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learned journals in which scientists are accustomed to publishing. In all cases, significant contractor reports are announced and abstracted in Scientific and Technical Aerospace Report and are made available, as appropriate, to Government and industry either through the NASA distribution system or through a public source such as the Office of Technical Services of the Department of Commerce or the Federal Government designated depository libraries.
To facilitate the processing of information and to avoid duplication of effort, cooperative arrangements have been made with major Government agencies to develop overall Government policy for the support of the publication and dissemination of the results of university research. NASA also participates in arrangements for the Government-wide interchange of this information and for insuring broad announcement and availability to the industrial and university communities. This interchange has been considerably facilitated by recent agreements and by policy decisions of the Federal Council for Science and Technology to standardize processing formats and procedures.
All these efforts are designed to implement section 203 of the National Aeronautics and Space Act of 1958 (Public Law 85–568) to “provide for the widest practicable and appropriate dissemination of information concerning its activities and the results thereof."
Question 2. Much of the testimony by NASA wi resses implied that universities and colleges have a role much broader than merely the training of students. If I have clearly interpreted the witnesses' position, what contribution, in NASA's opinion, can and should a university make to the society it is a part of and, more specifically, to the region it is located within, in terms of other than their primary mission, the training of students?
Answer. In general, yes, this is one of the questions ably dealt with in Dr. Kerr's “Uses of the University.” Many universities are already making a concerted effort to bring to bear a significant portion of these intellectual and physical resources on the particularly pressing problems of their immediate socioeconomic environments, as well as on some of the broader problems we face as a nation. The impact of the exploration of space is being felt, to some degree, by all facets of our society. We believe that the university has a responsibility to attack these problems and, by virtue of its academic influence, serve as an enlightening and stabilizing element. The university is uniquely equipped, not only to perform basic research and train new talent in new areas of science, but also to provide leadership within its sphere of influence in the discussion and practical solution of the problems of extracting from our space effort the greatest possible benefits to human welfare.
Space research, like other fields such as aeronautics, electronics, and atomic energy, produces corollary benefits in the form of new knowledge, new methods, and new materials which can be employed 'ultimately in the development and manufacture of articles for consumer use. In the past the transfer process proceeded in a laissez-faire manner at a relatively slow pace. We believe that it is incumbent upon academic institutions, government, and industry to cooperate in an attempt to accelerate this process.
The history of science demonstrates that we need not expect a long wait before the results of space research play a role in our lives. The interval between basic discoveries and their applications to practical affairs has decreased steadily during the course of the scientific revolution. The lag was 37 years from Maxwell's publication of the laws of the electromagnetic field in 1864 to the first radio experiments by Marconi, 10 years from the discovery of the neutron in 1932 to the first nuclear reaction, and 6 years from the invention of the transistor in 1948 to the first transistorized amplifier on the market. Based on this record, many of the important discoveries and advances of space science should feed back into our lives within the decade.
NASA is acutely aware of the contribution the university community is making, and is capable of making, to regional and national growth. We have encouraged universities to seek ways in which the results of NASA-sponsored research can be applied for the good of industry and the economy of the regions within which they reside. There are many significant and complex economic, political, and social consequences of our national space program that are being studied by universities. We believe that it is essential that such studies be continued and multiplied.
Question 3. Statements made by NASA witnesses during hearings implied that they concurred in the need for creating additional centers of excellence in the heartland of America. In a recent article by Dr. Pusey of Harvard in the Evening Star of November 20, Dr. Pusey takes a dim view of quickie culture concepts. To quote Dr. Pusey, “You cannot build a center of excellence overnight and you can't do it just with dollars.”
Answer. NASA is in agreement with Dr. Pusey's statement: "You cannot build a center of excellence overnight, and you can't do it just with dollars.” It is our appreciation of this that compels us to begin now to initiate the development of new centers of excellence which are essential to the achievement of the long-range goals of the national space program and to the preservation of the role of the United States as a leader in aeronautical and space science and technology.
Through the research component of the sustaining university program, NASA has taken positive action to expand and improve the capabilities of universities to conduct research and develop new centers of excellence. We believe that the challenge of space exploration is intellectually stimulating to the university community. By making a conscious effort to seek out competence in universities wherever it may exist, we are encouraging the development of new centers of excellence outside the "big 20."
Perhaps most important of all, the methods by which NASA deals with universities have been designed specifically to allow participating institutions to make full use of their unique capabilities. To provide flexibility, the grant instrument has been used whenever possible. Within the limit of prudent management, detailed day-to-day administration of grant funds is made the responsibility of the universities. Further, a concerted effort has been made to provide stable funding for continuing research endeavors by “step-funding,” which procedure was initiated by NASA.
Question 4. What criteria has NASA developed or is using for distribution of grants and contracts among States, regions, and heavily populated centers? Please identify short-range and long-range benefits and objectives.
Answer. Research grants and contracts are awarded on the basis of scientific merit, relevancy to NASA's needs, and priorities, reasonableness of cost, and proven or estimated ability of the researcher to perform the task. In the interests of our programs, we must continue to support the proven investigator at the well-established university.
However, in our efforts to broaden the research base, we also attempt to seek out competence in universities which need modest encouragement to move ahead. NASA now is supporting research in about 130 universities in practically every State in the Union.
Pages 12 through 14 of Dr. Homer Newell's November 21 testimony before the Senate Committee on Aeronautical and Space Sciences relate directly to this matter. Research grants are not distributed on the basis of population density, except as their density factor may govern concentrations of competence. Briefly, for short-range accomplishments, we must go where competence exists. For the future, we must be concerned with broadening the research base and encouraging the buildup of new capability.
Question 5. How many unsolicited proposals for research have you turned down during the period of time covered by your report on grants and research contracts dated July 1, 1963?
Answer. During the 6-month period preceding issuance of the July 1, 1963, report on grants and research contracts, 1,248 unsolicited proposals were rejected or withdrawn. (Although issued at 6-month intervals, it should be pointed out that this report includes all projects that were active on the date of the report, without regard to when they were initiated or when their proposals were submitted.)
Question 6. How can you be certain that the subject matter contained in unsolicited proposals for research are responsive to those which NASA most needs in terms of priorities? Is there not a possibility that less needed projects may be funded because NASA has not clearly indicated in some manner those areas where study and analysis are most essential?
Answer. Experience in handling the thousands of unsolicited proposals re.ceived by NASA-approximately 3,000 in fiscal year 1963 alone-shows that:
A. Numerous proposals are received in all of the scientific research areas of priority interest to NASA.
B. The number of good proposals related to NASA's requirements always exceeds the agency's funding ability. Only those showing the greatest potential value per dollar of cost are supported. Further, it is common practice to explore with a proposer mutually desirable modifications which make a project more directly responsive to NASA's needs.
It is impossible to predict in advance the precise amount or nature of the scientific understanding that will result from support of a given proposal; accordingly, selection of projects is based on scientific appraisal of the potential, both qualitative, and the program relevance of proposals competing for support in a particular research area. The primary concern of each program manager is the use of his limited resources to obtain research results for which the needs of his program are most critical.
Question r(a). When NASA supports scientific organizations, conferences, and publications, is there not some way in which Government employees can attend without paying expensive fees?
Answer. NASA financially supports very few meetings of nongovernmental scientific organizations. In fact, present policy would preclude this except in rare instances of recognized need. One example of such support was the triannual meeting of the International Union of Geodesy and Geophysics held in America in August 1963, and supported in part by several Federal agencies and in part by registration fees. In such cases the registration fees comprise an essential supplement to the Government subsidies in covering the total operating costs of the meeting, and all Government attendees (but not active participants who present papers or chair sessions) would be expected to pay the published fee. In most cases, if attendance was approved in advance as official business, the fee paid by Government employees would be recoverable from the Government by the employee in accordance with a ruling of the Comptroller General.
NASA financially supports a few study meetings in certain special disciplines which may be organized at NASA's instigation and for NASA's principal benefit by an appropriate nongovernmental scientific organization. Attendance at such meetings is usually limited to invited scientists who can make effective technical contributions and no fee is charged.
As a contributing member to several governmental scientific organizations, such as the Interagency Chemical Rocket Propulsion Agency, NASA, in conjunction with other Government agency members, subsidizes through a contractor a continuing service, which includes the holding of one or more classified, state-of-the-art meetings each year to which attendance is regulated by invitation of Government and industry representatives with a need to know and no registration fees are charged.
NASA support of meetings initiated by non-Government scientific organizations mainly comprises advice in programing, furnishing of chairmen and speakers, and occasionally supplying minor operational support of the meeting but no financial support. In such cases Government attendees other than active participants would be required to pay the published fee which would be recoverable by them from the Government if attendance were approved in advance.
In all of the above cases it should be understood that cost of optional food functions attended by Government employees is borne by the employee and is not considered part of the registration fee.
Question r(b). Should not Government agencies be eligible to receive research papers presented at Government-sponsored conferences without having to use Government funds to pay for the papers!
Answer. In those few instances in which financial support of a conference is provided by NASA as a cosponsor the papers are available free to NASA and, if included in the terms of the support agreement, would be available free to other designated Government agencies to the extent covered by such financial support.
In instances where NASA is a cosponsor of a meeting but does not provide financial support to the initiating organization, NASA receives free publications which result from the meeting but is not in position to demand free copies for other nonsponsoring Government organizations. For the most part NASA refrains from official sponsorship of meetings which this agency does not initiate and conduct. However in the frequent practice of cooperating with the scientific society by providing advice, speakers, and chairmen for conferences NASA normally receives free not the preprints, but any final publications which result from the meeting.
Question 8. How do you determine priorities among research subjects? Is it less complicated to determine priorities in the physical sciences than in the social sciences?
Answer. NASA's organizational structure reflects the broad areas known to be important to the national space effort. Relative priority constitutes the main factor in the allocation of funds within the various programs. Each unsolicited proposal is analyzed for scientific content by responsible scientists and engineers with mature judgment and experience, and each competes with all other proposals for support in a particular technical area. Each program manager looks for the best solution to his own most critical problems, and a proposal related to several areas will obviously be regarded by different program managers as having different priority; however, unless highly rated by at least one, it is not supported. The complexities of priority assignment in physical sciences by physical scientists, or in social sciences by social scientists, probably do not differ substantially, but, since results of research studies in either field cannot be precisely predicted, priority assignment is always complicated and is necessarily a matter of scientific judgment.
Question 9. What percentage of NASA grants is for basic research and what is for applied research? Do you have methods of testing the results of your grants for research contracts in the physical and life sciences? In the social sciences ?
Answer. As has often been pointed out, there is no clear dividing line between "basic” and “applied” research. With rare exceptions, a research activity in either category contains significant elements of the other. All NASA research grants are for investigations in which the basic elements predominate.
Basic research may be defined as that type of research which is directed toward increase of knowledge in science. It is research in which the primary aim of the investigator is a fuller knowledge or understanding of the subject under study rather than a practical application thereof. This definition is extended to include the development and procurement of special instrumentation required for the conduct of research as well as all special services which may be required for the performance of the research. Thus in the case of space sciences, "basic research” includes satelliteborne instrumentation for measuring physical phenomena as well as the processes required in the data analysis. The definition does not include the spacecraft per se (including telemetry and data conditioning equipment) nor the launch vehicle nor the data reduction (as opposed to data analysis). The definition of basic research as applied to all flight projects includes only that portion of the flight project which directly contributes to a fundamental understanding of a basic phenomenon.
The total NASA sponsorship of this kind of basic research in fiscal year 1962 was $46.3 million and in fiscal year 1963 was $58.8 million. During those 2 years, the total NASA R. & D. appropriations were $1,253 million and $2,458 million, respectively.
Results of research performed under grants can be measured by the degree to which new knowledge or discoveries generated by the research are utilized in space experiments, result in improvements of materials or components or, as byproducts of the space effort, become channeled into new or improved industrial products and processes, of benefit to the general economy, or influence scientific thought and instructional course content at educational institutions.
In addition to appraisal by NASA, in light of NASA requirements, the results of this research are, as a consequence of their publication in reputable technical journals, subjected to the characteristically critical scrutiny of the entire scientific community.
Question 10. Do you think the demands made by defense and space upon our supply of scientists and engineers is so great that private industry is suffering from a shortage-particularly a shortage in persons capable of doing basic research?
Answer. A comparison of NASA projected requirements for scientists and engineers with data prepared by the Department of Labor published in the Manpower Report of the President, March 1963, shows that NASA requirements for such personnel will be only 4.3 percent of the national requirements by January 1, 1964. We do not anticipate NASA's requirements for scientists and engineers at any time during the rest of the decade to exceed 6.6 percent of the estimated total national supply of scientists and engineers.
We are not in a position to evaluate requirements for scientists and engineers of the defense program. Through its predoctoral training program, NASA is providing for the training of scientists and engineers. Many of these trained people will ultimately become involved in basic research at colleges and universities, industrial firms, and Government laboratories. The program was planned to achieve the goal of an output of 1,000 Ph. D.'s per year by the school year 1967–68. Some of these graduates would presumably be employed by NASA as well as universities and private industry. For these reasons NASA does not feel it is causing private industry to suffer a shortage of scientific and engineering manpower.
Question 11. There has been much interest and many public statements have been made concerning industry-oriented spin-off from the space program, but not much has been said about industry's actually putting to use the technical information. Do you have any opinion pertaining to the question of whether industry is really interested in the application of new methodology developed by NASA programs and will they, in fact, prepare themselves for greater utilization of such modern techniques ?
Answer. The growing volume of mail confirms NASA's opinion that industry is keenly interested in the industrial applications of NASA-developed research. What is particularly encouraging is the type of company which is respondingnot only are the large heavy industries interested, but a large percentage of inquiries and requests have come from small businesses in little towns across the country. Another pattern is emerging in requests from individuals on the production line--working engineers, plant managers, welders, etc., as well as company officials.
The following statistical facts sustain these observations:
As a result of an article on the technology utilization program which appeared in the autumn issue of Engineering, the publication of the Engineers Joint Council, over 950 letters asking to be placed on the mailing list were received. The membership of the EJC, to whom the article was addressed and from whom the responses came, is representative of the type of company and individual whom we feel can best utilize information on NASA's innovations.
Nearly 6,000 individual requests have been received for the first booklet issued by the program, titled "Selected Welding Techniques.” Again this response was a cross section, not only of big and small business, individual welder, and company president, but of types. A runthrough of letterheads showed requests from such diversified sources as bakeries, creameries, and food processors; suppliers of dental, optical, and orthopedic equipment; several insurance companies and banks; makers of outdoor advertising and neon signs; bottling companies and laundries; a film laboratory and a radiology medical group. Obviously large manufacturers and their various branch offices and departments were well represented, along with Government agencies, universities, trade and vocational schools, public development groups, and labor unions.
Another 7,000 copies have been distributed to the mailing list, the news media, to NASA Centers, and research institutes for regional use, and at meetings and conferences, for a total of over 13,000.
Five hundred and forty-two requests for NASA technical information have resulted from 125 field visits to companies by the Midwest Research Institute. MRI is conducting the pilot study effort in the Midwest.
Five hundred and thirty-two midwest industrialists returned a register noting their technical areas of interest as related to NASA's R. & D. program to MRI.
Twenty-nine cooperating companies in the Indiana University Aerospace Research Applications Center pilot program have prepared profiles of their interest areas for transferring NASA technology to industrial use and are paying $5,000 per year for the services the Indiana Center is providing in the handling of technical information furnished through NASA.
NASA does not have a system under which we could determine the extent to which the new methodology developed by NASA programs is in fact being utilized.
Question 12. Who retains title to the facilities constructed with NASA funds! If a decision is made to transfer title to the university, how is this decision made? In the buildings constructed to date, in whom has the title been vested?
Answer. The statutory authorizations under which NASA supports the construction of research laboratory facilities at the university are explicit with respect to ownership. Under them, title to facilities constructed or purchased with NASA research and development funds shall vest with the United States, unless the Administrator of the National Aeronautics and Space Administration determines that the interests of the national program of aeronautical and space activities will best be served by vesting title in the grantee. Determination to vest title in the grantee, pursuant to its request, is made by the Administrator of the National Aeronautics and Space Administration on an individual case basis at the time the grant is made. Factors which will be considered in making this determination include:
(a) Ownership of the land upon which the facilities are to be placed or constructed. In every grant made to date, NASA has insisted that the gran