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.
Support for this project was provided by Contract NASW 96013 and Contract Grant No. AST-9632185 between the National Academy of Sciences and the National Aeronautics and Space Administration and the National Science Foundation, respectively. Any opinions, findings, conclusions, or recommendations expressed in this material are those of the authors and do not necessarily reflect the views of the sponsors.
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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. William 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. William A. Wulf are chairman and vice chairman, respectively, of the National Research Council.
COMMITTEE ON ASTRONOMY AND ASTROPHYSICS
JOHN P. HUCHRA,
Harvard-Smithsonian Center for Astrophysics,
Co-chair
THOMAS A. PRINCE,
California Institute of Technology,
Co-chair
ERIC E. BECKLIN,
University of California at Los Angeles
TODD A. BOROSON,
National Optical Astronomy Observatories
ROGER CHEVALIER,
University of Virginia
ARTHUR F. DAVIDSEN, *
Johns Hopkins University
MARC DAVIS, *
University of California at Berkeley
NEAL J. EVANS,
University of Texas at Austin
WENDY L. FREEDMAN, *
Carnegie Observatories
JONATHAN E. GRINDLAY, *
Harvard-Smithsonian Center for Astrophysics
JACQUELINE N. HEWITT,
Massachusetts Institute of Technology
ROBERT C. KENNICUTT, JR.,
University of Arizona
RICHARD F. MUSHOTZKY,
NASA Goddard Space Flight Center
STANTON J. PEALE,
University of California at Santa Barbara
DEANE PETERSON,
State University of New York at Stony Brook
ROBERT ROSNER, *
University of Chicago
BLAIR D. SAVAGE,
University of Wisconsin at Madison
DAVID N. SPERGEL,
Princeton University Observatory
MICHAEL TURNER, *
University of Chicago
ELLEN GOULD ZWEIBEL,
University of Colorado at Boulder
ROBERT L. RIEMER, Study Director
JOEL R. PARRIOTT, Program Officer
ANNE K. SIMMONS, Senior Program Assistant
RONALD M. KONKEL, Consultant
KIRSTEN L. ARMSTRONG, Research Assistant
* |
Former member. |
BOARD ON PHYSICS AND ASTRONOMY
ROBERT C. DYNES,
University of California at San Diego,
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
RICHARD D. HAZELTINE,
University of Texas at Austin
JOHN P. HUCHRA,
Harvard-Smithsonian Center for Astrophysics
JOHN C. MATHER,
NASA Goddard Space Flight Center
CHERRY ANN MURRAY,
Lucent Technologies
ANNEILA I. SARGENT,
California Institute of Technology
JOSEPH H. TAYLOR,
Princeton University
KATHLEEN C. TAYLOR,
GM Research & Development Center
J. ANTHONY TYSON,
Lucent Technologies
CARL E. WIEMAN,
University of Colorado
PETER G. WOLYNES,
University of Illinois at Urbana-Champaign
DONALD C. SHAPERO, Director
ROBERT L. RIEMER, Associate Director
KEVIN AYLESWORTH, Program Officer
JOEL R. PARRIOTT, Program Officer
GRACE WANG, Senior Project Associate
MICHAEL LU, Staff Assistant
SPACE STUDIES BOARD
CLAUDE R. CANIZARES,
Massachusetts Institute of Technology,
Chair
MARK R. ABBOTT,
Oregon State University
FRAN BAGENAL,
University of Colorado
DANIEL N. BAKER,
University of Colorado
ROBERT E. CLELAND,
University of Washington
GERARD W. ELVERUM, JR., *
TRW Space and Technology Group
MARILYN L. FOGEL,
Carnegie Institution of Washington
RONALD GREELEY, *
Arizona State University
BILL GREEN,
Former Member, U.S. House of Representatives
JOHN H. HOPPS, JR.,
Rozewell, Georgia
CHRIS J. JOHANNSEN,
Purdue University
ANDREW H. KNOLL, *
Harvard University
RICHARD G. KRON,
University of Chicago
JONATHAN I. LUNINE,
University of Arizona
ROBERTA BALSTAD MILLER,
Columbia University
GARY J. OLSEN,
University of Illinois at Urbana-Champaign
MARY JANE OSBORN,
University of Connecticut Health Center
GEORGE A. PAULIKAS,
The Aerospace Corporation (retired)
JOYCE E. PENNER,
University of Michigan
THOMAS A. PRINCE,
California Institute of Technology
PEDRO L. RUSTAN, JR.,
U.S. Air Force (retired)
GEORGE L. SISCOE,
Boston University
EUGENE B. SKOLNIKOFF,
Massachusetts Institute of Technology
MITCHELL SOGIN,
Marine Biological Laboratory
NORMAN E. THAGARD,
Florida State University
ALAN M. TITLE,
Lockheed Martin Advanced Technology Center
RAYMOND VISKANTA,
Purdue University
PETER W. VOORHEES,
Northwestern University
JOHN A. WOOD,
Harvard-Smithsonian Center for Astrophysics
JOSEPH K. ALEXANDER, Director
* |
Former member. |
COMMISSION ON PHYSICAL SCIENCES, MATHEMATICS, AND APPLICATIONS
PETER M. BANKS,
Veridian ERIM International, Inc.,
Co-chair
W. CARL LINEBERGER,
University of Colorado,
Co-chair
WILLIAM F. BALLHAUS, JR.,
Lockheed Martin Corporation
SHIRLEY CHIANG,
University of California at Davis
MARSHALL H. COHEN,
California Institute of Technology
RONALD G. DOUGLAS,
Texas A&M University
SAMUEL H. FULLER,
Analog Devices, Inc.
JERRY P. GOLLUB,
Haverford College
MICHAEL F. GOODCHILD,
University of California at Santa Barbara
MARTHA P. HAYNES,
Cornell University
WESLEY T. HUNTRESS, JR.,
Carnegie Institution of Washington
CAROL M. JANTZEN,
Westinghouse Savannah River Company
PAUL G. KAMINSKI,
Technovation, Inc.
KENNETH H. KELLER,
University of Minnesota
JOHN R. KREICK,
Sanders, a Lockheed Martin Company (retired)
MARSHA I. LESTER,
University of Pennsylvania
DUSA M. MCDUFF,
State University of New York at Stony Brook
JANET L. NORWOOD, Former Commissioner,
U.S. Bureau of Labor Statistics
M. ELISABETH PATÉ-CORNELL,
Stanford University
NICHOLAS P. SAMIOS,
Brookhaven National Laboratory
ROBERT J. SPINRAD,
Xerox PARC (retired)
MYRON F. UMAN, Acting Executive Director
Preface
The Committee on Astronomy and Astrophysics (CAA), at its meeting on September 8, 1997, was briefed on the legislative report accompanying the bill to authorize appropriations for fiscal years 1998 and 1999 for the National Science Foundation (NSF). The report raised a number of questions about trends in support for research in astronomy and the overall robustness of the programs providing that support. At its meeting, the CAA heard the views of NSF and the National Aeronautics and Space Administration (NASA) on these issues. In consultation with the Board on Physics and Astronomy, the Space Studies Board, and representatives of NASA and NSF, the committee accepted the task of studying three of the questions raised by the House Science Committee (HSC). The three questions were framed by the CAA as follows:
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What have been the trends in support for basic research in astronomy, as indicated, for example, by grant funding, growth in the number of astronomers, proposal success rate, average grant size and duration, acknowledgment of federal support in publications, and other measures of research vitality?
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What are the current trends in federally funded support for basic research in astronomy, including support for theoretical astrophysics, and how is this support aligned with the availability of major observational facilities (including both ground- and space-based observatories)?
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How vulnerable is the astronomical research community to unexpected setbacks, such as a catastrophic failure of the Hubble Space Telescope?
It was intended that the results of the study would help guide federal support of basic research for the next decade and serve as analytical input to the new 2000 decadal survey of the Astronomy and Astrophysics Survey Committee (AASC). The study would not offer specific funding recommendations, but rather would provide a background analysis of the alignment between available resources, agency priorities, and the vitality of the basic research program.
The HSC raised two additional sets of questions. The National Research Council (NRC) charged the Astronomy and Astrophysics Survey Committee (AASC) with addressing these questions:
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Have NASA and NSF mission objectives resulted in a balanced, broad-based, robust science program for astronomy? Have the NASA and NSF missions been adequately coordinated, and has this resulted in an optimum science program from a productivity standpoint? What special strategies are needed for strategic cooperation between NASA and NSF? Should these be included in agency strategic plans?
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How do NASA and NSF determine the relative priority of new technological opportunities (including new facilities) compared to providing long-term support for associated research grants and facility operation?
The task of responding to the HSC was divided in this fashion in order to avoid preempting the AASC's charge to set priorities for astronomy and astrophysics, to identify the main issues facing the field, and to make recommendations to address these issues. (Its recently released report, Astronomy and Astrophysics in the New Millennium, will be published in the fall of 2000.)
The CAA was careful to frame its own study as a data-gathering exercise intended to provide the objective basis for describing trends in the field, the primary value of which would be to support the
work of the Panel on Astronomy Education and Policy of the AASC. For this reason, the CAA study articulates findings but does not recommend any actions to address the corresponding issues.
Notwithstanding the circumscribed nature of this CAA study on federal funding of astronomy, some striking facts came to light. These facts are outlined in the Executive Summary, and the data that support them are presented in the main body of the report.
The committee thanks Ron Konkel, who served as a consultant to the CAA and was very helpful in making clear what data were available and what questions might be addressed objectively. He was tireless in ferreting out the information needed by the committee in its study. The CAA would also like to thank Robert L. Riemer, Joel Parriott, and Kirsten Armstrong, who provided staff support and invaluable assistance in the review of the report and its publication.
John P. Huchra and Thomas A. Prince, Co-chairs
Committee on Astronomy and Astrophysics
Acknowledgment of Reviewers
This report has been reviewed by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council's (NRC's) Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the authors and the NRC in making the 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 contents of the review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. The committee wishes to thank the following individuals for their participation in the review of this report:
Arthur D. Code, University of Wisconsin at Madison,
Frank D. Drake, University of California at Santa Cruz and the SETI Institute,
Richard S. Ellis, University of Cambridge, England,
Sandra M. Faber, University of California at Santa Cruz,
Richard M. Goody, Harvard University (retired),
Richard G. Kron, University of Chicago,
Marcia J. Rieke, University of Arizona,
Vera C. Rubin, Carnegie Institution of Washington, and
J. Anthony Tyson, Lucent Technologies.
Although the individuals listed above have provided many constructive comments and suggestions, responsibility for the final content of this report rests solely with the authoring committee and the NRC.