Appendix G

Examples of Stakeholders

DEPARTMENT OF DEFENSE R&D ORGANIZATIONS

Funding

The ultimate source of funding for the Department of Defense (DOD) laboratories is the Congress, but funding rarely comes by way of a single committee (usually there are as many as four committees, and sometimes more, involved in the process), and so there is rarely a single set of priorities and individuals to satisfy. The DOD organizations operate with direct appropriations as well as with funds from other entities that purchase services, such as the Defense Advanced Research Projects Agency, the Department of Homeland Security (DHS), and the intelligence community. In the Army, the research, development and engineering centers (RDECs) buy services from the Army Research Laboratory (ARL); in the case of the Naval Research Laboratory, considerable funding comes through the program management system at the Office of Naval Research; and in the case of the Air Force Research Laboratory (AFRL), program funds for basic research come from program managers at the Air Force Office of Scientific Research (AFOSR), which is itself a part of the AFRL. Each of these funding sources represents a stakeholder, and each must be satisfied in an appropriate manner or the funds will not flow to the named projects.

Recipient of the R&D

The customer receiving the benefits of products of research and development (R&D) carried out in a DOD laboratory is, ultimately, the warfighter. However, with the exception of the rapid-response actions taken by these organizations, usually in time of war, most products of the R&D find their way to the warfighter through a complex array of government and industrial developers. These too are customers and stakeholders, and each must be satisfied that the laboratory is responsive and is delivering with respect to its agreed-on part of the plan to transition items from research to fielded systems. Transition plans differ for the three services, depending on the specific technology; the plans change over time, as acquisition processes are continually reexamined and changed.

Oversight

Members of society, including taxpayers, are the ultimate stakeholders for the DOD laboratories. Their interests are represented within the government by such agencies as congressional committees, the Office of Management and Budget (using the Government Performance and Results Act of 1993 [GPRA], the Government Performance and Results Modernization Act of 2010 [GPRAMA] and the Program Assessment Rating Tool [PART]); the Occupational Safety and Health Administration (OSHA) to protect the workforce; the Environmental Protection Agency (EPA) to protect the environment; and others.



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Appendix G Examples of Stakeholders DEPARTMENT OF DEFENSE R&D ORGANIZATIONS Funding The ultimate source of funding for the Department of Defense (DOD) laboratories is the Congress, but funding rarely comes by way of a single committee (usually there are as many as four committees, and sometimes more, involved in the process), and so there is rarely a single set of priorities and individuals to satisfy. The DOD organizations operate with direct appropriations as well as with funds from other entities that purchase services, such as the Defense Advanced Research Projects Agency, the Department of Homeland Security (DHS), and the intelligence community. In the Army, the research, development and engineering centers (RDECs) buy services from the Army Research Laboratory (ARL); in the case of the Naval Research Laboratory, considerable funding comes through the program management system at the Office of Naval Research; and in the case of the Air Force Research Laboratory (AFRL), program funds for basic research come from program managers at the Air Force Office of Scientific Research (AFOSR), which is itself a part of the AFRL. Each of these funding sources represents a stakeholder, and each must be satisfied in an appropriate manner or the funds will not flow to the named projects. Recipient of the R&D The customer receiving the benefits of products of research and development (R&D) carried out in a DOD laboratory is, ultimately, the warfighter. However, with the exception of the rapid-response actions taken by these organizations, usually in time of war, most products of the R&D find their way to the warfighter through a complex array of government and industrial developers. These too are customers and stakeholders, and each must be satisfied that the laboratory is responsive and is delivering with respect to its agreed-on part of the plan to transition items from research to fielded systems. Transition plans differ for the three services, depending on the specific technology; the plans change over time, as acquisition processes are continually reexamined and changed. Oversight Members of society, including taxpayers, are the ultimate stakeholders for the DOD laboratories. Their interests are represented within the government by such agencies as congressional committees, the Office of Management and Budget (using the Government Performance and Results Act of 1993 [GPRA], the Government Performance and Results Modernization Act of 2010 [GPRAMA] and the Program Assessment Rating Tool [PART]); the Occupational Safety and Health Administration (OSHA) to protect the workforce; the Environmental Protection Agency (EPA) to protect the environment; and others. 61

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DEPARTMENT OF ENERGY LABORATORIES Funding The Department of Energy (DOE) laboratories system includes the national security laboratories at Sandia, Los Alamos, and Livermore and an array of laboratories that have specific or general missions ranging from primarily fundamental science to applied areas such as energy production and conservation. These DOE laboratories are government owned-contractor operated, and these contractors have local responsibility for laboratory management. Typically the funding for the DOE laboratories comes from more than one of the many offices within the DOE, and the program managers of these offices are major stakeholders. Significant funding also comes from other federal agencies. As with the DOD laboratories, Congress is the principal appropriator, and the views and desires of each of several subcommittees must be addressed. Recipients of the R&D The R&D of the DOE laboratories is transferred to society in many ways. The national security laboratories perform R&D aimed at protecting the nation's nuclear stockpile; they also perform R&D for customers such as the DOD and DHS. With the exception of classified material, dissemination of basic research follows standard publication and communications paths. Applied research can be done in collaboration with or can be directly transferred to some industry. For example, the work focused on energy efficiency has found its way to a vast array of manufacturing and energy-producing industries. In each instance, this means that a variety of customer groups must be identified and their needs addressed. Often, as when the R&D is a consequence of government-imposed regulation, the laboratories must work with other agencies (e.g., the EPA) as well as those affected industries and satisfy all of these customers. Oversight In addition to the usual oversight as identified above for the DOD, the DOE laboratories, often involved with safety and security issues, receive oversight from organizations within the agency charged with such issues. NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST) Funding The National Institute of Standards and Technology (NIST) receives a large appropriation for intramural research and additional funding for extramural programs. The NIST laboratories also receive funding for new construction in a separate account. The report line for its intramural funding is much shorter than for many government laboratories, with a single authorization and appropriation committee in each house of Congress. The administrative report line is also quite short, as the director of the laboratory also serves as the Under Secretary of Commerce for Standards and Technology, with direct reporting to a cabinet-level appointee. 62

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Recipients of the R&D NIST, as the U.S. national measurement laboratory charged also with assisting U.S. commercial organizations to develop advanced technology, has an extremely wide responsibility. By providing the underlying technical capability that enables the entire system of standards and norms, NIST R&D supports a broad set of industries and government agencies. Direct customers may be the industries and government agencies themselves, or standards-setting organizations that act as intermediaries in the process. For each area of application, there is a different set of stakeholders, and the constant requirement for reexamining needs and addressing them through a broadly based program that includes basic research aimed at uncovering the next generation of measurement capabilities and technologies Oversight NIST is subject to the same oversight as that for other government laboratories. It is unique, however, in being the only government owned-government operated laboratory that operates a nuclear research reactor on its site. It is, therefore, subject to the oversight of the Nuclear Regulatory Commission and, of course, the citizenry and governments of neighboring communities in the Gaithersburg, Maryland, region. 63