III.  NSF’s Outcome Goals:  Investing in today’s promise for tomorrow’s achievement

In pursuit of its historic mission, NSF invests in:

• PEOPLE to develop a diverse, internationally competitive and globally-engaged workforce of scientists, engineers and well-prepared citizens. This goal supports the parts of NSF’s mission that are directed at (1) programs to strengthen scientific and engineering research potential; and (2) science and engineering education programs at all levels and in all fields of science and engineering.

• IDEAS to provide a deep and broad fundamental science and engineering knowledge base. These goal supports the parts of NSF’s mission directed at basic scientific research and research fundamental to the engineering process.

• TOOLS to provide widely accessible, state-of-the-art science and engineering infrastructure. This goal supports the parts of NSF’s mission directed at (1)) programs to strengthen scientific and engineering research potential; and (2) an information base on science and engineering appropriate for development of national and international policy.

Issues of equal opportunity in science and engineering are addressed by all three of the outcome goals.

In Appendix 5, Resource Utilization, NSF’s FY 2001 budget request is distributed across the three outcome goals and Administration and Management (A&M), with a total request of $4.572 billion.

In Appendix 7: Crosswalk of NSF Goals and Programs, all NSF programs are classified according to the outcome goal on which they are primarily focused. However, is should be noted that there is considerable synergy among the goals.

For example, a grant supporting materials research at a university may focus on producing new knowledge (Ideas) but also may help train the next generation of scientists and engineers (People), and provide new research equipment (Tools). The ability of NSF-supported projects to simultaneously address multiple outcome goals increases the effectiveness and productivity of NSF’s investments.

A.  PEOPLE:   A diverse, internationally competitive and globally-engaged workforce of scientists, engineers and well-prepared citizens.

NSF is committed to ensuring that the United States has world-class scientists and engineers, a national workforce that is scientifically, technically and mathematically strong, and a citizenry that understands and can take full advantage of basic concepts of science, mathematics, engineering, and technology.

Every dollar NSF spends is an investment in people. The agency supports nearly 200,000 people – teachers, students, researchers, postdoctoral researchers, and many others. NSF supports formal and informal science, mathematics, engineering, and technology (SMET) education at all levels.

NSF employs three core strategies that guide the entire agency in establishing priorities, identifying opportunities, and designing new programs and activities: (1) Develop Intellectual Capital; (2) Integrate Research and Education; and (3) Promote Partnerships. (These strategies are more fully described in Section IV.) Each of these strategies is critical to accomplishing the People goal. In addition, there are implementation strategies that are specific to this goal:

• Use all aspects of NSF activity to enhance diversity in the science and engineering workforce, with particular attention to the development of people who are beginning careers in science and engineering.

• Invigorate research-informed, standards-based SMET education at all levels through partnerships that draw deeply from the research and education community, Federal, state, and local education agencies, civic groups, business and industry, and parents.

• Increase the Nation’s capacity to educate teachers and faculty in SMET areas and provide them with career-long professional development.

• Foster innovative research on learning, teaching, and organizational effectiveness, with special interest in determining the most effective use of information and computer technologies.

• Further the engagement of the U.S. scientific and engineering community in the global community by providing opportunities for international study, collaborations and partnerships.

• Promote greater public understanding of science, mathematics, and technology, and build bridges between formal and informal science education.

The following long-term outcomes of the People Goal provide the basis for development of more specific and time-dependent annual performance goals:

• Improved mathematics, science and technology understanding and skills for U.S. students at the K-12 level and for all citizens of all ages, so that they can be competitive in a technological society.

• A science and technology workforce that draws on the strengths of America’s diversity and has global career perspectives and opportunities.

• Globally-engaged science and engineering professionals who are among the best in the world.

• A public that understands the processes and benefits that accrue from science and engineering.

Appendix 1 describes the critical factors for success that are identified for the outcome goals. In particular, Factor 1, operating a credible, efficient merit review system, is critical because it is at the very heart of NSF's selection of the projects through which its outcome goals are achieved. Factor 2, maintaining a diverse, capable, motivated staff that operates with efficiency and integrity is also critically important because it is the program staff that makes the final selection of projects to be supported, and then monitors performance.

Appendix 2 describes the external factors that must be considered in developing goal achievement strategies. With regard to the People Goal, characteristics of the workforce of scientists and engineers are highly dependent on the systems through which they are educated and trained. NSF programs influence educational systems and the public that supports them, but are only one influence among many factors.

As described in Appendix 3, Assessing NSF Performance, NSF performance is successful if the outcomes of NSF investments for a given period of time are judged to have achieved or to have made significant progress in achieving the specific performance goals. These assessments are made by independent external panels of experts, who use their collective experienced-based norms in determining the level of "significance" necessary for a rating of successful.

B.  IDEAS:  Discovery across the frontier of science and engineering, connected to learning, innovation and service to society.

Investments aimed at discovery fund cutting edge research projects proposed by individuals and groups of scientists and engineers. Because no one can predict every discovery or anticipate all of the opportunities that fresh discoveries will produce, NSF's portfolio must be large and diverse, addressing many fields and activities, ranging from single investigator grants to small groups of investigators to large multi-purpose research centers.

NSF-funded research projects also provide a rich foundation for broad and useful applications of knowledge and the development of new technologies. NSF is committed to fostering connections between discoveries and their use in the service to society. A key strategy for accomplishing this is by promoting partnerships at all levels.

As described in Section IV, NSF employs three core strategies that guide the entire agency in establishing priorities, identifying opportunities, and designing new programs and activities. Each of these strategies is critical to accomplishing the Ideas goal.

In addition, there are some implementation strategies that are specific to this goal. NSF will:

• Support the most promising ideas as selected through merit review of competitive proposals.

• Take informed risks when scientific consensus is lacking or just beginning to form.

• Identify and provide long-term support for new and emerging opportunities within and across all fields of science and engineering.

• Encourage cooperative research and education efforts – among disciplines and organizations, where partners work at different locations, in different sectors, or across international boundaries.

• Foster connections between discoveries and their use in the service of society.

The following long-term outcomes for the Ideas goal provide the basis for development of more specific and time-dependent annual performance goals:

• A robust and growing fundamental knowledge base that enhances progress in all science and engineering areas.

• Discoveries that advance the frontiers of science, engineering, and technology.

• Partnerships connecting discovery to innovation, learning, and societal advancement.

• Research and education processes that are synergistic.

Appendix 1 describes the critical factors for success that are identified for the outcome goals.

Appendix 2 describes the external factors that should be considered in developing goal achievement strategies. The work that results in the achievement of the IDEAS outcome goals is performed largely outside the agency; thus, external factors have a significant impact on NSF's performance. In general, these factors result from changes (social, political, physical, etc.) in the environment for the conduct of research and education activities in the federal sector, the private sector, and in academe. They stem largely from the fact that NSF does not conduct the research and education activities directly and, therefore, influences outcomes rather than controls them.

As described in Appendix 3, Assessing NSF Performance, NSF performance is successful if the outcomes of NSF investments for a given period of time are judged to have achieved or to have made significant progress in achieving the specific performance goals. These assessments are made by independent external panels of experts, who use their collective experienced-based norms in determining the level of "significance" necessary for a rating of successful.

C.   TOOLS:  Broadly accessible, state-of-the-art and shared research and education tools

NSF investments provide state-of-the art tools for research and education, such as instrumentation and equipment, multi-user facilities, accelerators, telescopes, research vessels and aircraft, and earthquake simulators. In addition, investments in Internet-based and distributed user facilities, advanced computing resources, research networks, digital libraries, and large databases are increasing, as a result of rapid advances in computer, information, and communication technologies. NSF's investments are coordinated with those of other organizations, agencies and countries to provide complementarity and integration.

As described in Section IV, NSF employs three core strategies that guide the entire agency in establishing priorities, identifying opportunities, and designing new programs and activities. Each of these strategies is critical to accomplishing the Tools goal. In addition, there are some implementation strategies that are specific to this goal:

• Stimulate and support the development, modernization, maintenance, operation and dissemination of next-generation instrumentation, multi-user facilities, databases, and other shared research and education platforms;

• Upgrade the computation and computing infrastructures for all fields of science, engineering, and education that NSF supports; and

• Provide information on the status of the domestic and foreign science and engineering enterprise to inform science policy and priority setting, and help identify current and emerging opportunities and needs in science and engineering.

The following long-term outcomes for the Tools goal provide the basis for development of more specific and time-dependent annual performance goals:

• Shared-use platforms, facilities, instruments, and databases that enable discovery and enhance the productivity and effectiveness of the science and engineering workforce.

• Networking and connectivity that take full advantage of the Internet and make science and technology information available to all citizens.

• Information and policy analyses that contribute to the effective use of science and engineering resources.

Appendix 1 describes the critical factors for success that are identified for the outcome goals.

Appendix 2 describes the external factors that must be considered in developing goal achievement strategies. For example, NSF relies on the academic research facilities and platforms available at colleges and universities across the country to provide a base upon which grantees can build their research programs. Although NSF support enhances this infrastructure, we do not control its current condition and quality. Failing to maintain a state-of-the-art research infrastructure will slow the pace of discovery and limit the research options available to researchers.

As described in Appendix 3, Assessing NSF Performance, NSF performance is successful if the outcomes of NSF investments for a given period of time are judged to have achieved or to have made significant progress in achieving the specific performance goals. These assessments are made by independent external panels of experts, who use their collective experienced-based norms in determining the level of "significance" necessary for a rating of successful.