priorities accorded the completion of certain de- 

 velopmental or applied work needed to meet long- 

 range goals. In selecting the amount of basic re- 

 search to include, some agencies (e.g., NIE, Agri- 

 culture, and the Energy Research and Develop- 

 ment Administration (ERDA)) try to allocate a 

 certain percentage of their total research funds 

 (from 6 percent up) to the basic areas — the 

 amounts being subject to staff discussion. 



In NSE and the National institutes of Health 

 (NIH), where support of basic research is a pri- 

 mary agency mission, the selection of research is 

 a complex process. NSE initiates its planning in 

 accordance with policies set by the National Sci- 

 ence Board. The program managers assess the 

 needs and opportunities in each of their subject 

 areas. They base their recommendations to man- 

 agement on ideas received from professional so- 

 cieties and academies, discussions by program 

 panels, contacts with the multitude of scientists 

 they meet, and, often, on the commentaries re- 

 ceived from iid hoc reviewers. This procedure 

 encourages coordination with the programs of 

 other research-supporting Federal agencies, such 

 as NIH, where the program directors and the re- 

 viewers can see parallel proposals. 



The Department of Defense (DOD) services, 

 which support much basic research, also select 

 research projects related to their mission require- 

 ments. In the Army program, the staff prepares 

 for its laboratories a user-oriented document 

 called the Science & Technology Objectives 

 Guide (STOG), which specifies certain scientific 

 objectives to guide the selection of research proj- 

 ects. The guide describes these objectives and 

 relates them to future military operations, points 

 out deficiencies, states objectives for future R&D 

 activities, and indicates laboratories within the 

 Army structure that are expected to undertake 

 and support these activities. Laboratory directors 

 as well as staff scientists review the documents, 

 delineate the work they feel can be carried out, 

 and propose to their superiors which projects 

 should be budgeted. In the Air Force research 

 program, each laboratory prepares planning docu- 

 ments for its projects, specifying budget, person- 

 nel, and equipment requirements. Those that in- 

 volve basic research are channeled through the 

 Air Force Office of Scientific Research (AFOSR). 

 where they are examined for their relationship to 

 the total basic research effort of the service and 

 where selection takes place. Some high-risk pro- 

 grams are allowed in selected research activities, 

 especially if the proposer has demonstrated a high 

 potential for success. 



NASA uses a management system for research 

 called RTOP — Research and Technology Objec- 

 tives and Plans. Under this system, a statement of 



objectives and plans is drawn up with an outline 

 of all of the resources required. From this state- 

 ment laboratories outline proposed research proj- 

 ects that are intended to meet the objectives. 

 When the project is approved by headquarters, 

 the action becomes a "contract" with the suboff- 

 ices or laboratories that will carry out the re- 

 search. Responsibility for directing the project is 

 lodged with the individual laboratory and project 

 directors. 



With an approved research plan in hand, the 

 next step in the research initiation process is to 

 select the best and most appropriate performers. 

 If the work is to be done in-house, the research- 

 ers' time and requirements and the necessary 

 funding must be determined before authorization 

 to proceed is given. If the locale has not been 

 determined previously, the plan must be brought 

 to the attention of possible performers, either by 

 circulating a Request for Proposal based on stated 

 agency research requirements or through personal 

 contact between agency research managers and 

 the community of interested researchers, or both, 

 in order to encourage appropriate proposals. 



Most agencies cite certain criteria as important 

 in their decisions to support or not support re- 

 search. Among these are the qualifications and 

 competence of the investigators, the soundness of 

 the project, the importance of the proposed work 

 as described to the agency, the availability of fa- 

 cilities to the investigator, and funds needed to 

 support the work. These criteria generally apply 

 no matter how the plan is prepared — whether the 

 research idea is generated by agency laboratory 

 research personnel or by a proposer outside the 

 agency. Some agencies report additional factors 

 that influence final selection. The Air Force, 

 Army, and Navy, for example, seek to maintain a 

 balance of about 30 percent of their research in- 

 house and 70 percent out-of-house. The military 

 services also frequently find that specific research 

 results are urgently needed and, under such cir- 

 cumstances, this factor influences their considera- 

 tions. NASA and the military services also consi- 

 der it desirable to have strong university, research 

 institute, or industrial capabilities that are know- 

 ledgeable about agency programs and problems and 

 that can be summoned in times of need. 



Most agencies designate staff or outside review- 

 ers to evaluate proposals. Often, the resulting 

 recommendations are further examined by stalT 

 members, a committee, and/or a panel before the 

 formal approval mechanism begins.- Agencies 

 generally follow one of four methods to obtain 

 advice: 



^he reader is referred lo Pari I of this report for the agen- 

 cies' own statements on organization. 



268 AGENCY SUPPORT OF BASIC RESEARCH BY FIELD OF SCIENCE 



