NSF and the Federal Budget
This content provides insights into the relationship between the National Science Foundation (NSF) and the Federal Budget. It covers topics such as federal budget basics, NSF budget process, appropriations, and spending categories in President Obama's fiscal 2017 budget. Additionally, it discusses the fields of science and various executive and legislative decision units involved in budget decisions. The overview of the budget process, evaluation, planning, and performance reports are also outlined in detail with visual representations.
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Presentation Transcript
NSF and the Federal Budget Michael Sieverts Division Director, Budget Division Office of Budget, Finance, and Award Management U.S. National Science Foundation 1
Main Topics Federal Budget: Some Basics NSF Budget Process NSF Appropriations Current Events 2
Spending Americas Income Broad revenue and spending categories in President Obama s fiscal 2017 budget: How it would be spent (outlays) Where it comes from (receipts) $3.6 Trillion $4.1 Trillion $608 billion: Defense (Discretionary) Individual income tax: $1,788 billion $625 billion: Non-Defense (Discretionary) Corporate income tax: $419 billion $967 billion: Social Security $4.1 Trillion Payroll tax: $1,141 billion $598 billion: Medicare $303 billion: Interest on debt Excise tax: $110 billion Estate and gift tax: $22 billion Customs duties: $40 billion Other: $124 billion $386 billion: Medicaid $661 billion: Other Deficit: $502 billion Totals may not add due to rounding.
4 Source: Washington Post: http://www.washingtonpost.com/wp-srv/special/politics/federal-budget-process/noFlash.jpg
Fields of Science and Executive and Legislative Decision Units Connecting lines show location of budget decisions, but not decision sequences Departments & Agencies House and Senate Appropriations Subcommittees With significant R&D $ Fields of Science Defense Agency for International Development Engineering Defense Veterans Affairs State & Foreign Operations Physical Sciences Energy Military Construction & Veterans Affairs NRC Math & Computer Science NASA Energy & Water Development NSF Commerce, Justice & Science Agriculture Environmental Sciences Agriculture & Related Agencies EPA Interior Interior & Environment Life Sciences Transportation Transportation & Related Agencies Homeland Security Homeland Security Justice Psychology Financial Services & General Gov t. Housing & Urban Development Labor, Health & Human Services, & Education Treasury Social Sciences Commerce Health & Human Services Other Sciences Education 5 Labor
Overview of Budget Process Evaluation Planning Performance Reports Committee of Visitors Financial Audits Strategic Plan Community Input Prior Year Performance Develop Internal Allocations Commit, Obligate, and Expend Funds Internal Budget Development Submission to OMB Request to Congress Execution Formulation 6
Budget Planning Timeline FY 2016 FY 2017 Aug 16 Sep 16 Oct 16 Nov 16 Dec 16Jan 17 Feb 17 Mar 17 May 16 Jun 16 Jul 16 Mar 16 Apr 16 Dec 15Jan 16 Feb 16 Financial Audit Commit, Obligate and Spend FY16 Funds FY 16 Budget Cycle Received FY16 Appropriation Publish FY16 AFR Develop FY17 Interim Operating Plan Commit, Obligate and Spend FY17 Funds Develop & Submit FY17 CP FY 17 Budget Cycle Receive FY17 Appropriation? Congressional Action on FY17 Submitted FY17 Budget to Congress Develop FY18 Budget to Congress Develop underlying information NSB Meeting FY 18 Budget Cycle Leadership Retreat NSB Meeting NSB Meeting Election Inauguration Submit FY18 high level estimates to OMB Budget Formulation Budget Execution External Milestones/ Actions Internal Milestones 7 Note: Timing of internal deadlines and appropriations fluctuates from year-to-year
What is the budget? Congressional Justification Justification of Estimates of Appropriations to the Congress NSF: 2 pages of appropriations language ~570 pages of justification Know your pages http://www.nsf.gov/about/budget/ 8
NSF Budget NSF receives funding in six appropriations to finance its mission Research and Related Activities (R&RA) Education and Human Resources (EHR) Major Research Equipment and Facilities Construction (MREFC) Agency Operations and Award Management (AOAM) National Science Board (NSB) Office of Inspector General (OIG) Programmatic Activities Administrative & Management Activities
NSF BUDGET STRUCTURE FY 2016 Appropriations by Account - $7,463 million Office of Inspector General $15 million (<1%) National Science Board $4 million (<1%) Research & Related Activities $6,034 million (81%) Agency Operations & Award Management $330 million (4%) Major Research Equipment & Facilities Construction $200 million (3%) Education & Human Resources $880 million (12%) 10
Program Accounts R&RA & EHR: Major Directorates and Offices. ~93% of Total Appropriation for NSF MREFC: Major facility projects ~3% of Total Appropriation for NSF 11
Current Events: Bipartisan Budget Act of 2015 (P.L. 114-74) Discretionary Budget Caps +3% +5% 12
National Science Foundation FY 2017 Budget Request to Congress (Dollars in Millions) FY 2017 Request Discretionary over FY 2016 Estimate FY 2017 Request Total over FY 2016 Estimate FY 2017 Request - Discretionary FY 2017 Request - Mandatory FY 2016 Estimate FY 2017 Account Amount Percent Amount Percent Request - Total Research & Related Activities $6,034 $6,079 $46 0.8% $346 $6,425 $392 6.5% Education & Human Resources 880 899 19 2.1% 54 953 73 8.3% Major Research Equipment & Facilities Construction 200 193 (7) -3.6% - 193 -7 -3.6% Agency Operations & Award Management National Science Board Office of Inspector General Total, NSF Totals may not add due to rounding. * denotes amounts <$500K. 330 373 43 * * 13.0% 0.2% 0.3% 1.3% - - - 373 43 * * 13.0% 0.2% 0.3% 6.7% 4 4 4 15 15 15 $7,463 $7,564 $101 $400 $7,964 $501 13
What is meant by mandatory funding? Different category of Federal spending than NSF typically sees Also known as direct spending GAO Definition: budget authority that is provided in laws other than appropriations acts Most commonly associated with entitlement programs (Social Security, Medicare, etc.) but also supports R&D Not subject to discretionary caps In FY 2017, the Administration is seeking legislation to provide mandatory funding for NSF on a one-time basis 14
CongressionalAction to Date FY 2017 Budget Hearings in the House House Appropriations, Subcommittee Commerce, Science, Justice March 16, 2016 House Committee on Science, Space & Technology March 22, 2016 Senate markup on April 21, 2016 House subcommittee markup on May 17, 2016 Congress not considering Administration s proposal for new mandatory funding 15
Senate Mark-up National Science Foundation FY 2017 Senate Markup: Comparison to FY 2017 Request (Discretionary) and FY 2016 Estimate (Dollars in Millions) FY 2017 Senate over FY 2017 Request- Discretionary FY 2017 Senate over FY 2016 Estimate FY 2017 Request- Discretionary FY 2016 Estimate FY 2017 Senate Account Research & Related Activities Amount Percent Amount -$46 Percent -0.8% $6,034 $6,079 $6,034 - - Education & Human Resources 880 899 880 - - -19 -2.1% Major Research Equipment & Facilities Construction Agency Operations & Award Management National Science Board 200 193 247 46 23.1% 53 27.7% 330 373 330 - - -43 -11.5% 4 4 4 - - * -0.2% - Office of Inspector General 15 15 15 * 0.3% - Total, NSF $7,463 $7,564 $7,510 $46 0.6% -$54 -0.7% Totals may not add due to rounding. * denotes amounts <$500K. 16
House Mark-up National Science Foundation FY 2017 House Markup: Comparison to FY 2017 Request (Discretionary) and FY 2016 Estimate (Dollars in Millions) FY 2017 House over FY 2017 Request- Discretionary FY 2017 House over FY 2016 Estimate FY 2017 Request- Discretionary FY 2016 Estimate FY 2017 House Amount Percent Amount Percent Account Research & Related Activities Education & Human Resources Major Research Equipment & Facilities Construction Agency Operations & Award Management National Science Board Office of Inspector General Total, NSF $6,034 880 $6,079 899 $6,079 880 $45 - 0.7% - - - -19 -2.1% 200 193 87 -113 -56.5% -106 -54.9% 330 373 340 10 * * 3.0% - - -0.8% -33 -8.8% - - -2.1% 4 4 4 - - 15 15 15 $7,463 $7,563 $7,405 -$58 -$158 Totals may not add due to rounding. * denotes amounts <$500K. 17
Appropriations: Noteworthy Items SENATE Third Regional Class Research Vessel GAO review of projects funded via MREFC account Based on GAO review of NASA projects NSB report re: facilities O&M AOAM funding insufficient to cover relocation to Alexandria HOUSE No details yet No Regional Class Research Vessel funding 18
Outlook Uncertainty Potential Outcomes . Appropriations enacted by Oct. 1 -- OR -- Continuing resolution until after election or inauguration 19
APPROPRIATIONS DRIFT NSF Appropriations Dates versus Start of Federal Fiscal Year Oct. 1 2016 2015 2014 2013 2012 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 2000 1999 1998 1997 1996 1995 1994 1993 1992 1991 -30 0 30 60 90 120 150 180 210 240 Days from October 1 20
For More Information NSF Budgets Budget and Performance link at bottom of nsf.gov http://www.nsf.gov/about/budget/ http://www.nsf.gov/about/performance/ NSF Budget Primer - http://collaboration.inside.nsf.gov/bfa/Budget/Budget%20Process%20Primer/01_Pri mer_Introduction.aspx NSF Budget Internet Information System (BIIS) - http://dellweb.bfa.nsf.gov/ NSF Enterprise Information System (EIS) http://budg-eis-01/eisportal/default.aspx NSF Program and Financial Coding Manual FY 2016 https://inside.nsf.gov/tools/toolsdocuments/Inside%20NSF%20Documents/NSF%20 Manual%2021.pdf 21
