[Federal Register: September 23, 2005 (Volume 70, Number 184)]
[Rules and Regulations]
[Page 55725-55727]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23se05-7]
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DEPARTMENT OF DEFENSE
Office of the Secretary
32 CFR Part 272
RIN 0790-AH90
Administration and Support Basic Research
AGENCY: Office of the Secretary, DoD.
ACTION: Final rule.
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SUMMARY: This document provides general policy guidance and principles
for the conduct of DoD Components' Basic Research programs. It
implements a general policy on the support of scientific research that
is contained in the 1954 Executive Order 10521, ``Administration of
Scientific Research by Agencies of the Federal Government,'' March 17,
1954. It also implements guiding principles for the government-
university research partnership that are contained in Executive Order
13185, ``To Strengthen the Federal Government-University Research
Partnership.''
DATE: This final rule is effective September 23, 2005.
FOR FURTHER INFORMATION CONTACT: Mark Herbst, (703) 696-0372.
SUPPLEMENTARY INFORMATION:
Executive Order 12866
This is a ``significant regulatory Action,'' as defined in
Executive Order 12866, in so far as the Office of Management and Budget
reviewed and approved it for publication. This rule will not: (1) Have
an annual effect on the economy of $100 million or more or adversely
affect in a material way the economy, a sector of the economy,
productivity, competition, jobs, the environment, public health or
safety, or State, local, or tribal governments or communities; (2)
create a serious inconsistency or otherwise interfere with an action
taken or planned by another agency; (3) materially alter the budgetary
impact of entitlements, grants, user fees, or loan programs or the
rights and obligations of recipients thereof; or (4) raise novel legal
or policy issues arising out of legal mandates, the President's
priorities, or the principles set forth in Executive Order 12866.
Regulatory Flexibility Act of 1980 (5 U.S.C. 605(b))
This regulatory action will not have a significant adverse impact
on a substantial number of small entities.
[[Page 55726]]
Unfunded Mandates Act of 1995 (Sec. 202, Pub. L. 104-4)
This regulatory action does not contain a Federal mandate that will
result in the expenditure by State, local, and tribal governments, in
aggregate, or by the private sector of $100 million or more in any one
year.
Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35)
This regulatory action will not impose any additional reporting or
recordkeeping requirements under the Paperwork Reduction Act.
Federalism (Executive Order 13132)
This regulatory action does not have Federalism implications, as
set forth in Executive Order 13132. It will not have substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.
List of Subjects in 32 CFR Part 272
National defense; Research; Science and technology.
0
Accordingly, Title 32 of the Code of Federal Regulations, Chapter I,
Subchapter M is amended by revising part 272 to read as follows:
PART 272--ADMINISTRATION AND SUPPORT OF BASIC RESEARCH BY THE
DEPARTMENT OF DEFENSE
Sec.
272.1 Purpose.
272.2 Applicability.
272.3 Definition of basic research.
272.4 Policy.
272.5 Responsibilities.
Appendix A to part 272--Principles for the Conduct and Support of
Basic Research.
Authority: 5 U.S.C. 301 and 10 U.S.C. 113.
Sec. 272.1 Purpose
This part implements the:
(a) Policy on the support of scientific research in Executive Order
10521, ``Administration of Scientific Research by Agencies of the
Federal Government'' (3 CFR, 1954-1958 Comp., p. 183), as amended; and
(b) Guiding principles for the government-university research
partnership in Executive Order 13185, ``To Strengthen the Federal
Government-University Research Partnership'' (3 CFR 2000 Comp., p.
341).
Sec. 272.2 Applicability.
This part applies to the Office of the Secretary of Defense, the
Military Departments, the Chairman of the Joint Chiefs of Staff, the
Combatant Commands, the Office of the Inspector General of the
Department of Defense, the Defense Agencies, the DoD Field Activities,
and all other organizational entities in the Department of Defense
(hereafter referred to collectively as the ``DoD Components'').
Sec. 272.3 Definition of basic research.
Basic research is systematic study directed toward greater
knowledge or understanding of the fundamental aspects of phenomena and
of observable facts without specific applications towards processes or
products in mind. It includes all scientific study and experimentation
directed toward increasing fundamental knowledge and understanding in
those fields of the physical, engineering, environmental, and life
sciences related to long-term national security needs. It is farsighted
high payoff research that provides the basis for technological
progress.
Sec. 272.4 Policy.
It is DoD policy that:
(a) Basic research is essential to the Department of Defense's
ability to carry out its missions because it is:
(1) A source of new knowledge and understanding that supports DoD
acquisition and leads to superior technological capabilities for the
military; and
(2) An integral part of the education and training of scientists
and engineers critical to meeting future needs of the Nation's defense
workforce.
(b) The Department of Defense shall:
(1) Conduct a vigorous program of high quality basic research in
the DoD Component laboratories; and
(2) Support high quality basic research done by institutions of
higher education, other nonprofit research institutions, laboratories
of other Federal agencies, and industrial research laboratories.
(c) The DoD Components' conduct and support of basic research shall
be consistent with the principles stated in Appendix A to this part.
Sec. 272.5 Responsibilities.
(a) The Director of Defense Research and Engineering, under the
Under Secretary of Defense for Acquisition, Technology, and Logistics
(USD(AT&L)), shall:
(1) Provide technical leadership and oversight, issue guidance for
plans and programs; develop policies; conduct analyses and studies; and
make recommendations for DoD basic research.
(2) Recommend approval, modification, or disapproval of the DoD
Components' basic research programs and projects to eliminate
unpromising or unnecessarily duplicative programs, and to stimulate the
initiation or support of promising ones.
(3) Recommend, through the USD(AT&L) to the Secretary of Defense,
appropriate funding levels for DoD basic research.
(4) Develop and maintain a metrics program to measure and assess
the quality and progress for DoD basic research, a required element of
which is an independent technical review:
(i) At least biennially; and
(ii) With participation by all the Military Departments and all the
other DoD Components that have basic research programs.
(5) Monitor the implementation of this part and issue any
additional direction and guidance that may be necessary for that
purpose.
(b) The Directors of the Defense Agencies supporting basic research
and the Secretaries of the Military Departments, within their
organizational purview, shall implement this part.
Appendix A to Part 272--Principles for the Conduct and Support of Basic
Research
1. Basic research is an investment. The DoD Components are to
view and manage basic research investments as a portfolio, with
assessments of program success based on aggregate returns. There
should be no expectation that every individual research effort will
succeed because basic research essentially is an exploration of the
unknown and specific outcomes are not predictable.
2. Basic research is along-term activity that requires
continuity and stability of support. Individual basic research
efforts sometimes return immediate dividends, with transitions
directly from research laboratories to defense systems in the field.
However, most often the full benefits of basic research are not
apparent until much later. Therefore, the DoD Components must engage
in long-term planning and funding of basic research to the maximum
possible extent.
3. Balance is essential in the portfolio of basic research
investments. A wide range of scientific and engineering fields is of
potential interest to the Department of Defense and the DoD
Components. It is important to develop a balanced portfolio that
includes investments not only in established research areas with
promise for evolutionary advances, but also in areas that entail
higher risk and offer potential for revolutionary advances with
correspondingly higher benefits.
4. Coordination with other Federal agencies is important. The
DoD Components are to consider other Federal agencies' basic
research investments when making investment decisions, both to avoid
unintended overlapping of support and to leverage those agencies'
investments as appropriate.
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5. Merit review is used to select basic research projects for
support. It is crucial that the Department of Defense invest in the
highest quality research for defense needs. Merit review relies on
the informed advice of qualified individuals who are independent of
the individuals proposing to do the research. The principal merit
review factors used in selecting among possible projects are
technical merit and potential long-term relevance to defense
missions.
Dated: September 19, 2005.
L.M. Bynum,
Alternate OSD Federal Register Liaison Officer, Department of Defense.
[FR Doc. 05-18985 Filed 9-22-05; 8:45 am]
BILLING CODE 5001-06-M