DOCUMENT RESUME SE 064 612 ED 451 053 Meeks, Ronald L. AUTHOR Federal R&D Funding by Budget Function: Fiscal Years TITLE 1999-2001. An SRS Special Report. National Science Foundation, Arlington, VA. Div. of Science INSTITUTION Resources Studies. NSF-01-316 REPORT NO 2001-01-00 PUB DATE NOTE 57p. National Science Foundation, Div. of Science Resources AVAILABLE FROM Studies, Arlington, VA 22230. Numerical/Quantitative Data (110) PUB TYPE MF01/PC03 Plus Postage. EDRS PRICE *Annual Reports; *Budgets; *Federal Programs; Financial DESCRIPTORS Support; Full State Funding; Higher Education; *Research and Development ABSTRACT This annual report contains information on the federal funding of the research and development components of agency programs as proposed by the administration for fiscal year 2001. Research and development data are classified into the same federal budget function categories as those used in the "Budget of the United States Government, Fiscal Year 2001." The "Research and Development in report is divided into four sections. Section 1, the 2001 Budget: A Brief Overview," provides an overview of federal funding of research and development within the context of requested total federal "Federal R&D [Research and Development] Budget budget authority. Section 2, Function," consists of five tables and summarizes activities conducted within "R&D by Specific Budget Function," presents each budget function. Section 3, data on R&D activities conducted within each budget function. This section consists of 19 tables that provide a summary for fiscal year 1999-2001. "Federal Research and Section 4 contains two historical data series: (a) Development Funding by Function for Fiscal Years 1955-2001," and (b) "Federal Funding of Basic Research for Fiscal Years 1978-2001." (ASK) Reproductions supplied by EDRS are the best that can be made from the original document. Federal R&D U.S. DEPARTMENT OF EDUCATION Office of Educational Research and Improvement EDUCATIONAL RESOURCES INFORMATION Funding CENTER (ERIC) document has been reproduced as received from the person or organization originating it. O Minor changes have been made to improve reproduction quality. Points of view or opinions stated in this by Budget document do not necessarily represent official OERI position or policy. Function Fiscal Years 1999-2001 An SRS Special Report BEST COPY AVAILABLE Division of Science Resources Studies Directorate for Social, Behavioral, and Economic Sciences National Science Foundation January 2001 Federal R&D Funding by Budget Function Fiscal Years 1999-2001 An SRS Special Report Ronald L Meeks, Project Officer Division of Science Resources Studies Directorate for Social, Behavioral, and Economic Sciences National Science Foundation January 2001 3 National Science Foundation Rita R. Colwell Director Directorate for Social, Behavioral, and Economic Sciences Norman M. Bradburn Director Division of Science Resources Studies Lynda T. Carlson Mary J. Frase Division Director Deputy Director Ronald S. Fecso Chief Statistician Research and Development Statistics Program John E. Jankowski Program Director DIVISION OF SCIENCE RESOURCES STUDIES The Division of Science Resources Studies (SRS) fulfills the legislative mandate of the National Science Foundation Act to ... provide a central clearinghouse for the collection, interpretation, and analysis of data on scientific and engineering resources and to provide a source of information for policy formulation by other agencies of the Federal Government... To carry out this mandate, SRS designs, supports, and directs periodic surveys as well as a variety of other data collections and research projects. These surveys yield the materials for SRS staff to compile, analyze, and disseminate quantitative information about domestic and international resources devoted to science, engineering, and technology. If you have any comments or suggestions about this or any other SRS product or report, we would like to hear from you. Please direct your comments to: National Science Foundation Division of Science Resources Studies 4201 Wilson Blvd., Suite 965 Arlington, VA 22230 Telephone: (703) 292-8774 Fax: (703) 292-9092 email: [email protected] Suggested Citation National Science Foundation, Division of Science Resources Studies, Federal R&D Funding by Budget Function: Fiscal Years 1999-2001, NSF 01-316, Project Officer, Ronald L. Meeks (Arlington, VA 2001). January 2001 SRS data are available through the World Wide Web (http: / /www.nsf.gov /sbe /srs/ stats.htm). For more information about obtaining reports, contact [email protected] or call (301) 947-2722. For NSF's Telephonic Device for the Deaf, dial (703) 292-5090. ii 4 ACKNOWLEDGMENTS This report was prepared by Ronald L. Meeks, Statistician, SRS, provided overall guidance and re- Senior Analyst, Research and Development Statis- view. The text was reviewed by senior analysts Alan I. Rapoport and Thomas M. Smith. tics (RDS) Program, Division of Science Resources Julia H. Studies (SRS), National Science Foundation. The sta- Harriston and Tanya R. Gore of the Information Ser- tistical tables were prepared under contract by the vices Group of SRS provided copyediting, processing, Directorate for Science and Policy Programs (SPP), and final composition services for this report. Nita American Association for the Advancement of Sci- Congress, editor/communications consultant, edited the ence (AAAS). Kei Koizumi, Director, R&D Budget text and tables. Additional text and graphics editing and Policy Program, AAAS, worked on this report and preparation were provided by Terri S. Ford, RDS. under the guidance of Albert H. Teich, Director, SPP. SRS and AAAS would like to thank the program Overall direction was provided by John E. and budget offices at the agencies that provided in- Jankowski, Program Director, RDS. Mary J. Frase, formation for this report. Deputy Division Director, and Ronald S. Fecso, Chief 5 iii CONTENTS Section Page NOTES TO THE READER 1 RESEARCH AND DEVELOPMENT IN THE 2001 BUDGET: A BRIEF OVERVIEW 5 FEDERAL R&D BUDGET AUTHORITY BY BUDGET FUNCTION 7 Table 1. Federal R&D budget authority, by budget function: fiscal years 1999-2001 9 Table 2. Distribution of total Federal R&D budget authority, by function: fiscal years 1999-2001 10 Table 3. Federally funded R&D for national defense and civilian functions: fiscal years 1955-2001 11 Table 4. Federal budget authority for basic research, by budget function: fiscal years 1999-2001 13 Table 5. Federal R&D budget authority as a percentage of total budget authority by budget function: fiscal years 1999-2001 14 R&D BY SPECIFIC BUDGET FUNCTION 15 Table 6. Federal R&D budget authority for national defense (050): fiscal years 1999-2001 17 Table 7. Total obligational authority for Department of Defense research, development, test, and evaluation (RDT&E) budget: fiscal years 1999-2001 18 Table 8. Federal R&D budget authority for health (550): fiscal 20 years 1999-2001 Table 9. Federal R&D budget authority for the National Institutes of Health: fiscal years 1999-2001 21 Table 10. Federal R&D budget authority for space research and technology (252): fiscal years 1999-2001 22 Table 11. Federal R&D budget authority for general science and basic research (251): fiscal years 1999-2001 23 Table 12. Federal R&D budget authority for natural resources and environment (300): fiscal years 1999-2001 24 Table 13. Federal R&D budget authority for other natural resources (306): fiscal years 1999-2001 25 Table 14. Federal R&D budget authority for transportation (400): fiscal 26 years 1999-2001 Table 15. Federal R&D budget authority for agriculture (350): fiscal 27 years 1999-2001 Table 16. Federal R&D budget authority for energy (270): fiscal years 1999-2001 28 Table 17. Federal R&D budget authority for veterans benefits and services (700): fiscal years 1999-2001 29 Table 18. Federal R&D budget authority for commerce and housing credit (370): fiscal years 1999-2001 30 Section Page Table 19. Federal R&D budget authority for education, training, employment, and social services (500): fiscal years 1999-2001 31 Table 20. Federal R&D budget authority for the Agency for International Development (AID) and other international programs (150): fiscal years 1999-2001 32 Table 21. Federal R&D budget authority for administration of justice (750): fiscal years 1999-2001 33 Table 22. Federal R&D budget authority for community and regional development (450): fiscal years 1999-2001 34 Table 23. Federal R&D budget authority for income security (600): fiscal years 1999-2001 35 Table 24. Federal R&D budget authority for general government (800): fiscal years 1999-2001 36 HISTORICAL TABLES 37 Table 25a. Federal R&D obligations, by selected budget function: fiscal years 1955-60 39 40 Table 25b. Federal R&D obligations, by selected budget function: fiscal years 1961-66 Table 25c. Federal R&D obligations, by budget function: fiscal years 1967-72 41 Table 25d. Federal R&D obligations, by budget function: fiscal years 1973-77 42 Table 25e. Federal R&D budget authority, by budget function: fiscal years 1978-83 43 Table 25f. 44 Federal R&D budget authority, by budget function: fiscal years 1984-89 Table 25g. Federal R&D budget authority, by budget function: fiscal years 1990-95 45 Table 25h. Federal R&D budget authority, by budget function: fiscal years 1996-2001 46 Table 26a. Federal budget authority for basic research, by budget function: fiscal years 1978-83 47 Table 26b. Federal budget authority for basic research, by budget function: fiscal years 1984-89 48 Table 26c. Federal budget authority for basic research, by budget function: fiscal years 1990-95 49 Table 26d. Federal budget authority for basic research, by budget function: fiscal years 1996-2001 50 NOTES TO THE READER Historical Tables presents two historical data se- This annual report contains information on Federal ries: (1) Federal R&D funding by budget function for funding of the research and development R&D) com- FYs 1955-2001 (tables 25a through 25h) and (2) Fed- ponents of agency programs, as proposed by the ad- eral funding of basic research for FYs 1978-2001 (tables ministration for fiscal year (FY) 2001. R&D data in 26a through 26d). this report are classified into the same Federal budget function categories used in the Budget of the United States Government, Fiscal Year 2001, prepared by the DEFINITIONS Office of Management and Budget. Proposed FY 2001 Research and Development funding levels are for budget authority (defined below), As used in this report, R&D refers to research which is the basis for initial congressional action. In both basic and appliedand development activities in future Budget Function reports, these data will be the sciences and engineering. revised to reflect congressional appropriation and ac- tual program funding decisions. Detailed data are in- Research is systematic study directed toward fuller cluded on preliminary estimates for Federal funding scientific knowledge or understanding of the subject of R&D in FY -2000 that reflect all past con- studied. Research is classified as either basic or ap- gressional actions, but may be revised, since at the time plied according to the objective of the sponsoring of report preparation, FY 2000 had not yet been com- agency. This report also includes detailed data (by pleted. subfunction) on actual budget authorizations of R&D In basic research, the objective of the spon- by Federal agencies in FY 1999 and aggregate data soring agency is to gain fuller knowledge or (by broad function) on actual R&D budget authoriza- understanding of the fundamental aspects ofphe- tions in FY 1999 and earlier years. nomena and of observable facts without spe- cific applications toward processes or products REPORT ORGANIZATION in mind. These notes introduce basic budget terms and con- cepts used in this report. The rest of the report is di- In applied research, the objective of the spon- vided into four sections: soring agency is to gain knowledge or under- standing necessary for determining means by Research and Development in the 2001 Budget: which a recognized and specific need may be A Brief Overview provides a brief overview of Fed- met. eral Funding of R&D within the context of requested total Federal budget authority. Development is the systematic use of the know- ledge or understanding gained from research directed Federal R&D Budget Authority by Budget Func- toward the production of useful materials, devices, sys- tion consists of five tables. Tables 1, 2, and 5 provide tems, or methods, including design, development, and an overview of Federal R&D funding in the context of improvement of prototypes and new processes. It ex- requested total Federal budget authority. Table 3 con- cludes quality control, routine product testing, and pro- tains data on Federal R&D funding for national de- duction. fense and civilian programs in current and constant 1996 dollars for FYs 1955-2001. Table 4 contains data on Funds for conducting R&D include those for per- budget authority for basic research by budget function sonnel, program supervision, and administrative sup- for FYs 1999-2001. port directly associated with R&D activities. Expend- able or movable equipment needed to conduct R&D R&D by Specific Budget Function presents data e.g., microscopes or spectrometersis also included. on R&D activities conducted within each budget func- tion. This section consists of 19 tables (tables 6 through This report does not include data on funds for R&D 24) which provide a summary for FYs 1999-2001. planti.e., funds for R&D facilities such as reactors, 1 wind tunnels, or particle accelerators or for the con- Notably, each specific R&D activity is assigned to struction, repair, or alteration of such facilities. Also only one function area, consistent with the official codes excluded are all non-R&D activities performed within used in budget documents, even though the R&D ac- budget functions that conduct R&D and all functions in tivity may address several functional concerns. For which no R&D is conducted. example, except for those of the U.S. Army Corps of Engineers, all R&D activities sponsored by the De- Budget Authority, Obligations, and Outlays partment of Defense (DoD) are classified as defense, The Federal R&D funding data presented here are, even though some activities have secondary objectives with a few noted exceptions, provided in budget au- such as space or health. Moreover, only R&D funded thority. Budget authority is used because it is the initial by the Department of Health and Human Services and budget parameter for congressional action on the the Department of Labor is classified in the health func- President's proposed budget. Budget authority imposes tion category. Yet some R&D funding, from at least a ceiling on obligations and outlays; obligations and out- three additional agenciesDoD and the Departments lays flow from budget authority. of Energy and Veterans Affairshas a major health component. Budget authority is the primary source of le- The functional categories and definitions used in gal authorization to enter into obligations that will this report are the same as those used in the Federal result in outlays. Budget authority is most com- budget, with one exception. R&D activities catego- monly granted in the form of appropriations by rized as general science, space, and technology (func- the congressional committees assigned to deter- tion 250) are reported separately here. Subfunction mine the budget for each function. 251 contains R&D activities for general science and basic research, and subfunction 252 contains R&D ac- Obligations represent the amounts for orders tivities for space research and technology. Not all fed- placed, contracts awarded, services received, erally sponsored basic research is categorized in func- and similar transactions during a given period, tion 251, however; some basic research is included in regardless of when the funds were appropriated 10 of the remaining 19 functional categories. and when the future payment of money is re- quired. Five Federal budget functionsMedicare (func- tion 570), social security (function 650), net interest Outlays represent the amounts for checks is- (function 900), allowances (function 920), and undis- sued and cash payments made during a given tributed offsetting receipts (function 950)have no period, regardless of when the funds were ap- R&D components. Consequently, they are not dis- propriated or obligated. cussed in this report, except where R&D is described as a proportion of total Federal budget authority. BUDGET FUNCTIONS All activities covered by the Federal budget, in- The agency/function crosswalk on the following cluding R&D, are classified into 20 broad functional page listsby name and function codethe 16 indi- categories. The Federal budget total comprises fund- vidual R&D functions/subfunctions (which are de- ing for these 20 functions. An agency's activities are scribed in this report) funded by agencies. not necessarily included in only one function. Instead, the programs of one agency typically are distributed DATA SOURCES across functions, and each function often includes pro- grams from multiple agencies. No overlap occurs Within the overall Federal budget there is no sepa- rately identified R&D budget as such; nor are most between functions or between the various agency pro- grams within those functions. In a few cases, compo- appropriations for R&D so labeled except in the case of certain program areas such as defense, energy, nents of a major national effort are funded through multiple functions, such as the human genome mapping health, and environment. Consequently, most funds for effort, which is funded under the health and general R&D are not line items in an agency's budget submis- science categories. sion but are included within general program funding. 2 9 AGENCY/FUNCTION CROSSWALK FUNCTIONS S- o Lo U) a) O '5 a) u) a a TO 6 ,t. 7, -- c., cz, ci) co 0 E.7 "E' _ a) E,- 0 c, 0.4 ._ a .E. C:. CCZZ I,- I,- >, - CU a, --- 'E' c Cg CD co 0 ci) g o a:. Ce 0 5 c .0 _c r-- -1 S- o S 0 O I z_ al 0 ----. CD a CD CO 8 E co -a C° 72 03 2 a a- 7) 2 D a 7.- s Lr) u-' a To .(1 8 o) = cii m u, co E., O cp cci:,`' cn co 5 . m E 8 .= G.) .En, E ...-2 1-:0 u, 2 0. .-.."*. -5 -...- ,, = 'ffi a) _ L() o '. o .. = 4) .0 (a ,s cn 1_ a, - ,s_L) co '`' ,_- m 8 8 au., '2 ,c3 *fa to' . = g3 cD 3 = e 9 '- 0 cI a 0 'E u, t: (./) , .. 4. >. Ts 75 a) L4)-- a) Ws . 'Li --.=. R E E E f2 " co cp nc F2 E.' a czY) " a , ,CI3 0 = .g E -= E WI CD 2 0 .g 0 ai 0 0 z 0 z 0 -a 'a) -0. (7) .77i AGENCIES ct$ a) 92 (D w m 1-: D c'Td. co - - 111 As enc for International Develosment Arm Cons of Enineers Civil Dest. of A.riculture Dest. of Commerce De et. of Defense Milita Dell of Education De.t. of Eners De.t. of Health and Human Services De.t. of Housin. and Urban Development Dest. of Justice De.t. of Labor De.t. of the Interior Dest. of State Dest. of the Treasu Deft. of Transortation Deft. of Veterans Affairs Environmental Protection Aenc National Aeronautics and S.ace Administration National Science Foundation Nuclear Res ulato Commission Smithsonian Institution Social Securi Administration Tennessee Valle Authori KEY: = R&D function funded by specified agency SOURCE: Agencies' submission to Office of Management and Budget, Circular No. A-11, MAX Schedule C, "Research and Development Activities"; agency budget justification documents; and supplemental data from the agencies' budget offices. 310 BEST COPY AVAILABLE