\\ shot X$4-N NS 1/4: PAY DE IN den Federal R&D Funding OW #35 b y Budget Function: Fiscal Years 1992-94 Science and Engineering Indicators Program Division of Science Resources Studies National Science Foundation Data Update NSF 93-311 Federal R&D Funding by Budget Function: Fiscal Years 1992-94 July 1993 Project Officer: John E. Jankowski, Jr. Science and Engineering Indicators Program Division of Science Resources Studies National Science Foundation Data Update : NSF 93-311 Suggested Citation National Science Foundation, Federal R&D Funding by Budget Function, Fiscal Years 1992-94, by 3.E. Jankowski, Jr., NSF 93-311, (Washington DC, 1993). Availability of Publications Single copies are available free of charge from the Division of Science Resources Studies, National Science Foundation, WashingDCt 2o05n50 . If you are a user of electronic mail and have access to either BITNET or Internet, you may order publications electronically. BITuserNs shEould Taddr ess requtoe pusbs@tnsf . Internet users should send requests to [email protected]. In your request, include the NSF publication number and title, number of copies, your name, and a complete mailing address. Printed publicamtayi oalnsos b e ordered by fax (703/644-4278). Publications should be received within three weeks after receipt of request. See roman numeral page four for availability of science and technology data on the Science arid Technology Information System (STIS). NSF'S Telephonic Device for the Deaf: (202) 357-7492 ™ Acknowledgments This report was prepared by John E. Jankowski, Kenneth M. Brown, Director, SRS, provided Jr., Senior Science Resources Analyst, Science & overall guidance. Engineering Indicators (IND) Program, Division of Science Resources Studies (SRS), National SRS would like to thank the many program and Science Foundation. budget offices at the agencies that provided information for this report. General guidance and review were provided by Jennifer Bond, Program Director, IND; T m Federal R&D Funding by Budget Function: Fiscal Years 1992-94 STIS The Science & Technology Informanon Svstem at the Nanonail Science Foundanon What is STIS? Getting Started With Documents Via E-Mail STIS is an electronic dissemination system that provides Send a message to [email protected] (Internet) or fast. easy access to National Science Foundation (NSF) publica- stisserv@NSF (BITNET). The tex of the message should be as tions. There is no cost to you except for possible long-distance follows (the Subject line is ignored): phone charges. The service is available 24 hours a day, except get index for brief weekly maintenance periods. You will receive a list of all the documents on STIS and instructions for retrieving them. Please note that all requests for What Publications are Available? electronic documents should be sent to stisserv. as shown above. 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If your campus has access to these Internet information resources, you can use your local client software to search and download NSF publications. If you have the capability, it is the easiest way to access STIS. NSF 91-10 Revised 10/25/92 \/ List of Tables Overview Tables Table 1. | Federal R&D budget authority, by budget function ........................ 5 Table 2. Budget authority for basic research, by budget function ..................... 6 Table 3. | R&D budget authority as a percentage of each function’s total budget authority .... 7 Table 4. Distribution of total R&D budget authority, by function ..................... 8 Table 5. | Federally funded R&D for national defense and civilian functions: Nee een Se 9 R&D, by Specific Function Table 6. R&D budget authority for national defense (050) ......................... 10 Table 7. Total obligational authority (TOA) for Department of Defense (DoD) research, development, test, and evaluation (RDT&E) budget ............ 11 Table 8. R&D budget authority for health (550) .................0..0........... 13 Table 9. R&D budget authority for the National Institutes of Health.................. 14 Table 10. R&D budget authority for space research and technology (252) ............... 15 Table 11. R&D budget authority for general science and basic research (251) ............ 16 Table 12. R&D budget authority for energy (270) .................2220000220005- 17 Table 13. R&D budget authority for natural resources and environment (300) ............ 18 Table 14. R&D budget authority for other natural resources (306) .................... 19 Table 15. R&D budget authority for agriculture (352)..........................4.. 20 Table 16. R&D budget authority for transportation (400) ...............0....0..54.. 2) Table 17. R&D budget authority for education, training, employment, a eeuuueaus 22 Table 18. R&D budget authority for international affairs (151) ...................... 23 Table 19. R&D budget authority for commerce and housing credit (376) ............... 24 Table 20. R&D budget authority for veterans’ benefits and services (700) ............... 24 Table 21. R&D budget authority for community and regional development (450) ......... 25 Table 22. R&D budget authority for general government (800) ...................... 25 Table 23. R&D budget authority for administration of justice (750) .... 2... ............ 26 Table 24. R&D budget authority for income security (600) ...... aaa 27 Historical Tables Table 25a. Federal R&D obligations, by selected budget function: fiscal years 1955-60 ..... 28 Table 25b. Federal R&D obligations, by selected budget function: fiscal years 1961-66 ..... 28 Table 25c. Federal R&D obligations. by budget function: fiscal years 1967-72 ....... 29 Table 25d. Federal R&D obligations, by budget function: fiscal years 1973-77 ........... 30 Table 25e. Federal R&D budget authority, by budget function: fiscal years 1978-83 ....... 31 Table 25f. Federal R&D budget authority, by budget function: fiscal years 1985-89 ....... 32 Table 25g. Federal R&D budget authority, by budget function: fiscal years 1990-94 ....... 33 Table 26a. Budget authority for basic research, by budget function: fiscal years 1978-83 .... 34 Table 26b. Budget authority for basic research, by budget function: fiscal years 1984-89 .... 35 Table 26c. Budget authority for basic research, by budget function: fiscal years 1990-94 .... 36 Federal R&D Funding by Budget Function: Fiscal Years 1992-94 Vv Notes to the Reader This annual report contains information 199]-93 (NSF 92-318) for a descriptive over- on Federal funding of the research and develop- view of recent trends in Federal R&D funding ment (R&D) components of agency programs, as and for more detailed information on specific proposed by the administration for fiscal year programs being emphasized in the budget. (FY) 1994. R&D data are classified inte the same Federal budget function categories used in the Budget of the United States Government, Definitions Fiscal Year 1994. Proposed FY 1994 funding levels are for budget authority (defined below), Research and Development which is the basis for initial congressional action. Detailed data are also included on actual Federal As used in this report, R&D refers to funding of R&D in FY 1992 and on estimated research—both basic and applied—and develop- funding of R&D in FY 1993.' ment activities in the sciences and engineering. * Research is systematic study directed to- Report Organization ward fuller scientific knowledge or under- standing of the subject studied. Research is These notes introduce the basic budget classified as either basic or applied accord- terms and concepts used in this report. The rest ing to the objective of the sponsoring of the report consists of tables. Tables | through agency. 4 provide an overview of Federal R&D funding within the context of requested total Federal bud- ~ In basic research the objective of the get authority. Table 5 details Federal R&D sponsoring agency is to gain fuller funding for national defense and civilian pro- knowledge or understanding of the fun- grams in current and constant 1987 dollars for damental aspects of phenomena and of FYs 1955-94. observable facts without specific applica- tions toward processes or products in Tables 6 through 24 provide a summary mind. of R&D activities conducted within eacli Federal budget function. The remaining tables present — In applied research the objective of the historical data series for (1) Federal R&D fund- sponsoring agency is to gain knowledge ing by function for FYs 1955-94 and (2) Federal or understanding necessary for determin- funding of basic research for FYs 1978-94. ing means by which a recognized and specific need may be met. This report provides updated tables on Federal R&D funding by functional category. * Development is the systematic use of the Readers are referred to last year’s report, Federal knowledge or understanding gained from R&D Funding by Budget Function: Fiscal Years research directed toward the production of useful materials, devices, systems, or meth- ods, including design, development, and improvement of prototypes and new pro- ' FY 1993 data do not include supplementary spending cesses. It excludes quality control, routine proposed under President William J. Clinton's stimulus product testing, and production. package, which Congress subsequently did not pass. Federal R&D Funding by Budget Function: Fiscal Years 1992-94 1 Budget Functions Funds for conducting R&D include those for personnel, program supervision, and admin- istrative support directly associated with R&D All activities covered by the Federal activities. Expendable or movable equipment budget, including R&D, are classified into 20 needed to conduct R&D—e.g., microscopes or broad functional categories; the Federal budget spectrometers—is also included. total comprises funding for these 20 functions. An agency’s activities are not necessarily includ- This report does not include data on ed in only one function. Instead, the prograins R&D plant funds—i.e., funds for R&D facilities of ome agency typically are distributed across such as reactors, wind tunnels, or particle accel- functions, and each function typically includes erators, or the construction, repair, or alteration programs from multiple agencies. No overlap of such facilities. Also excluded are all non- occurs between functions or between the various R&D activities performed within budget func- agency programs within those functions. In a tions that conduct R&D and all functions in few cases, components of a major national effort which no R&D is conducted. are funded through multiple functions, such as the National Aerospace Plane Program (defense and transportation) or the human genome map- Budget Authority, Obligations, and Outlays ping effort (health and energy). The Federal R&D funding data presented Notably, each specific R&D activity is here are, with a few noted exceptions, provided assigned to only one function area, consistent in budget authority. Budget authority is used with the official codes used in budget docu- because it is the initial budget parameter for ments, even though the R&D activity may congressional action on the President's proposed address several functional concerns. For exam- budget. Budget authority imposes a ceiling on ple, except for those of the Corps of Engineers, obligations and outlays; obligations and outlays all R&D activities sponsored by the Department flow from budget authority. of Defense (DoD) are classified as defense, even though some activities have secondary objectives * Budget authority is the primary source of such as space or health. Moreover, only R&D legal authorization to enter into obligations funded by the Department of Health and Human that will result in outlays. Budget authority Services and the Department of Labor is classi- is most commonly granted in the form of fied in the health function category. Yet some appropriations by the congressional commit- R&D funding from, at least, DoD and the tees assigned to determine the budget for Departments of Energy and Veterans Affairs has each function. a major health component. * Obligations represent the amounts for orders The functional categories and definitions placed, contracts awarded, services received, used in this report are the same as those used in and similar transactions during a given peri- the Federal budget, with one exception: R&D od, regardless of when the funds were appro- activities categorized as general science, space, priated and when the future payment of and technology (function 250) are reported money is required. separately here. Subfunction 251 contains R&D activities for general science and basic research, * Outlays represent the amounts for checks and subfunction 252 contains R&D activities for issued and cash payments made during a space research and technology. Not all federally given period, regardless of when the funds sponsored basic research is categorized in func- were appropriated or obligated. 2 Federal R&D Funding by Budget Function: Fiscal Years 1992-94 tion 251, however; some basic research is includ- than $10 million to submit data on their R&D ed in the remaining 19 functional categories. programs as part of their annual budget submis- sions. Specifically, the agencies provide Five Federal budget functions—medicare data—-reported, in accordance with OMB Circu- (function 570), social security (function 650), net lar A-11, on an Exhibit 44A, “Research and interest (function 900), allowances (function Development Activities”—on funding levels for 920), and undistributed offsetting receipts (func- basic research, applied research, development, tion 950)—have no R&D components. Conse- R&D facilities, and R&D support to universities quently, they are not discussed in this report, and colleges. except where R&D is described as a proportion of total Federal budget authority. The data in this report represent agen- cies’ best estimates of actual and proposed The Agency/Function Crosswalk on the Federal funding for R&D collected during the following page lists—by name and function period March 23 through May 13, 1993. These code—the 16 individual R&D functions funded data are based primarily on information provided by agencies. to OMB by 21 agencies and account for more than 99 percent of all federally sponsored R&D activities. Also incorporated in this report ts Data Sources R&D information that became available from the individual agencies after the administration’s Within the overall Federal budget, there budget was prepared and reported in the Budget is no separately identified R&D budget as such; of the United States Government. Such informa- tion consists of agency budget justification nor are most appropriations for R&D so labeled documents submitted to Congress and supple- except in the case of certain program areas in defense, energy, health, and environment. mental, program-specific information obtained from agency budget and program staff through Consequently, most funds for R&D are not line mid-May 1993. Therefore, budget numbers for items in an agency’s budget submissicn, but are included within general program funding. To individual activities, programs, or agencies may differ slightly from those published in the Presi- determine funding for Federal R&D, the Office of Management and Budget (OMB) requires dent’s budget or agency budget documents. agencies whose annual R&D funding is greater Federal R&D Funding by Budget Function: Fiscal Years 1992-94 AGENCY/FUNCTION CROSSWALK FUNCTIONS AGENCIES Department of Defense (Military) Dept. of Health and Human Services x x x Nat'l Aeronautics and Space Admin. x x Department of Energy x xj X National Science Foundation x Department of Agriculture x | xX Department of the Interior x Environmental Protection Agency x Department of Transportation x Department of Commerce x x | xX Department of Veterans Affairs x Agency for int'l Development x Department of Education 7 Nuclear Regulatory Commission x Smithsonian Institution x Tennessee Valley Authority x Department of the Treasury x x Corps of Engineers-Civil Works x Department of Justice 4 Department of Labor x a x Dept. of Housing and Urban Devel. x 4 Federal R&D Funding by Budget Function: Fiscal Years 1992-94