is prone to false alarms and is also insufficiently
sensitive to detect an actual incident. Dr. Alexander Garza, the DHS Assistant Secretary for
Health Affairs, disputed these claims. In addition, some state and local health officials defended
the program, saying, among other things, that it has fostered collaboration among federal, state,
and local officials, who would be called upon to work together in response to an actual incident.
The performance of BioWatch has attracted the attention of Members of Congress since its
inception. Congressional appropriators have at times sought to limit funding for program
expansion and/or called for program reviews. Authorizing committees in each Congress since the
108th have held hearings on the program. In addition, Members of the House Committee on
Energy and Commerce began an investigation of the program in the 112th Congress, which has
continued in the 113th Congress.
For Further Information
Sarah A. Lister, Specialist in Public Health and Epidemiology (slister@crs.loc.gov, 7-7320)
“Office of Health Affairs: Issues for Congress,” in CRS Report R42644, Department of
Homeland Security: FY2013 Appropriations, coordinated by William L. Painter
Publishing Scientific Results with Potential Security Risks
The federal government generally supports the publication of federally funded research results
because wide dissemination may drive innovation, job creation, technology development, and
scientific advances. However, a series of scientific articles describing how to make influenza
more transmissible have highlighted the possibility that publication of some research results could
threaten national security. Congress, the Administration, and other stakeholders are considering
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whether current research publishing policies sufficiently balance potential benefits with potential
harms. The current issues under debate cut across traditional policy areas, involving simultaneous
consideration of security, science, health, export, and international policy. Because of the
complexity of these issues, analysis according to one set of policy priorities may adversely affect
other policy priorities. For example, maximizing security may lead to detriments in public health
and scientific advancement, while maximizing scientific advancement may lead to security risks.
Accounting for such trade-offs may allow policymakers to establish regulatory frameworks that
more effectively maximize the benefits from such research while mitigating its potential risks.
The Administration has begun developing policy frameworks for funding agencies and
researchers to consider when sponsoring or performing specific sets of life science experiments
that might produce results that could have beneficial and malicious uses. Stakeholders have not
reached consensus on the effectiveness or appropriateness of these nascent policies.
Congressional policymakers could decide to allow full implementation of the new policies before
evaluating whether they sufficiently address the policy issues. Alternatively, Congress could
require agencies to implement new, different processes to identify potential research of concern
prior to funding; require federal prepublication review of all potential research of concern to
establish appropriate limits on the distribution of the research results; require federal licensing of
researchers permitted to conduct such experiments and access results; and limit such research to
the most safe and secure laboratories.
For Further Information
Frank Gottron, Specialist in Science and Technology Policy (fgottron@crs.loc.gov, 7-5854)
CRS Report R42606, Publishing Scientific Papers with Potential Security Risks: Issues for
Congress, by Frank Gottron and Dana A. Shea
Information Technology
The rapid pace of advancements in information technology present several issues for
congressional policymakers, including cybersecurity, potential changes to how the Internet is
governed, issues related to broadband access, and issues related to the allocation of spectrum to
support wireless services.
Cybersecurity
For more than a decade, experts have expressed concerns about the security of information and
communications systems—often referred to as cybersecurity—in the United States and abroad.
The frequency, impact, and sophistication of attacks on those systems have added urgency to the
concerns.
The federal role in cybersecurity is complex, involving both securing federal systems and
fulfilling the appropriate federal role in protecting nonfederal systems. No overarching
framework legislation is in place, but many enacted statutes address various aspects of
cybersecurity.
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Consensus has grown that the federal policy framework take into account the diversity and
continuing evolution of the technology and threats, and the increasing role of the Internet in the
U.S. economy and the lives of citizens. Among the issues Congress continues to confront are
• cybersecurity for critical infrastructure, given that most of it is owned by the
private sector;
• prevention of and response to cybercrime, especially given its international
character;
• the relationship between cyberspace and national security; and
• how federal funding should be invested to protect information systems.
Proposed legislation has focused largely on issues in 10 broad areas:
• national strategy and the role of government,
• reform of the Federal Information Security Management Act (FISMA),
• protection of critical infrastructure (especially the electricity grid and the
chemical industry),
• information sharing and cross-sector coordination,
• breaches resulting in theft or exposure of personal data such as financial
information,
• cybercrime offenses and penalties,
• privacy in the context of electronic commerce,
• international efforts,
• research and development (R&D), and
• the cybersecurity workforce.
Several bills addressing those issues were considered in the 112th Congress, but none were
enacted. Some have been reintroduced, and additional proposals are expected.
The White House issued an executive order in February 2013 designed to improve the
cybersecurity of U.S. critical infrastructure. Citing repeated cyber-intrusions into critical
infrastructure and growing cyberthreats, Executive Order 13636, Improving Critical
Infrastructure Cybersecurity, attempts to enhance security and resiliency of critical infrastructure
through voluntary, collaborative efforts involving federal agencies and owners and operators of
privately owned critical infrastructure, as well as use of existing federal regulatory authorities.
For Further Information
Eric A. Fischer, Senior Specialist in Science and Technology (efischer@crs.loc.gov, 7-7071)
Catherine A. Theohary, Analyst in National Security Policy and Information Operations
(ctheohary@crs.loc.gov, 7-0844)
CRS Report R42114, Federal Laws Relating to Cybersecurity: Overview and Discussion of
Proposed Revisions, by Eric A. Fischer
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CRS Report R42984, The 2013 Cybersecurity Executive Order: Overview and Considerations for
Congress, by Eric A. Fischer et al.
Internet Governance and the Domain Name System
The Internet is comprised of international and decentralized networks largely owned and operated
by private sector entities. As the Internet becomes more pervasive in all aspects of modern
society, the question of how it should be governed becomes more pressing. Currently, an
important aspect of the Internet is governed by a private sector, international organization called
the Internet Corporation for Assigned Names and Numbers (ICANN), which manages the domain
name system and Internet addressing. ICANN makes its decisions using a multistakeholder model
of governance, in which a collaborative policy development process is open to all Internet
stakeholders.
National governments have increasingly recognized the importance of ICANN policy decisions,
especially in cases where Internet policy intersects with national laws addressing such issues as
intellectual property, privacy, law enforcement, Internet freedom, and cybersecurity. Some
governments are advocating intergovernmental influence over the way the Internet is governed,
while other governments (such as the United States and the European Union) oppose
intergovernmental jurisdiction over the Internet. This debate surfaced during consideration of the
revised International Telecommunication Regulations (ITR) treaty held by the International
Telecommunication Union (a United Nations agency) during the December 2012 World
Conference on International Telecommunications (WCIT) in Dubai. Ultimately, the United States
(and 54 other nations) chose not to sign the final treaty, citing an unacceptable expansion of ITR
jurisdiction over the Internet.
As part of its input into the WCIT debate, the 112th Congress unanimously passed S.Con.Res. 50,
which expressed the sense of Congress that the Administration should promote a global Internet
free from intergovernmental control, and should preserve and advance the successful
multistakeholder model of Internet governance. A key issue for the 113th Congress is whether and
how the U.S. government should continue to maximize its influence over ICANN’s
multistakeholder Internet governance process, while at the same time effectively resisting
proposals for an increased role by international governmental institutions such as the United
Nations. An ongoing concern is: to what extent will future intergovernmental telecommunications
conferences constitute an opportunity for some nations to increase intergovernmental control over
the Internet, and how effectively will the Administration work to counteract that threat?
For Further Information
Lennard G. Kruger, Specialist in Science and Technology Policy (lkruger@crs.loc.gov, 7-7070)
CRS Report R42351, Internet Governance and the Domain Name System: Issues for Congress,
by Lennard G. Kruger
CRS Report 97-868, Internet Domain Names: Background and Policy Issues, by Lennard G.
Kruger
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Science and Technology Issues in the 113th Congress
Broadband Deployment
Broadband—whether delivered via fiber, cable modem, copper wire, satellite, or wirelessly—is
increasingly the technology underlying telecommunications services such as voice, video, and
data. Since the initial deployment of broadband in the late 1990s, Congress has viewed broadband
infrastructure deployment as a means towards improving regional economic development, and in
the long term, to create jobs. According to the Federal Communications Commission’s (FCC’s)
National Broadband Plan, the lack of adequate broadband availability is most pressing in rural
America, where the costs of serving large geographical areas, coupled with low population
densities, often reduce economic incentives for telecommunications providers to invest in and
maintain broadband infrastructure and service. The National Broadband Plan also identified
broadband adoption as a problem, whereby 1 in 3 Americans have broadband available but
choose not to subscribe. Populations continuing to lag behind in broadband adoption include
people with low incomes, seniors, minorities, the less-educated, non-family households, and the
non-employed.
The 113th Congress will likely address a range of broadband-related issues. These include the
transition of the telephone-era Universal Service Fund to the broadband-focused Connect
America Fund, reauthorization of broadband loan programs in the 2013 farm bill, and the
development of new wireless spectrum policies. Additionally, the 113th Congress may choose to
examine our existing regulatory structure and consider possible revision of the 1996
Telecommunications Act and its underlying statute, the Communications Act of 1934. Both the
convergence of telecommunications providers and markets and the transition to an Internet
Protocol (IP) based network have, according to a growing number of policymakers, made it
necessary to consider revising the current regulatory framework. How a possible revision might
create additional incentives for investment in, deployment of, and subscribership to, our
broadband infrastructure is likely to be just one of many issues under consideration.
To the extent that Congress may consider various options for further enhancing broadband
deployment, a key issue is how to develop and implement federal policies intended to increase the
nation’s broadband availability and adoption, while at the same time minimizing any deleterious
effects that government intervention in the marketplace may have on competition and private
sector investment.
For Further Information
Angele A. Gilroy, Specialist in Telecommunications Policy (agilroy@crs.loc.gov, 7-7778)
Lennard G. Kruger, Specialist in Science and Technology Policy (lkruger@crs.loc.gov, 7-7070)
CRS Report R42524, Rural Broadband: The Roles of the Rural Utilities Service and the
Universal Service Fund, by Angele A. Gilroy and Lennard G. Kruger
CRS Report RL30719, Broadband Internet Access and the Digital Divide: Federal Assistance
Programs, by Lennard G. Kruger and Angele A. Gilroy
CRS Report RL33816, Broadband Loan and Grant Programs in the USDA’s Rural Utilities
Service, by Lennard G. Kruger
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Science and Technology Issues in the 113th Congress
The Federal Networking and Information Technology Research and Development Program
Congress passed the High-Performance Computing and Communications Program (HPCC) Act of
1991 (P.L. 102-194) to enhance the effectiveness of federally-funded information technology (IT)
research and development (R&D) programs, as well as encourage coordination among agencies
conducting such research.
Proponents of federal support of IT R&D assert that it has produced positive outcomes for the
country and played a crucial role in supporting long-term research into fundamental aspects of
computing. Such fundamentals may provide broad practical benefits, but generally take years to
realize. Additionally, the unanticipated results of research are often as important as the anticipated
results. Another aspect of government-funded IT research is that it often leads to open standards,
something that many perceive as beneficial, encouraging deployment and further investment.
Industry, on the other hand, is more inclined to invest in proprietary products and will diverge
from a common standard when there is a potential competitive or financial advantage to do so.
Supporters believe that the outcomes achieved through the various funding programs create a
synergistic environment in which both fundamental and application-driven research are
conducted, benefitting government, industry, academia, and the public. Critics, however, assert
that the government, through its funding mechanisms, may be picking “winners and losers” in
technological development, a role more properly residing with the private sector. For example,
the size of the NITRD Program may encourage industry to follow the government’s lead on
research directions rather than selecting those directions itself.
The NITRD Program is funded through appropriations to its individual agencies, so support for it
will likely be part of the Federal budget debate in Congress.
For Further Information
Patricia Moloney Figliola, Specialist in Internet and Telecommunications Policy
(pfigliola@crs.loc.gov, 7-2508)
CRS Report RL33586, The Federal Networking and Information Technology Research and
Development Program: Background, Funding, and Activities, by Patricia Moloney Figliola
Using Technology to Manage Spectrum Resources
The rapid growth in mobile voice and data technologies has created new demands for advanced
communications infrastructure and radio frequency spectrum capacity that can support high-
speed, content-rich uses. Forging new policies for managing radio frequency spectrum may be the
subject of far-reaching debates during the 113th Congress. By statute, spectrum is treated as a
natural resource, but it is considered by many as a form of property, through the assignment of
licenses. Electro-magnetic, or radio frequency, spectrum is segmented into bands of radio
frequencies and typically measured in cycles per second, or hertz. Spectrum allocations and
license assignments are described in hertz. Standard abbreviations for measuring frequencies
include kHz—kilohertz or thousands of hertz; MHz—megahertz, or millions of hertz; and GHz—
gigahertz, or billions of hertz.
The emerging debate over spectrum policy centers on how best to apply technology to maximize
the societal and economic value of the airwaves to support popular and essential wireless
services. Immediate policy concerns tend to focus on providing new spectrum capacity to fuel the
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Science and Technology Issues in the 113th Congress
building of networks using IP-enabled technologies to meet immediate consumer demand. Still to
be fully addressed – by Congress and by most policy-makers – is how to bring the wireless
network technology to the next level of accomplishment, assuring American leadership in a
wireless, mobile economy for decades to come.
The “Spectrum Act,” Title VI of the Middle Class Tax Relief and Job Creation Act of 2012 (P.L.
112-96)—signed into law on February 22, 2012—addresses present and future needs to provide
adequate spectrum. The act authorizes the Federal Communications Commission (FCC) to
establish an “incentive auction” process. The incentive auction is intended to release airwaves,
now used for television broadcasting, to be licensed and auctioned to commercial wireless
companies for broadband networks. The act also seeks to expand the amount of spectrum
available for unlicensed use and stipulates conditions under which federal agencies may share
their spectrum holdings with commercial users.
The technologies for next-generation networks built using licensed spectrum are well-established.
Technologies that rely on databases to manage spectrum availability are being deployed and
tested for next-generation unlicensed use. More advanced technologies, such as Dynamic
Spectrum Access, that many believe will be the base for future spectrum policy, are in early
stages of testing and development.
For Further Information
Linda K. Moore, Specialist in Telecommunications Policy (lmoore@crs.loc.gov, 7-5853)
CRS Report R40674, Spectrum Policy in the Age of Broadband: Issues for Congress, by Linda K.
Moore
Author Contact Information
Frank Gottron, Coordinator
Specialist in Science and Technology Policy
fgottron@crs.loc.gov, 7-5854
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Science and Technology Issues in the 113th Congress
Key Policy Staff
Area of Expertise
Name
Phone
E-mail
Agricultural research, general
Dennis A. Shields
7-9051
dshields@crs.loc.gov
Agricultural research, biotechnology
Tadlock Cowan
7-7600
tcowan@crs.loc.gov
America Competes Act
Heather B. Gonzalez
7-1895
hgonzalez@crs.loc.gov
BioWatch
Sarah A. Lister
7-7320
slister@crs.loc.gov
Broadband deployment
Angele A. Gilroy
7-7778
agilroy@crs.loc.gov
Lennard G. Kruger
lkruger@crs.loc.gov
7-7070
Carbon capture
Peter Folger
7-1517
pfolger@crs.loc.gov
Chemical, biological, radiological, and
Frank Gottron
7-5854
fgottron@crs.loc.gov
nuclear (CBRN) medical
countermeasures
Climate change
Jane A. Leggett
7-9525
jaleggett@crs.loc.gov
Cybersecurity
Eric A. Fischer
7-7071
efischer@crs.loc.gov
Catherine A. Theohary
ctheohary@crs.loc.gov
7-0844
Defense John
Moteff
7-1435
jmoteff@crs.loc.gov
DHS R&D
Daniel Morgan
7-5849
dmorgan@crs.loc.gov
Earth observing satellites
Peter Folger
7-1517
pfolger@crs.loc.gov
Federal research results, public access
Dana A. Shea
7-6844
dshea@crs.loc.gov
Federal research results, publishing
Frank Gottron
7-5854
fgottron@crs.loc.gov
potential security risks
Federal S&T funding & policymaking
John F. Sargent, Jr.
7-9147
jsargent@crs.loc.gov
Geoengineering Kelsi
Bracmort
7-7283
kbracmort@crs.loc.gov
Richard K. Lattanzio
rlattanzio@crs.loc.gov
7-1754
Intel ectual property/ patents
Wendy H. Schacht
7-7066
wschacht@crs.loc.gov
Internet and domain name system
Lennard G. Kruger
7-7070
lkruger@crs.loc.gov
NASA Daniel
Morgan
7-5849
dmorgan@crs.loc.gov
National Institutes of Health
Pamela W. Smith
7-7048
psmith@crs.loc.gov
Nanotechnology
John F. Sargent, Jr.
7-9147
jsargent@crs.loc.gov
Networking and Information
Patricia Moloney Figliola
7-2508
pfigliola@crs.loc.gov
Technology Research and
Development Program
Nuclear energy
Mark Holt
7-1704
mholt@crs.loc.gov
Nuclear material detection
Dana A. Shea
7-6844
dshea@crs.loc.gov
Prescription drug costs
Wendy H. Schacht
7-7066
wschacht@crs.loc.gov
Public private partnerships
Wendy H. Schacht
7-7066
wschacht@crs.loc.gov
Ocean energy
Curry L. Hagerty
7-7738
chagerty@crs.loc.gov
Ocean policy
Harold F. Upton
7-2264
hupton@crs.loc.gov
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Science and Technology Issues in the 113th Congress
Area of Expertise
Name
Phone
E-mail
Select agent program
Sarah A. Lister
7-7320
slister@crs.loc.gov
Science, technology, engineering, and
Heather B. Gonzalez
7-1895
hgonzalez@crs.loc.gov
mathematics (STEM) education
Spectrum
Linda K. Moore
7-5853
lmoore@crs.loc.gov
Stem cel s
Judith A. Johnson
7-7077
jajohnson@crs.loc.gov,
Tax policy (S&T-related)
Gary Guenther
7-7742
gguenther@crs.loc.gov
Water
Nicole T. Carter
7-0854
ncarter@crs.loc.gov
Workforce
John F. Sargent, Jr.
7-9147
jsargent@crs.loc.gov
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