U.S. Astronomy and Astrophysics

MANAGING AN INTEGRATED PROGRAM

Committee on the Organization and Management of Research in Astronomy and Astrophysics

National Research Council

NATIONAL ACADEMY PRESS
Washington, D.C.



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U.S. Astronomy and Astrophysics: Managing an Integrated Program U.S. Astronomy and Astrophysics MANAGING AN INTEGRATED PROGRAM Committee on the Organization and Management of Research in Astronomy and Astrophysics National Research Council NATIONAL ACADEMY PRESS Washington, D.C.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This project was supported jointly by the National Science Foundation and the National Aeronautics and Space Administration under Grant No. NASW-96013. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of the sponsors. International Standard Book Number 0-309-07626-9 Additional copies of this report are available from: National Academy Press, 2101 Constitution Avenue, N.W., Lockbox 285, Washington, DC 20055; (800) 624–6242 or (202) 334–3313 (in the Washington metropolitan area); Internet <http://www.nap.edu>; and Space Studies Board, National Research Council, HA 584, 2101 Constitution Avenue, N.W., Washington, DC 20418; Internet <http://www.national-academies.org/ssb>; and Board on Physics and Astronomy, National Research Council, HA 562, 2101 Constitution Avenue, N.W., Washington, DC 20418; Internet <http://www.national-academies.org/bpa>. Copyright 2001 by the National Academy of Sciences. All rights reserved. Printed in the United States of America

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U.S. Astronomy and Astrophysics: Managing an Integrated Program THE NATIONAL ACADEMIES National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M.Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm.A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I.Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M.Alberts and Dr. Wm.A.Wulf are chairman and vice chairman, respectively, of the National Research Council.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program COMMITTEE ON THE ORGANIZATION AND MANAGEMENT OF RESEARCH IN ASTRONOMY AND ASTROPHYSICS NORMAN R.AUGUSTINE, Lockheed Martin (retired), Chair LEWIS M.BRANSCOMB, Harvard University CLAUDE R.CANIZARES, Massachusetts Institute of Technology SANDRA M.FABER, University of California, Santa Cruz ROBERT D.GEHRZ, University of Minnesota PHILIP R.GOODE, New Jersey Institute of Technology BURTON RICHTER, Stanford University ANNEILA I.SARGENT, California Institute of Technology FRANK H.SHU, University of California, Berkeley MAXINE F.SINGER, Carnegie Institution of Washington ROBERT E.WILLIAMS, Space Telescope Science Institute JOSEPH K.ALEXANDER, Director, Space Studies Board DONALD C.SHAPERO, Director, Board on Physics and Astronomy JOEL R.PARRIOTT, Study Director SUSAN GARBINI, Staff Officer BRIAN D.DEWHURST, Research Assistant SÄRAH A.CHOUDHURY, Project Associate NELSON QUIÑONES, Project Assistant ELIZABETH YALE, Intern

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U.S. Astronomy and Astrophysics: Managing an Integrated Program SPACE STUDIES BOARD JOHN H.McELROY, University of Texas at Arlington (retired), Chair ROGER P.ANGEL, JR., University of Arizona JAMES P.BAGIAN, National Center for Patient Safety JAMES L.BURCH, Southwest Research Institute RADFORD BYERLY, JR., Boulder, Colorado ROBERT E.CLELAND, University of Washington HOWARD M.EINSPAHR, Bristol-Myers Squibb Pharmaceutical Research Institute STEVEN H.FLAJSER, Loral Space and Communications, Ltd. MICHAEL FREILICH, Oregon State University DON P.GIDDENS, Georgia Institute of Technology/Emory University RALPH H.JACOBSON, The Charles Stark Draper Laboratory (retired) CONWAY LEOVY, University of Washington JONATHAN I.LUNINE, University of Arizona BRUCE D.MARCUS, TRW (retired) RICHARD A.McCRAY, University of Colorado HARRY Y.McSWEEN, JR., University of Tennessee GARY J.OLSEN, University of Illinois at Urbana-Champaign GEORGE A.PAULIKAS, The Aerospace Corporation (retired) ROBERT ROSNER, University of Chicago ROBERT J.SERAFIN, National Center for Atmospheric Research EUGENE B.SKOLNIKOFF, Massachusetts Institute of Technology MITCHELL SOGIN, Marine Biological Laboratory C.MEGAN URRY, Yale University PETER W.VOORHEES, Northwestern University JOHN A.WOOD, Harvard-Smithsonian Center for Astrophysics JOSEPH K.ALEXANDER, Director

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U.S. Astronomy and Astrophysics: Managing an Integrated Program BOARD ON PHYSICS AND ASTRONOMY JOHN HUCHRA, Harvard-Smithsonian Center for Astrophysics, Chair ROBERT C.RICHARDSON, Cornell University, Vice Chair GORDON A.BAYM, University of Illinois at Urbana-Champaign WILLIAM BIALEK, NEC Research Institute VAL FITCH, Princeton University WENDY L.FREEDMAN, Carnegie Observatories RICHARD D.HAZELTINE, University of Texas at Austin KATHY LEVIN, University of Chicago CHUAN LIU, University of Maryland JOHN C.MATHER, NASA Goddard Space Flight Center CHERRY ANN MURRAY, Lucent Technologies JULIA PHILLIPS, Sandia National Laboratories ANNEILA I.SARGENT, California Institute of Technology JOSEPH H.TAYLOR, JR., Princeton University KATHLEEN C.TAYLOR, General Motors Corporation CARL E.WIEMAN, University of Colorado/JILA PETER G.WOLYNES, University of California, San Diego DONALD C.SHAPERO, Director JOEL R.PARRIOTT, Senior Program Officer ROBERT L.RIEMER, Senior Program Officer MICHAEL H.MOLONEY, Program Officer ACHILLES SPELIOTOPOULOS, Program Officer SÄRAH A.CHOUDHURY, Project Associate NELSON QUIÑONES, Project Assistant

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U.S. Astronomy and Astrophysics: Managing an Integrated Program Preface In its fiscal year 2002 budget summary document1 the Bush administration proposed funding initiatives and redirections for each department and agency, and it also discussed potential reforms. For the National Science Foundation (NSF), the potential reforms included a directive to “reorganize research in astronomy and astrophysics.” The document (p. 161) added: Several changes have evolved which suggest that now is the time to assess the federal Government’s management and organization of astronomical research. NSF and NASA will establish a Blue Ribbon Panel to assess the organizational effectiveness of Federal support of astronomical sciences and, specifically, the pros and cons of transferring NSF’s astronomy responsibilities to NASA. The panel may also develop alternative options. In response to a request from the director of NSF and the administrator of NASA, the National Research Council (NRC) agreed to undertake preparation of the assessment. The NRC chair appointed the Committee on the Organization and Management of Research in Astronomy and 1   Executive Office of the President, A Blueprint for New Beginnings: A Responsible Budget for America’s Priorities, U.S. Government Printing Office, Washington, D.C., 2001. Available online at <http://www.whitehouse.gov/news/usbudget/blueprint/budtoc.html>.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program Astrophysics (COMRAA) to carry out the task. Biographies of the members of the committee are given in Appendix A. The committee was formally charged with the following task, based closely on the language in the 2002 budget summary. Assess the organizational effectiveness of federal support of astronomical sciences. Discuss the advantages and disadvantages of transferring NSF’s astronomy responsibilities to NASA. Consider other options for addressing the management and organizational issues identified by the committee and by recent NRC reports. COMRAA met in person three times for a total of six days and held one telephone discussion. At its first meeting, held in Washington, D.C., on June 13–14, 2001, it heard from representatives of the White House, the sponsoring agencies, and the House Science Committee. It also heard presentations from one of the co-chairs of the recently published survey of astronomy and astrophysics (Astronomy and Astrophysics in the New Millennium, National Academy Press, Washington, D.C., 2001), from professional societies, and from other interested organizations and knowledgeable individuals. At its second meeting, held in Menlo Park, Calif., on July 12–13, 2001, it discussed national observatories and joint advisory committees and heard further testimony from the National Science Foundation and the Department of Energy. The report was outlined and the committee divided up the task of preparing various sections of its report. During these first two meetings, the committee heard testimony from about 30 key individuals. Committee members also benefited from many individual discussions with senior researchers, congressional staff members, and former and current agency managers. The NRC created a Web site that invited public comment through an e-mail address created for that purpose. The American Astronomical Society assisted the committee by transmitting a general invitation to its membership to submit statements to the committee by e-mail. The committee received hundreds of thoughtful statements and comments that were carefully reviewed during the first two meetings. At its final meeting, held in Washington, D.C., on July 31–August 1, 2001, the committee, after much discussion, finalized its findings and recommendations. Detailed agendas of the meetings are listed in Appendix B. The committee wishes to thank NASA Administrator Daniel S.Goldin and NSF Director Rita Colwell and their staffs for providing data and information to the committee, always under tight schedule constraints.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program The committee would also like to express its appreciation for the support and assistance of the NRC staff, including the deadline-paced editorial work of Susan Maurizi. The committee particularly thanks Joel Parriott, who served as study director, and without whose help and guidance the committee could not have completed its task on the fast-paced schedule dictated by the budget cycle. The recommendations presented in this report have the unanimous endorsement of the members of the committee. Norman R.Augustine, Chair Committee on the Organization and Management of Research in Astronomy and Astrophysics

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U.S. Astronomy and Astrophysics: Managing an Integrated Program Acknowledgment of Reviewers This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s (NRC) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Robert A.Frosch, Harvard University, John P.Huchra, Harvard-Smithsonian Center for Astrophysics, John C.Mather, NASA’s Goddard Space Flight Center, Infrared Astrophysics Branch, Marcia K.McNutt, Monterey Bay Aquarium Research Institute, Norine E.Noonan, National Space Science and Technology Center, Jeremiah P.Ostriker, Princeton University, John Peoples, Jr., Fermi National Accelerator Laboratory, Marcia J.Rieke, University of Arizona, Philip M.Smith, McGeary and Smith, and Joseph H.Taylor, Jr., Princeton University.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Marshall Cohen, California Institute of Technology, and Louis J.Lanzerotti, Bell Laboratories, Lucent Technologies. Appointed by the NRC, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution.

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U.S. Astronomy and Astrophysics: Managing an Integrated Program Contents     EXECUTIVE SUMMARY   1 1   ASTRONOMY AND ASTROPHYSICS AT THE START OF THE NEW MILLENNIUM   7     Astronomical and Astrophysical Research—The Past, Present, and Future,   7     Planning for Future Progress,   11 2   CURRENT ROLES AND RELATIONSHIPS OF NASA AND NSF IN ASTRONOMY AND ASTROPHYSICS   18     NASA,   18     NSF,   20     Coordination Between NASA and NSF,   24     Issues Affecting NASA and NSF Implementation of Decadal Survey Priorities,   25 3   ADVANTAGES AND DISADVANTAGES OF MOVING NSF’S ASTRONOMY AND ASTROPHYSICS RESPONSIBILITIES TO NASA   29 4   FINDINGS AND RECOMMENDATIONS   34     Findings,   35     Recommendations,   42

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U.S. Astronomy and Astrophysics: Managing an Integrated Program     APPENDIXES         A Biographies of Committee Members and Key NRC Staff   49     B Meeting Agendas   56     C The Current Astronomy and Astrophysics Enterprise   62     D Glossary and Acronyms   75