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★(Star Print)

Calendar No. 607

106TH CONGRESS

2D SESSION S. 2046

[Report No. 106–310]

To reauthorize the Next Generation Internet Act, and for other purposes.

IN THE SENATE OF THE UNITED STATES

FEBRUARY 9, 2000

Mr. FRIST (for himself, Mr. ROCKEFELLER, Mr. ROBERTS, Mr. BREAUX, Mr.

HOLLINGS, Mr. LIEBERMAN, Mr. ABRAHAM, Mr. KERRY, and Mr. BAYH)

introduced the following bill; which was read twice and referred to the

Committee on Commerce, Science, and Transportation

JUNE 16, 2000

Reported by Mr. MCCAIN, with an amendment in the nature of a substitute

[Strike all after the enacting clause and insert the part printed in italic]

A BILL

To reauthorize the Next Generation Internet Act, and for

other purposes.

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled,

3 SECTION 1. SHORT TITLE.

4 This Act may be cited as the ‘‘Next Generation Inter5 net 2000’’.
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1 SEC. 2. FINDINGS.

2 The Congress makes the following findings:

3 (1) The United States investment in science

4 and technology has yielded a scientific and engineer5 ing enterprise without peer. The Federal investment

6 in research is critical to the maintenance of our

7 international leadership.

8 (2) The Internet is at a pivotal point in its his9 tory. While promising new applications in medicine,

10 environmental science, and other disciplines are be11 coming a reality, they are still constrained by the

12 Internet’s capacity and capabilities. The current

13 Internet cannot support an emerging set of activi14 ties, many of which are essential to mission-critical

15 applications in government, national laboratories,

16 academia and business.

17 (3) Government-sponsored network research

18 and development is critical to the success of the

19 Next Generation Internet. Previous Federal invest20 ment in computer networking technology and related

21 fields has resulted in the creation of new industries

22 and new jobs in the United States.

23 (4) Since its establishment in 1998, the Next

24 Generation Internet Program has successfully fund25 ed peer-reviewed research to address the critical
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1 need for increased network performance and man2 agement.

3 SEC. 3. PURPOSES.

4 The purposes of this Act are—

5 (1) to authorize, through the Next Generation

6 Internet Program and Large Scale Networking Pro7 gram, research programs related to—

8 (A) high-end computing and computation;

9 (B) human-centered systems;

10 (C) high confidence systems; and

11 (D) education, training, and human re12 sources; and

13 (2) to provide, through the Next Generation

14 Internet Program and Large Scale Networking Pro15 gram, for the development and coordination of a

16 comprehensive and integrated United States re17 search program which will—

18 (A) focus on research and development to19 ward advancing network technologies to create

20 a network infrastructure that can support

21 greater speed, robustness, and flexibility;

22 (B) promote connectivity and interoper23 ability among advanced computer networks of

24 Federal agencies and departments;
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1 (C) conduct research on the tools and serv2 ices that hear future agency networking re3 quirements demands, including application spe4 cific multicast, quality of service, and internet

5 video conferencing;

6 (D) focus on research and development of

7 the next generation network fabric, particularly

8 concerning the expansion of affordable band9 width for users that is both economically viable

10 and does not impose a geographic penalty (as

11 defined in section 7(a) of the Next Generation

12 Internet Research Act of 1998 (15 U.S.C. 5501

13 nt.); and

14 (E) encourage researchers to pursue ap15 proaches to networking technology that lead to

16 flexible and extensible solutions wherever fea17 sible.

18 SEC. 4. AUTHORIZATION OF APPROPRIATIONS.

19 Section 103(d) of the High-Performance Computing

20 Act of 1991 (15 U.S.C. 5513(d)) is amended to read as

21 follows:

22 ‘‘(d) AUTHORIZATION OF APPROPRIATIONS.—

23 ‘‘(1) IN GENERAL.—There are authorized to be

24 appropriated for the purpose of carrying out the
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1 Next Generation Internet program and Large Scale

2 Networking program the following amounts:

‘‘Agency FY 2000 FY 2002 FY 2003

‘‘Department of Defense $70,300,000 $74,200,000 $78,300,000

‘‘Department of Energy $32,000,000 $33,800,000 $35,700,000

‘‘National Aeronautics and

Space Administration $19,500,000 $20,600,000 $21,700,000

‘‘National Institutes of Health $96,000,000 $101,300,000 $106,300,000

‘‘National Institute of Standards and Technology $4,200,000 $4,400,000 $4,600,000

‘‘National Science Foundation $111,200,000 $117,300,000 $123,800,000

‘‘National Security Agency $1,900,000 $2,000,000 $2,100,000

‘‘Agency for Healthcare Research and Quality $7,400,000 $7,800,000 $8,200,000

3 ‘‘(2) USE OF SUCH FUNDS.—Funds authorized by

4 paragraph (1)—

5 ‘‘(A) shall be used in a manner that con6 tributes to achieving the goals of the Next Gen7 eration Internet Program and the Large Scale

8 Networking program; and

9 ‘‘(B) may be used only for research that is

10 merit-based and peer-reviewed.’’.

11 SEC. 5. RURAL INFRASTRUCTURE.

12 Section 103 of the High-Performance Computing Act

13 of 1991 (15 U.S.C. 5513) is amended by adding at the

14 end thereof the following:

15 ‘‘(e) RURAL INFRASTRUCTURE.—Out of appropriated

16 amounts authorized by subsection (d), not less than 10

17 percent of the total amounts made available to fund re18 search shall be used to fund research grants into the re19 duction of the cost of Internet access services available to
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1 users in geographically-remote areas. The research shall

2 include investigation of wireless, hybrid, and satellite tech3 nologies. In awarding grants under this subsection, the ad4 ministering agency shall give priority to qualified, post5 secondary educational institutions that participate in the

6 Experimental Program to Stimulate Competitive Re7 search.’’.

8 SEC. 6. MINORITY AND SMALL COLLEGE INTERNET AC9 CESS.

10 Section 103 of the High-Performance Computing Act

11 of 1991 (15 U.S.C. 5513), as amended by section 6, is

12 further amended by adding at the end thereof the fol13 lowing:

14 ‘‘(f) MINORITY AND SMALL COLLEGE INTERNET AC15 CESS.—Not less than 5 percent of the amounts made

16 available for research under subsection (e) shall be used

17 for grants to institutions of higher education that are His18 panic-serving, Native American, Historically Black, or

19 small colleges and universities.’’.

20 SEC. 7. DIGITAL DIVIDE STUDY.

21 (a) IN GENERAL.—The National Academy of

22 Sciences shall conduct a study to determine the extent to

23 which the Internet backbone and network infrastructure

24 contribute to the uneven access to Internet-related tech-
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1 nologies and services by rural and low-income Americans.

2 The study shall include—

3 (1) an assessment of the existing geographical

4 penalty (as defined in section 7(a)(1) of the Next

5 General Internet Research Act of 1998 (15 U.S.C.

6 5501 nt.)) and its impact on all users and their abil7 ity to obtain secure and reliable Internet access;

8 (2) a review of all current Federally-funded re9 search to decrease the inequity of Internet access to

10 rural and low-income users; and

11 (3) an estimate of the potential impact of Next

12 Generation Internet research institutions acting as

13 aggregators and mentors for nearby smaller or dis14 advantaged institutions.

15 (b) REPORT.—The National Academy of Sciences

16 shall transmit a report containing the results of the study

17 and recommendations required by subsection (a) to the

18 Senate Committee on Commerce, Science, and Transpor19 tation and the House of Representatives Committee on

20 Science within 1 year after the date of enactment of this

21 Act.

22 (c) AUTHORIZATION OF APPROPRIATIONS.—There

23 are authorized to be appropriated to the National Acad24 emy of Sciences such sums as may be necessary to carry

25 out this section.
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1 Title I—Next Generation Internet

2 SECTION 101. SHORT TITLE.

3 This title may be cited as the ‘‘Next Generation Inter4 net 2000’’.

5 SEC. 102. FINDINGS.

6 The Congress makes the following findings:

7 (1) The United States investment in science and

8 technology has yielded a scientific and engineering

9 enterprise without peer. The Federal investment in re10 search is critical to the maintenance of our inter11 national leadership.

12 (2) Federal support of computing, information,

13 and networking research and development has been

14 instrumental in driving advances in information

15 technology, including today’s Internet, that are trans16 forming our society, enriching the lives of Americans,

17 enabling scientific and engineering discoveries, and

18 improving the competitiveness and productivity of

19 United States’ businesses. We have an essential na20 tional interest in ensuring a continued flow of inno21 vation and advances in information technology to as22 sure the continued prosperity of future generations.

23 (3) The Internet is at a pivotal point in its his24 tory. While promising new applications in medicine,

25 environmental science, and other disciplines are be-
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1 coming a reality, they are still constrained by the

2 Internet’s capacity and capabilities. The current

3 Internet cannot support an emerging set of activities,

4 many of which are essential to mission-critical appli5 cations in government, national laboratories, aca6 demia, and business.

7 (4) Government-sponsored network research and

8 development in large scale networking technologies,

9 service, and performance is critical to enable the fu10 ture growth of the Internet and to meet Federal agen11 cy mission needs.

12 (5) Since its establishment in 1998, the Next

13 Generation Internet Program, which builds on the re14 search and development activities funded under the

15 Large Scale Networking Programs, has successfully

16 deployed networking testbeds and funded peer-re17 viewed research and development to address the crit18 ical need for networks that are more powerful, reli19 able, and versatile than the current Internet.

20 (6) Networking research and development is an

21 integral part of the Federal information technology

22 research and development program. Balanced invest23 ments in other areas, including software design and

24 productivity, high-end computing, high confidence

25 software and systems, human-computer interface and
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1 information management, high-end computing infra2 structure and applications, and research into the so3 cial, legal, ethical, and workforce implications of in4 formation technology should be pursued.

5 SEC. 103. PURPOSES.

6 The purposes of this title are—

7 (1) to authorize the Large Scale Networking Pro8 grams, including the Next Generation Internet Pro9 grams; and

10 (2) to provide, through the Large Scale Net11 working Programs, including the Next Generation

12 Internet Programs, for the development and coordina13 tion of a comprehensive and integrated United States

14 research program which will—

15 (A) focus on research and development to16 ward advancing network technologies to create a

17 network infrastructure that can support greater

18 speed, robustness, and flexibility;

19 (B) promote connectivity and interoper20 ability among advanced computer networks of

21 Federal agencies and departments;

22 (C) conduct research on the tools and serv23 ices that future agency networking requirements

24 demand, including application specific
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1 multicast, quality of service, and Internet video

2 conferencing;

3 (D) focus on research and development of

4 the next generation network fabric, including the

5 expansion of bandwidth for users that is both

6 economically viable and does not impose a geo7 graphic penalty (as defined in section 7(a) of the

8 Next Generation Internet Research Act of 1998

9 (15 U.S.C. 5501 nt.); and

10 (E) encourage researchers to pursue ap11 proaches to networking technology that lead to

12 flexible and extensible solutions wherever feasible.

13 SEC. 104. AUTHORIZATION OF APPROPRIATIONS.

14 Section 103(d) of the High-Performance Computing

15 Act of 1991 (15 U.S.C. 5513(d)) is amended to read as fol16 lows:

17 ‘‘(d) AUTHORIZATION OF APPROPRIATIONS.—

18 ‘‘(1) IN GENERAL.—There are authorized to be

19 appropriated for the purpose of carrying out the

20 Large Scale Networking Programs, including the Next

21 Generation Internet Programs, the following amounts:
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‘‘Agency FY 2001 FY 2002 FY 2003

‘‘Department of Defense $70,300,000 $74,200,000 $78,300,000

‘‘Department of Energy $32,000,000 $33,800,000 $35,700,000

‘‘National Aeronautics and Space

Administration $19,500,000 $20,600,000 $21,700,000

‘‘National Institutes of Health $96,000,000 $101,300,000 $106,300,000

‘‘National Institute of Standards

and Technology $4,200,000 $4,400,000 $4,600,000

‘‘National Science Foundation $111,200,000 $117,300,000 $123,800,000

‘‘National Security Agency $1,900,000 $2,000,000 $2,100,000

‘‘Agency for Healthcare Research

and Quality $7,400,000 $7,800,000 $8,200,000

‘‘National Oceanic and Atmospheric Administration $2,700,000 $2,900,000 $3,100,000

1 ‘‘(2) LIMITATIONS.—Funds authorized by para2 graph (1) shall be used in a manner that contributes

3 to achieving the goals of the Large Scale Networking

4 Program, including the Next Generation Internet

5 Programs. Research conducted under this program

6 shall be merit-based and peer-reviewed.’’.

7 SEC. 105. RURAL INFRASTRUCTURE.

8 Section 103 of the High-Performance Computing Act

9 of 1991 (15 U.S.C. 5513) is amended by adding at the end

10 thereof the following:

11 ‘‘(e) RURAL INFRASTRUCTURE.—Out of appropriated

12 amounts authorized by subsection (d), not less than 10 per13 cent of the total amounts shall be made available to fund

14 research grants for making high-speed connectivity more ac15 cessible to users in geographically-remote areas. The re16 search shall include investigations of wireless, hybrid, and

17 satellite technologies. In awarding grants under this sub18 section, the administering agency shall give priority to
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1 qualified, post-secondary educational institutions that par2 ticipate in the Experimental Program to Stimulate Com3 petitive Research.’’.

4 SEC. 106. MINORITY AND SMALL COLLEGE INTERNET AC5 CESS.

6 Section 103 of the High-Performance Computing Act

7 of 1991 (15 U.S.C. 5513), as amended by section 6, is fur8 ther amended by adding at the end thereof the following:

9 ‘‘(f) MINORITY AND SMALL COLLEGE INTERNET AC10 CESS.—Not less than 5 percent of the amounts made avail11 able for research under subsection (d) shall be used for

12 grants to institutions of higher education that are His13 panic-serving, Native American, Native Hawaiian, Native

14 Alaskan, Historically Black, or small colleges and univer15 sities.’’.

16 SEC. 107. DIGITAL DIVIDE STUDY.

17 (a) IN GENERAL.—The National Academy of Sciences

18 shall conduct a study to determine the extent to which the

19 Internet backbone and network infrastructure contribute to

20 the uneven ability to access to Internet-related technologies

21 and services by rural and low-income Americans. The study

22 shall include—

23 (1) an assessment of the existing geographical

24 penalty (as defined in section 7(a)(1) of the Next

25 General Internet Research Act of 1998 (15 U.S.C.
14

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1 5501 nt.)) and its impact on all users and their abil2 ity to obtain secure and reliable Internet access;

3 (2) a review of all current Federally-funded re4 search to decrease the inequity of Internet access to

5 rural and low-income users; and

6 (3) an estimate of the potential impact of Next

7 Generation Internet research institutions acting as

8 aggregators and mentors for nearby smaller or dis9 advantaged institutions.

10 (b) REPORT.—The National Academy of Sciences shall

11 transmit a report containing the results of the study and

12 recommendations required by subsection (a) to the Senate

13 Committee on Commerce, Science, and Transportation and

14 the House of Representatives Committee on Science within

15 1 year after the date of enactment of this Act.

16 (c) AUTHORIZATION OF APPROPRIATIONS.—There are

17 authorized to be appropriated to the National Academy of

18 Sciences such sums as may be necessary to carry out this

19 section.

20 Title II—Federal Research

21 Investment Act

22 SECTION 201. SHORT TITLE.

23 This title may be cited as the ‘‘Federal Research In24 vestment Act’’.
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1 SEC. 202. GENERAL FINDINGS REGARDING FEDERAL IN2 VESTMENT IN RESEARCH.

3 (a) VALUE OF RESEARCH AND DEVELOPMENT.—The

4 Congress makes the following findings with respect to the

5 value of research and development to the United States:

6 (1) Federal investment in research has resulted

7 in the development of technology that saved lives in

8 the United States and around the world.

9 (2) Research and development investment across

10 all Federal agencies has been effective in creating

11 technology that has enhanced the American quality of

12 life.

13 (3) The Federal investment in research and de14 velopment conducted or underwritten by both mili15 tary and civilian agencies has produced benefits that

16 have been felt in both the private and public sector.

17 (4) Discoveries across the spectrum of scientific

18 inquiry have the potential to raise the standard of

19 living and the quality of life for all Americans.

20 (5) Science, engineering, and technology play a

21 critical role in shaping the modern world.

22 (6) Studies show that about half of all United

23 States post-World War II economic growth is a direct

24 result of technical innovation; and science, engineer25 ing, and technology contribute to the creation of new

26 goods and services, new jobs and new capital.
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1 (7) Technical innovation is the principal driving

2 force behind the long-term economic growth and in3 creased standards of living of the world’s modern in4 dustrial societies. Other nations are well aware of the

5 pivotal role of science, engineering, and technology,

6 and they are seeking to exploit it wherever possible to

7 advance their own global competitiveness.

8 (8) Federal programs for investment in research,

9 which lead to technological innovation and result in

10 economic growth, should be structured to address cur11 rent funding disparities and develop enhanced capa12 bility in States and regions that currently under13 participate in the national science and technology en14 terprise.

15 (b) STATUS OF THE FEDERAL INVESTMENT.—The

16 Congress makes the following findings with respect to the

17 status of the Federal Investment in research and develop18 ment activities:

19 (1) Federal investment of approximately 13 to

20 14 percent of the Federal discretionary budget in re21 search and development over the past 11 years has re22 sulted in a doubling of the nominal amount of Fed23 eral funding.

24 (2) Fiscal realities now challenge Congress to

25 steer the Federal government’s role in science, engi-
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1 neering, and technology in a manner that ensures a

2 prudent use of limited public resources. There is both

3 a long-term problem—addressing the ever-increasing

4 level of mandatory spending—and a near-term chal5 lenge—apportioning a dwindling amount of discre6 tionary funding to an increasing range of targets in

7 science, engineering, and technology. This confluence

8 of increased national dependency on technology, in9 creased targets of opportunity, and decreased fiscal

10 flexibility has created a problem of national urgency.

11 Many indicators show that more funding for science,

12 engineering, and technology is needed but, even with

13 increased funding, priorities must be established

14 among different programs. The United States cannot

15 afford the luxury of fully funding all deserving pro16 grams.

17 (3) Current projections of Federal research fund18 ing show a downward trend.

19 SEC. 203. SPECIAL FINDINGS REGARDING HEALTH-RE20 LATED RESEARCH.

21 The Congress makes the following findings with respect

22 to health-related research:

23 (1) HEALTH AND ECONOMIC BENEFITS PROVIDED

24 BY HEALTH-RELATED RESEARCH.—Because of health25 related research, cures for many debilitating and fatal
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1 diseases have been discovered and deployed. At

2 present, the medical research community is on the

3 cusp of creating cures for a number of leading dis4 eases and their associated burdens. In particular,

5 medical research has the potential to develop treat6 ments that can help manage the escalating costs asso7 ciated with the aging of the United States population.

8 (2) FUNDING OF HEALTH-RELATED RE9 SEARCH.—Many studies have recognized that clinical

10 and basic science are in a state of crisis because of

11 a failure of resources to meet the opportunity. Con12 sequently, health-related research has emerged as a

13 national priority and has been given significantly in14 creased funding by Congress in fiscal year 1999. In

15 order to continue addressing this urgent national

16 need, the pattern of substantial budgetary expansion

17 begun in fiscal year 1999 should be maintained.

18 (3) INTERDISCIPLINARY NATURE OF HEALTH-RE19 LATED RESEARCH.—Because all fields of science and

20 engineering are interdependent, full realization of the

21 nation’s historic investment in health will depend on

22 major advances both in the biomedical sciences and in

23 other science and engineering disciplines. Hence, the

24 vitality of all disciplines must be preserved, even as
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1 special considerations are given to the health research

2 field.

3 SEC. 204. ADDITIONAL FINDINGS REGARDING THE LINK BE4 TWEEN THE RESEARCH PROCESS AND USE5 FUL TECHNOLOGY.

6 The Congress makes the following findings:

7 (1) FLOW OF SCIENCE, ENGINEERING, AND TECH8 NOLOGY.—The process of science, engineering, and

9 technology involves many steps. The present Federal

10 science, engineering, and technology structure rein11 forces the increasingly artificial distinctions between

12 basic and applied activities. The result too often is a

13 set of discrete programs that each support a narrow

14 phase of research or development and are not coordi15 nated with one another. The government should maxi16 mize its investment by encouraging the progression of

17 science, engineering, and technology from the earliest

18 stages of research up to a pre-commercialization

19 stage, through funding agencies and vehicles appro20 priate for each stage. This creates a flow of tech21 nology, subject to merit review at each stage, so that

22 promising technology is not lost in a bureaucratic

23 maze.

24 (2) EXCELLENCE IN THE AMERICAN RESEARCH

25 INFRASTRUCTURE.—Federal investment in science,
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1 engineering, and technology programs must foster a

2 close relationship between research and education. In3 vestment in research at the university level creates

4 more than simply world-class research. It creates

5 world-class researchers as well. The Federal strategy

6 must continue to reflect this commitment to a strong

7 geographically-diverse research infrastructure. Fur8 thermore, the United States must find ways to extend

9 the excellence of its university system to primary and

10 secondary educational institutions and to better uti11 lize the community college system to prepare many

12 students for vocational opportunities in an increas13 ingly technical workplace.

14 (3) COMMITMENT TO A BROAD RANGE OF RE15 SEARCH INITIATIVES.—An increasingly common

16 theme in many recent technical breakthroughs has

17 been the importance of revolutionary innovations that

18 were sparked by overlapping of research disciplines.

19 The United States must continue to encourage this

20 trend by providing and encouraging opportunities for

21 interdisciplinary projects that foster collaboration

22 among fields of research.

23 (4) PARTNERSHIPS AMONG INDUSTRY, UNIVER24 SITIES, AND FEDERAL LABORATORIES.—Each of these

25 contributors to the national science and technology
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1 delivery system has special talents and abilities that

2 complement the others. In addition, each has a cen3 tral mission that must provide their focus and each

4 has limited resources. The nation’s investment in

5 science, engineering, and technology can be optimized

6 by seeking opportunities for leveraging the resources

7 and talents of these three major players through part8 nerships that do not distort the missions of each part9 ner. For that reason, Federal dollars are wisely spent

10 forming such partnerships.

11 SEC. 205. MAINTENANCE OF FEDERAL RESEARCH EFFORT;

12 GUIDING PRINCIPLES.

13 (a) MAINTAINING UNITED STATES LEADERSHIP IN

14 SCIENCE, ENGINEERING, AND TECHNOLOGY.—It is impera15 tive for the United States to nurture its superb resources

16 in science, engineering, and technology carefully in order

17 to maintain its own globally competitive position.

18 (b) GUIDING PRINCIPLES.—Federal research and de19 velopment programs should be conducted in accordance

20 with the following guiding principles:

21 (1) GOOD SCIENCE.—Federal science, engineer22 ing, and technology programs include both knowledge23 driven science together with its applications, and mis24 sion-driven, science-based requirements. In general,

25 both types of programs must be focused, peer- and
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1 merit-reviewed, and not unnecessarily duplicative, al2 though the details of these attributes must vary with

3 different program objectives.

4 (2) FISCAL ACCOUNTABILITY.—The Congress

5 must exercise oversight to ensure that programs fund6 ed with scarce Federal dollars are well managed. The

7 United States cannot tolerate waste of money through

8 inefficient management techniques, whether by gov9 ernment agencies, by contractors, or by Congress

10 itself. Fiscal resources would be better utilized if pro11 gram and project funding levels were predictable

12 across several years to enable better project planning;

13 a benefit of such predictability would be that agencies

14 and Congress can better exercise oversight responsibil15 ities through comparisons of a project’s and pro16 gram’s progress against carefully planned milestones.

17 (3) PROGRAM EFFECTIVENESS.—The United

18 States needs to make sure that government programs

19 achieve their goals. As the Congress crafts science, en20 gineering, and technology legislation, it must include

21 a process for gauging program effectiveness, selecting

22 criteria based on sound scientific judgment and

23 avoiding unnecessary bureaucracy. The Congress

24 should also avoid the trap of measuring the effective25 ness of a broad science, engineering, and technology
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1 program by passing judgment on individual projects.

2 Lastly, the Congress must recognize that a negative

3 result in a well-conceived and executed project or pro4 gram may still be critically important to the funding

5 agency.

6 (4) CRITERIA FOR GOVERNMENT FUNDING.—Pro7 gram selection for Federal funding should continue to

8 reflect the nation’s 2 traditional research and develop9 ment priorities: (A) basic, scientific, and technological

10 research that represents investments in the nation’s

11 long-term future scientific and technological capacity,

12 for which government has traditionally served as the

13 principle resource; and (B) mission research invest14 ments, that is, investments in research that derive

15 from necessary public functions, such as defense,

16 health, education, environmental protection, and rais17 ing the standard of living, which may include pre18 commercial, pre-competitive engineering research and

19 technology development. Additionally, government

20 funding should not compete with or displace the

21 short-term, market-driven, and typically more specific

22 nature of private-sector funding. Government funding

23 should be restricted to pre-competitive activities, leav24 ing competitive activities solely for the private sector.

25 As a rule, the government should not invest in com-
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1 mercial technology that is in the product development

2 stage, very close to the broad commercial marketplace,

3 except to meet a specific agency goal. When the gov4 ernment provides funding for any science, engineer5 ing, and technology investment program, it must take

6 reasonable steps to ensure that the potential benefits

7 derived from the program will accrue broadly.

8 SEC. 206. POLICY STATEMENT.

9 (a) POLICY.— This title is intended to—

10 (1) assure a base level of Federal funding for

11 basic scientific, biomedical, and pre-competitive engi12 neering research, with this base level defined as a

13 doubling of Federal basic research funding over the 11

14 year period following the date of enactment of this

15 Act;

16 (2) invest in the future economic growth of the

17 United States by expanding the research activities re18 ferred to in paragraph (1);

19 (3) enhance the quality of life and health for all

20 people of the United States through expanded support

21 for health-related research;

22 (4) allow for accelerated growth of agencies such

23 as the National Institutes of Health to meet critical

24 national needs;
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1 (5) guarantee the leadership of the United States

2 in science, engineering, medicine, and technology; and

3 (6) ensure that the opportunity and the support

4 for undertaking good science is widely available

5 throughout the United States by supporting a geo6 graphically-diverse research and development enter7 prise.

8 (b) AGENCIES COVERED.—The agencies and trust in9 strumentality intended to be covered to the extent that they

10 are engaged in science, engineering, and technology activi11 ties for basic scientific, medical, or pre-competitive engi12 neering research by this title are—

13 (1) the National Institutes of Health, within the

14 Department of Health and Human Services;

15 (2) the National Science Foundation;

16 (3) the National Institute for Standards and

17 Technology, within the Department of Commerce;

18 (4) the National Aeronautics and Space Admin19 istration;

20 (5) the National Oceanic and Atmospheric Ad21 ministration, within the Department of Commerce;

22 (6) the Centers for Disease Control, within the

23 Department of Health and Human Services;

24 (7) the Department of Energy (to the extent that

25 it is not engaged in defense-related activities);
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1 (8) the Department of Agriculture;

2 (9) the Department of Transportation;

3 (10) the Department of the Interior;

4 (11) the Department of Veterans Affairs;

5 (12) the Smithsonian Institution;

6 (13) the Department of Education;

7 (14) the Environmental Protection Agency; and

8 (15) the Food and Drug Administration, within

9 the Department of Health and Human Services.

10 (c) DAMAGE TO RESEARCH INFRASTRUCTURE.—A

11 continued trend of funding appropriations equal to or lower

12 than current budgetary levels will lead to permanent dam13 age to the United States research infrastructure. This could

14 threaten American dominance of high-technology industrial

15 leadership.

16 (d) FUTURE FISCAL YEAR ALLOCATIONS.—

17 (1) GOALS.—The long-term strategy for research

18 and development funding under this section would be

19 achieved by a steady 2.5 percent annual increase

20 above the rate of inflation throughout a 11-year pe21 riod.

22 (2) INFLATION ASSUMPTION.—The authorizations

23 contained in paragraph (3) assume that the rate of

24 inflation for each year will be 3 percent.
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1 (3) AUTHORIZATION.—There are authorized to be

2 appropriated for civilian research and development in

3 the agencies listed in subsection (b)—

4 (A) $39,790,000,000 for fiscal year 2000;

5 (B) $41,980,000,000 for fiscal year 2001;

6 (C) $44,290,000,000 for fiscal year 2002;

7 (D) $46,720,000,000 for fiscal year 2003;

8 (E) $49,290,000,000 for fiscal year 2004;

9 (F) $52,000,000,000 for fiscal year 2005;

10 (G) $54,860,000,000 for fiscal year 2006;

11 (H) $57,880,000,000 for fiscal year 2007;

12 (I) $61,070,000,000 for fiscal year 2008;

13 (J) $64,420,000,000 for fiscal year 2009;

14 and

15 (K) $67,970,000,000 for fiscal year 2010.

16 (4) ACCELERATION TO MEET NATIONAL

17 NEEDS.—

18 (A) IN GENERAL.—If the amount appro19 priated for any fiscal year to an agency for the

20 purposes stated in paragraph (3) increases by

21 more than 8 percent over the amount appro22 priated to it for those purposes for the preceding

23 fiscal year, then the amounts authorized by

24 paragraph (3) for subsequent fiscal years for that
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1 agency and other agencies shall be determined

2 under subparagraphs (B) and (C).

3 (B) EXCLUSION OF AGENCY IN DETER4 MINING OTHER AGENCY AMOUNTS FOR NEXT FIS5 CAL YEAR.—For the next fiscal year after a fis6 cal year described in subparagraph (A), the

7 amount authorized to be appropriated to other

8 agencies under paragraph (3) shall be deter9 mined by excluding the agency described in sub10 paragraph (A). Any amount that would, but for

11 this subparagraph, be authorized to be appro12 priated to that agency shall not be appropriated.

13 (C) RESUMPTION OF REGULAR TREAT14 MENT.—Notwithstanding subparagraph (B), an

15 agency may not be excluded from the determina16 tion of the amount authorized to be appropriated

17 under paragraph (3) for a fiscal year following

18 a fiscal year for which the sum of the amounts

19 appropriated to that agency for fiscal year 2000

20 and all subsequent fiscal years for the purposes

21 described in paragraph (3) does not exceed the

22 sum of—

23 (i) the amount appropriated to that

24 agency for such purposes for fiscal year

25 2000; and
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1 (ii) the amounts that would have been

2 appropriated for such purposes for subse3 quent fiscal years if the goal described in

4 paragraph (1) had been met (and not ex5 ceeded) with respect to that agency’s fund6 ing.

7 (D) NO LIMITATION ON OTHER FUNDING.—

8 Nothing in this paragraph limits the amount

9 that may be appropriated to any agency for the

10 purposes described in paragraph (3).

11 (e) CONFORMANCE WITH BUDGETARY CAPS.—Notwith12 standing any other provision of law, no funds may be made

13 available under this title in a manner that does not conform

14 with the discretionary spending caps provided in the most

15 recently adopted concurrent resolution on the budget or

16 threatens the economic stability of the annual budget.

17 (f) BALANCED RESEARCH PORTFOLIO.—Because of the

18 interdependent nature of the scientific and engineering dis19 ciplines, the aggregate funding levels authorized by the sec20 tion assume that the Federal research portfolio will be well21 balanced among the various scientific and engineering dis22 ciplines, and geographically dispersed throughout the

23 States.
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1 SEC. 207. PRESIDENT’S ANNUAL BUDGET REQUEST.

2 The President of the United States shall, in coordina3 tion with the President’s annual budget request, include a

4 report that parallels Congress’ commitment to support Fed5 erally-funded research and development by providing—

6 (1) a detailed summary of the total level of fund7 ing for research and development programs through8 out all civilian agencies;

9 (2) a focused strategy that reflects the funding

10 projections of this title for each future fiscal year

11 until 2010, including specific targets for each agency

12 that funds civilian research and development;

13 (3) an analysis which details funding levels

14 across Federal agencies by methodology of funding,

15 including grant agreements, procurement contracts,

16 and cooperative agreements (within the meaning

17 given those terms in chapter 63 of title 31, United

18 States Code); and

19 (4) specific proposals for infrastructure develop20 ment and research and development capacity building

21 in States with less concentrated research and develop22 ment resources in order to create a nationwide re23 search and development community.
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1 SEC. 208. COMPREHENSIVE ACCOUNTABILITY STUDY FOR

2 FEDERALLY-FUNDED RESEARCH.

3 (a) STUDY.—The Director of the Office of Science and

4 Technology Policy, in consultation with the Director of the

5 Office of Management and Budget, shall enter into agree6 ment with the National Academy of Sciences for the Acad7 emy to conduct a comprehensive study to develop methods

8 for evaluating Federally-funded research and development

9 programs. This study shall—

10 (1) recommend processes to determine an accept11 able level of success for Federally-funded research and

12 development programs by—

13 (A) describing the research process in the

14 various scientific and engineering disciplines;

15 (B) describing in the different sciences what

16 measures and what criteria each community uses

17 to evaluate the success or failure of a program,

18 and on what time scales these measures are con19 sidered reliable—both for exploratory long-range

20 work and for short-range goals; and

21 (C) recommending how these measures may

22 be adapted for use by the Federal government to

23 evaluate Federally-funded research and develop24 ment programs;

25 (2) assess the extent to which agencies incor26 porate independent merit-based review into the for-
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1 mulation of the strategic plans of funding agencies

2 and if the quantity or quality of this type of input

3 is unsatisfactory;

4 (3) recommend mechanisms for identifying Fed5 erally-funded research and development programs

6 which are unsuccessful or unproductive;

7 (4) evaluate the extent to which independent,

8 merit-based evaluation of Federally-funded research

9 and development programs and projects achieves the

10 goal of eliminating unsuccessful or unproductive pro11 grams and projects; and

12 (5) investigate and report on the validity of

13 using quantitative performance goals for aspects of

14 programs which relate to administrative management

15 of the program and for which such goals would be ap16 propriate, including aspects related to—

17 (A) administrative burden on contractors

18 and recipients of financial assistance awards;

19 (B) administrative burdens on external par20 ticipants in independent, merit-based evalua21 tions;

22 (C) cost and schedule control for construc23 tion projects funded by the program;

24 (D) the ratio of overhead costs of the pro25 gram relative to the amounts expended through
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1 the program for equipment and direct funding

2 of research; and

3 (E) the timeliness of program responses to

4 requests for funding, participation, or equipment

5 use.

6 (6) examine the extent to which program selec7 tion for Federal funding across all agencies exempli8 fies our nation’s historical research and development

9 priorities—

10 (A) basic, scientific, and technological re11 search in the long-term future scientific and

12 technological capacity of the nation; and

13 (B) mission research derived from a high14 priority public function.

15 (b) ALTERNATIVE FORMS FOR PERFORMANCE

16 GOALS.—Not later than 6 months after transmitting the re17 port under subsection (a) to Congress, the Director of the

18 Office of Management and Budget, after public notice, pub19 lic comment, and approval by the Director of the Office of

20 Science and Technology Policy and in consultation with the

21 National Science and Technology Council shall promulgate

22 one or more alternative forms for performance goals under

23 section 1115(b)(10)(B) of title 31, United States Code, based

24 on the recommendations of the study under subsection (a)

25 of this section. The head of each agency containing a pro-
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1 gram activity that is a research and development program

2 may apply an alternative form promulgated under this sec3 tion for a performance goal to such a program activity

4 without further authorization by the Director of the Office

5 of Management and Budget.

6 (c) STRATEGIC PLANS.—Not later than one year after

7 promulgation of the alternative performance goals in sub8 section (b) of this section, the head of each agency carrying

9 out research and development activities, upon updating or

10 revising a strategic plan under subsection 306(b) of title

11 5, United States Code, shall describe the current and future

12 use of methods for determining an acceptable level of success

13 as recommended by the study under subsection (a).

14 (d) DEFINITIONS.—In this section:

15 (1) DIRECTOR.—The term ‘‘Director’’ means the

16 Director of the Office of Science and Technology Pol17 icy.

18 (2) PROGRAM ACTIVITY.—The term ‘‘program ac19 tivity’’ has the meaning given that term by section

20 1115(f)(6) of title 31, United States Code.

21 (3) INDEPENDENT MERIT-BASED EVALUATION.—

22 The term ‘‘independent merit-based evaluation’’

23 means review of the scientific or technical quality of

24 research or development, conducted by experts who are
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1 chosen for their knowledge of scientific and technical

2 fields relevant to the evaluation and who—

3 (A) in the case of the review of a program

4 activity, do not derive long-term support from

5 the program activity; or

6 (B) in the case of the review of a project

7 proposal, are not seeking funds in competition

8 with the proposal.

9 (e) AUTHORIZATION OF APPROPRIATIONS.—There are

10 authorized to be appropriated to carry out the study re11 quired by subsection (a) $600,000 for the 18-month period

12 beginning October 1, 2000.

13 SEC. 209. EFFECTIVE PERFORMANCE ASSESSMENT PRO14 GRAM FOR FEDERALLY-FUNDED RESEARCH.

15 (a) IN GENERAL.—Chapter 11 of title 31, United

16 States Code, is amended by adding at the end thereof the

17 following:

18 ‘‘§ 1120. Accountability for research and development

19 programs

20 ‘‘(a) IDENTIFICATION OF UNSUCCESSFUL PRO21 GRAMS.—Based upon program performance reports for each

22 fiscal year submitted to the President under section 1116,

23 the Director of the Office of Management and Budget shall

24 identify the civilian research and development program ac25 tivities, or components thereof, which do not meet an accept-
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1 able level of success as defined in section 1115(b)(1)(B). Not

2 later than 30 days after the submission of the reports under

3 section 1116, the Director shall furnish a copy of a report

4 listing the program activities or component identified under

5 this subsection to the President and the Congress.

6 ‘‘(b) ACCOUNTABILITY IF NO IMPROVEMENT SHOWN.—

7 For each program activity or component that is identified

8 by the Director under subsection (a) as being below the ac9 ceptable level of success for 2 fiscal years in a row, the head

10 of the agency shall no later than 30 days after the Director

11 submits the second report so identifying the program, sub12 mit to the appropriate congressional committees of

13 jurisdiction—

14 ‘‘(1) a concise statement of the steps necessary

15 to—

16 ‘‘(A) bring such program into compliance

17 with performance goals; or

18 ‘‘(B) terminate such program should com19 pliance efforts fail; and

20 ‘‘(2) any legislative changes needed to put the

21 steps contained in such statement into effect.’’.

22 (b) CONFORMING AMENDMENTS.—

23 (1) The chapter analysis for chapter 11 of title

24 31, United States Code, is amended by adding at the

25 end thereof the following:

‘‘1120. Accountability for research and development programs’’.
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1 (2) Section 1115(f) of title 31, United States

2 Code, is amended by striking ‘‘section and sections

3 1116 through 1119,’’ and inserting ‘‘section, sections

4 1116 through 1120,’’.
Calendar No. 607

106TH CONGRESS

2D SESSION S. 2046

[Report No. 106–310]

A BILL

To reauthorize the Next Generation Internet Act,

and for other purposes.

JUNE 16, 2000

Reported with an amendment in the nature of a

substitute