Summary of FY2001 Budget Request to Congress - National Science Foundation


EDUCATION AND HUMAN RESOURCES $760,010,000

The FY 2001 Budget Request for the Education and Human Resources (EHR) Activity is $760.01 million, an increase of $36.14 million, or 5.0 percent, over the FY 2000 Current Plan of $723.87 million. Within the FY 2001 Request, $729.01 million are included within the EHR Appropriation, and $31.0 million are H-1B Nonimmigrant Petitioner Fees.

(Millions of Dollars)

 

FY 1999
Actual

FY 2000
Current Plan

FY 2001
Request

Change

Amount

Percent

Educational System Reform

113.18

113.40

109.51

-3.89

-3.4%

Office of Innovation Partnerships

48.72

59.89

48.41

-11.48

-19.2%

Elementary, Secondary and Informal Education

182.63

184.39

191.50

7.11

3.9%

Undergraduate Education

103.72

116.31

140.56

24.25

20.8%

Graduate Education

80.18

78.16

89.45

11.29

14.4%

Human Resource Development

73.32

77.24

81.88

4.64

6.0%

Research, Evaluation and Communication

60.72

61.48

67.70

6.22

10.1%

Subtotal, EHR Appropriation

$662.48

$690.87

$729.01

$38.14

5.5%

H-1B Nonimmigrant Petitioner Fees

0.26

33.00

31.00

-2.00

-6.1%

Total, EHR

$662.74

$723.87

$760.01

$36.14

5.0%

Totals may not add due to rounding.

The EHR Activity defines and implements an investment strategy that advances the vision and goals of NSF's Strategic Plan in areas related to education and human resource development. Its interconnected and comprehensive portfolio of programs--unique within the federal enterprise--encompasses every educational level and type of learning (formal and informal) in all parts of the country. Its programs develop models and strategies for providing all students access to high quality, standards-based educational opportunities and play a major role in helping meet NSF's commitment to developing human resources for the U.S. scientific and technological workforce. EHR programs are subject to continuous improvements based on program reviews, evaluation, dissemination of best practices, and evolving knowledge bases.

People are NSF's most important product. At NSF, placing research and learning hand in hand is our highest priority, and the people involved in our projects represent both the focus of our investments and the most important products of them. Across its programs, EHR provides support for approximately 124,000 people, including teachers, students, researchers, post-doctorates, and trainees. Support for programs specifically addressing NSF's Strategic Goal of "People - A diverse, internationally competitive and globally-engaged workforce of scientists, engineers, and well-prepared citizens" totals nearly $580 million in FY 2001, an increase of 5.4 percent over FY 2000. Moreover, about 37 percent of the funding for research grants - an amount approaching $42 million in FY 2001 - provides support for researchers and students, including more than 25,000 post-doctorates, trainees, and graduate and undergraduate students.

The strength of EHR science, mathematics, engineering, and technology (SMET) programming resides in its ability to integrate research and education, combining the expertise of the research and education communities. Its products include cutting-edge research on learning and teaching that informs education practice; comprehensive, standards-based instructional materials effective in increasing student achievement and providing essential workplace skills; strategies for developing content knowledge and teaching skills of the instructional workforce; and research, development, and implementation of next generation learning technologies.

EHR programs promote NSF goals by supporting:

  • PreK-16 systemic reform to achieve standards-based, inquiry-centered science and mathematics education;

  • Development of resources such as curricula, student assessments, and professional development strategies that support standards-based, K-16 education;

  • Advanced training of scientists, mathematicians, and engineers for the 21st century;

  • Increased scientific and technological literacy for all Americans;

  • Integration of research and education; and

  • Broader participation in SMET by individuals and institutions currently underrepresented in the enterprise.

EHR PreK-12 programs are based on the belief that all students can learn and achieve at much higher levels than are presently attained in science and mathematics. Systemic reform projects treat whole systems and build educational capacity at state, urban, rural, and district levels. Over the years, NSF and participating sites have identified elements critical to successful reform, such as alignment of governance, practice, and resources; adopting strategies informed by local needs; simultaneously implementing standards-based curriculum, instruction, and assessment; pairing implementation with teacher professional development; and building meaningful partnerships that bring needed intellectual and financial resources to school systems. As a result, participants in systemic reform activities are reporting improvement in student achievement in mathematics and science. To illustrate, in Detroit, an urban systemic initiative city, students showed significant gains in academic achievement in science and mathematics on the Michigan Educational Assessment Program between 1994 and 1998. In grade 4 mathematics, the percentage of students scoring at or above the standard increased from 33% to 68%, while in grade 5 science, the increase went from 18% to 33%.

Likewise, the Center for Systems Science Research at Tennessee State University, a Center for Research Excellence in Science and Technology (CREST) project, enabled students and faculty at this minority-serving institution to have the opportunity to participate in a cutting-edge research project while remaining on campus. The project provided funds for support of a small, targetable radiotelescope facility that enabled one of its members, and participating students, to be part of the team that first "saw" planets circling another star system.

In FY 2001, EHR will continue to address emerging needs and opportunities in selected priority areas. The intent is to capitalize on synergy across programs with related goals, challenge the field to develop innovative strategies to serve as models for the nation, and aggressively pursue opportunities for collaboration with other NSF programs, as well as with federal and private organizations.

21 st Century Workforce Initiative

EHR plays a leadership role in NSF's 21 st Century Workforce initiative by virtue of its extensive programming in education and human resource development, and participates in all major aspects of the initiative. EHR funding for the 21 st Century Workforce Initiative totals $140.65 million, an increase of $81.65 million or 138.4% over the FY 2000 level of $59.0 million.

Research on learning and education forms the EHR contribution to the Science of Learning aspect of the initiative. Funding for research on learning and education will increase by $7.90 million over FY 2000 to a total of $38.90 million. This includes $15.0 million toward the Interagency Education Research Initiative, a joint effort between NSF, the Department of Education, and the National Institutes of Health. The EHR research effort will link to an additional $10.0 million from the Research and Related Activities appropriation, for total NSF support of $25 million.

The most effective means of translating increased understanding about learning into practice is through improved education of the instructional workforce.

  • Centers for Learning and Teaching (CLT) form the core for this element of the initiative. CLTs will involve the diverse groups who educate teachers - both pre-service and in-service - in collaborations aimed at enhancing teacher content knowledge and understanding of the latest research on learning processes, while addressing broader participation of currently underrepresented groups, and nurturing a new generation of leaders. An additional $14.0 million will expand prototype efforts initiated in FY 2000 to total $20.0 million in FY 2001.

  • Graduate Teaching Fellows in K-12 Education addresses instructional workforce issues by placing graduate students and advanced undergraduates in K-12 classrooms as resources for teachers. EHR funding for this program will be $24.75 million in FY 2001.

  • Distinguished Teaching Scholars will recognize and reward undergraduate faculty whose integration of research and education enhances the quality of the future workforce and the scientific knowledge of the general public. Initial funding for this program in EHR will be $1.50 million.

  • Other activities related to the effectiveness of instruction include focused attention to teachers in their first few years, middle school science curricula, and assessment. Research using NSF-funded projects as testbeds will help add to our knowledge base about learning and its connections to formal and informal education processes.

In its emphasis on improving achievement for all students in SMET and on building capacity for SMET across the nation, NSF is setting the stage for a concerted effort to broaden and diversify the SMET workforce. At the collegiate, graduate, and professional levels, NSF envisions new strategies for improving diversity while maintaining the suite of current targeted programs that are achieving results. Notably, a $10.0 million Tribal Colleges Program will encourage Native Americans to pursue information technology and other science and technology fields of study, as well as increase the capability of these colleges to offer relevant courses and enhance K-12 education in feeder school systems.

The Advanced Technological Education (ATE) program is the vehicle for addressing near-term workforce requirements. ATE provides opportunities for development of the workforce for technological positions that do not require full undergraduate programs of study. ATE funding will increase by $10.0 million to $39.25 million in FY 2001. New emphases will be on information technology, manufacturing, and teacher development in related areas. The Computer Science, Engineering, and Mathematics Scholarships (CSEMS) program, begun in FY 1999, is another component of EHR's efforts to address near-term workforce needs to aid the nation and its industries in locating talented high-technology workers.

A related activity is the Scholarships for Service effort, which will provide $11.20 million of initial funding to enhance capabilities of the federal workforce in information security. This program will award scholarships for the study of information security in return for a commitment to work for a specified time for the federal government.

Opportunities for electronic dissemination of information on high-quality education materials and pedagogical practices help enhance instruction and broaden participation in the science and engineering enterprise. Networking may be of particular benefit for learners in regions and institutions where local resources are limited. A key element in this effort is development of the National Science, Mathematics, Engineering, and Technology Education (SMETE) Digital Library, to which EHR will contribute $25.0 million in FY 2001, an increase of $12.0 million over FY 2000. This will lay the foundation for a national effort to increase the quality, quantity, and comprehensiveness of Internet-based SMET educational resources.

Information Technology Research

EHR will participate in NSF's Information Technology Research initiative by enhancing support for information technology efforts in the Advanced Technological Education program, and through research related to the use of information technology in educational settings. Support for such information technology research projects will total $2.0 million in FY 2001.

STRATEGIC GOALS

EHR's support for ongoing and new activities contributes to NSF efforts to achieve its strategic goals, as well as to the administration and management of activities necessary to achieve these goals.

SUPPORT BY STRATEGIC GOAL

(Millions of Dollars)

 

FY 200
Estimate

FY 2001
Estimate

Change

Amount

Percent

PreK-12

277.22

267.46

-9.76

-3.5%

Undergraduate

108.94

143.59

34.65

31.8%

Graduate and Professional

92.09

97.00

4.91

5.3%

Other

71.23

71.32

0.09

0.1%

Subtotal, People

$549.48

$579.37

29.89

5.4%

Ideas

117.73

112.48

-5.25

-4.5%

Tools

13.00

25.00

12.00

92.3%

Administration & Management 1

10.66

12.16

1.50

14.1%

Total, EHR Appropriation

$690.87

$729.01

38.14

5.5%

H-1B Nonimmigrant Petitioner Fees 2

33.00

31.00

-2.00

-6.1%

Total, EHR

$723.87

$760.01

$36.14

5.0%

1 Includes only costs charged to the EHR Appropriation.
2 Includes $1.5 million in Administration & Management contract services in both FY 2000 and FY 2001.

 

Ideas

The FY 2001 Budget Request for efforts aimed at discovery at and across the frontiers of science and engineering, and connections to its use in the service of society includes:

Education Research funding increases by $6.13 million to $55.16 million in FY 2001. EHR expands its comprehensive and integrated agenda covering the spectrum from fundamental cognitive research to large-scale efforts implementing educational technologies in support of NSF's emphasis on the Science of Learning. Within this total, the Interagency Education Research Initiative (IERI), an NSF-wide activity in partnership with the Department of Education and the National Institutes of Health, continues to be supported at $15.0 million in EHR.

Centers of Research Excellence in Science and Technology (CREST) remains unchanged at $8.81 million with seven centers and a special effort to help Center faculty become more competitive in other NSF research programs.

Experimental Program to Stimulate Competitive Research (EPSCoR) funding decreases by $2.98 million to $48.41 million in FY 2001. The program continues to strengthen the research infrastructure of participating states through infrastructure awards and co-funding of research projects. Approximately $15.0 to $25.0 million more will be provided through NSF programs within the Research and Related Activities Appropriation to enable EPSCoR researchers to participate more fully in NSF research activities, bringing total NSF support for EPSCoR in FY 2001 up to $73 million.

People

EHR's principal contributions to meeting NSF's goals come in developing a diverse, internationally-competitive workforce of scientists and engineers as well as citizens who are well-prepared to face an increasingly technological world. EHR programs aimed at progress toward this goal cover all educational levels and lay the groundwork for increasing the participation of underrepresented groups.

PreK-12 Activities

The FY 2001 Budget Request includes $267.46 million for PreK-12 activities, a decrease of $9.76 million from FY 2000. PreK-12 programs are operated within the Educational System Reform; Elementary, Secondary, and Informal Education; and the Undergraduate Education Subactivities. Evaluation and monitoring systems within the Research, Evaluation, and Communication Subactivity assess program impact and operational effectiveness.

Centers for Learning and Teaching (CLT): As a major new activity, CLTs will address comprehensive, long-term approaches to learning and teaching. CLTs will focus on two components of quality SMET education: strengthening the content knowledge of the diverse science and mathematics teaching corps (PreK-12 and higher education) and developing the next generation of experts to guide the development of instructional materials, classroom and large-scale assessments, education research, evaluation, and informal education. Two to three prototype projects in FY 2000 will inform subsequent CLT program development. The FY 2001 Request of $20.0 million will allow for the establishment of an additional five or six centers to serve multiple groups and geographic regions.

Funding to initiate the CLTs as well as to expand the National SMETE Digital Library (NSDL) will be offset by necessary decreases in other preK-12 education programs within EHR.

  • Systemic Reform of PreK-12: In FY 2001, funding of large-scale systemic reform for states, cities, and rural areas totals $109.51 million, a decrease of $3.89 million from the previous year. The consolidation of programs will enable focused efforts on implementation of reform in smaller educational systems, and program innovations to strengthen the interface between the K-12 and higher education sectors.

  • Urban Systemic Program (USP) funding remains constant at $86.40 million. In FY 2001, up to 15 new awards are anticipated. Over 90,000 teachers in 19 cities have recently participated in professional development, and 3.4 million students benefited directly from the program.

  • Statewide Systemic Initiatives (SSI) program funding decreases by $4.40 million to $9.60 million. Exemplary reform efforts continue in six projects, and a network currently under formation will foster communication across 21 states and the Commonwealth of Puerto Rico.

  • Rural Systemic Initiatives (RSI) program funding increases $510,000 to total $13.51 million. In FY 2000, RSI continues support for seven implementation sites; additional district-based awards focused on implementation are anticipated. Continued focus will be placed on implementing distance learning through satellite, fiber optics, and microwave technology.

Teacher Enhancement (TE) funding in EHR decreases by $3.69 million, to total $87.40 million. TE efforts expand the nation's ability to strengthen its K-12 instructional workforce, creating materials for training teachers, and providing leadership training for in-service teachers and school administrators. A special component of the TE program supports Local Systemic Change (LSC), which engages school districts in implementing standards-based curricula through professional development strategies that encompass entire instructional workforces. This alternative approach to reform creatively involves school systems, universities, informal science performers, and the private sector. Focused FY 2001 efforts within the framework of TE will target areas of national need. These activities will address the disciplinary knowledge of teachers teaching out of their field of expertise, and provide mentors for teachers who are in their initial years of teaching.

Collaboratives for Excellence in Teacher Preparation (CETP) funding decreases by $12.53 million, to total $14.40 million. CETP addresses PreK-12 teacher preparation through meaningful collaborations between SMET disciplinary and education departments at universities and colleges. Most Collaboratives interact with state, urban and/or rural systemic initiatives; many involve state policy bodies in some formal capacity. Part of the decrease in CETP funding reflects increased support for the Centers for Learning and Teaching.

Instructional Materials Development (IMD) funding is reduced by $3.20 million, to total $33.80 million. IMD projects develop rigorous, validated standards-based comprehensive curricula and instructional materials for K-12 science and mathematics education. Special emphasis is placed on resource centers that foster awareness and implementation of standards-based curriculum models, as well as development of much needed standards-based science performance assessments.

Undergraduate Activities

The FY 2001 Budget Request for undergraduate support is $143.59 million. Support is primarily in the Undergraduate Education, Human Resource Development, and Research, Evaluation, and Communication Subactivities. Major undergraduate programs include:

Advanced Technological Education (ATE) funding increases by $10.0 million to $39.25 million. ATE's goal is to strengthen the science and mathematics preparation of technicians for the high-performance workplace. ATE currently supports 11 Centers and about 160 smaller-scale projects. Emphasis is placed on adaptation and implementation of exemplary curricula or programs. Currently, ATE involves over 1,000 faculty and 300 teachers in developmental activities. Over 1,000 large, medium, and small companies are actively involved in six Centers, contributing substantial funds, personnel release time, and expertise. The additional funding will allow for emphases in information technology and manufacturing in the FY 2001 competition, along with teacher preparation in related areas. The ATE program continues its emphasis on supporting strategies and methods that will have an impact on near-term workforce needs.

Scholarships for Service (SFS) is a new program to engage students in developing the skills needed to provide high-quality security for the nation's information infrastructure, particularly in the federal sector. This interagency effort is initiated at $11.20 million in EHR.

Course, Curriculum, and Laboratory Improvement (CCLI) funding increases $2.08 million, to total $49.21 million. CCLI focuses on institution-wide implementation of quality instruction in classrooms and laboratories. The funding level includes $3.0 million for work in assessment of student performance and program quality at the undergraduate level.

Distinguished Teaching Scholars (DTS), a new program in FY 2001, will recognize and reward undergraduate faculty whose integration of research and education enhances the quality of the future workforce and understanding of science by the general public. Initial funding for DTS is $1.50 million in EHR.

Louis Stokes Alliances for Minority Participation (LSAMP) funding remains at $26.55 million within EHR, level with FY 2000. LSAMP is intended to raise the achievement and number of underrepresented minority degree recipients in undergraduate science, mathematics, and engineering. Projects utilize the knowledge, resources and capabilities of academic, federal, industrial, and private sectors. LSAMP supports 27 alliances of two-and four-year colleges and universities

Minority-Serving Institutions funding increases $10.62 million to total $20.50 million in EHR. A $10.0 million program for Tribal Colleges will encourage Native Americans to pursue information technology and other science and technology fields of study, as well as increase the capability of these colleges to offer relevant science and technology courses and enhance K-12 education in feeder school systems. Historically Black Colleges and Universities-Undergraduate Program (HBCU-UP) funding increases by $620,000 in EHR to total $8.0 million. NSF will also provide an additional $3.0 million for HBCU-UP through R&RA for total NSF funding of $11.0 million. HBCU-UP is designed to strengthen research infrastructure and education in participating institutions and contributes to the goal of increasing numbers of minorities obtaining SMET baccalaureate degrees. The Model Institutions of Excellence program, a Foundation-wide effort, is funded at $2.50 million in EHR.

Graduate and Professional Activities

The FY 2001 Budget Request provides support for graduate and professional activities totaling $97.0 million, an increase of $4.91 million. Support is primarily located within the Graduate Education and Human Resource Development Subactivities. Programs include:

Graduate Research Fellowship (GRF) funding decreases by $490,000, to total $51.75 million. In order to increase the student stipend, the number of new offers to Fellows will be decreased from about 900 to approximately 850 in FY 2001. The total number of active Fellows is about 2,350. Fellowships recognize and support the nation's most promising science, mathematics, and engineering graduate students. Within this program, high priority is placed on maintaining diversity of the applicant and awardee pools.

Graduate Teaching Fellows in K-12 Education (GK-12) funding in EHR increases by $15.75 million to a total of $24.75 million. GK-12 supports graduate and advanced undergraduate SMET students as content resources for K-12 teachers in the classroom. GK-12 Fellows will assist teachers in the science and mathematics content of their teaching, demonstrate key science and mathematics concepts, and gain necessary pedagogical skills.

Integrative Graduate Education and Research Training (IGERT) funding decreases $2.50 million to total $11.85 million in EHR. IGERT provides support for universities to engage graduate students in interdisciplinary science and engineering research training programs. An additional $19.44 million is provided through the R&RA account for IGERT, for total Foundation support of $31.29 million.

Minority Graduate Education (MGE) funding totals $11.70 million, to refine and implement innovative strategies for increasing substantially the number of minority science, mathematics, and engineering doctorates, and their representation in the professoriate.

Postdoctoral Fellowships in Science, Mathematics, Engineering, and Technology Education (PFSMETE) decreases from $2.57 million to $1.0 million. FY 2001 funding supports 20 fellowships awarded in previous years. Beginning in FY 2001, support for postdoctoral activity will be concentrated directly on research awards and the new Centers for Learning and Teaching program.

Efforts Across Education Levels

Informal Science Education (ISE) funding remains unchanged at $46.0 million, investing in activities across a variety of media including museums, print, film, broadcast, and community-based organizations that increase appreciation and understanding of science and technology. ISE continues to increase access to informal learning opportunities in inner cities and rural areas; strengthens linkages between informal and formal learning experiences; and works to disseminate the latest scientific findings to the public.

Program Evaluation and Accountability: In FY 2001, evaluation efforts within the Research, Evaluation, and Communication (REC) Subactivity is funded at $12.54 million. Growing emphasis is placed on building robust data systems that can fully respond to Government Performance and Results Act (GPRA) reporting requirements. Full-scale evaluation activities of selected major ongoing programs, specialized implementation studies, and development of evaluations for new activities will continue to identify best practices.

Scientific and Technological Literacy: NSF's Strategic Plan focuses agency efforts on promoting scientific and technological appreciation and understanding, enabling citizens to make informed decisions on matters that affect their lives and the nation's productivity. EHR efforts broadly serve to attract children and young adults into scientific careers and enhance life-long learning opportunities for those entering non-science professions. While formal K-16 education activities support this objective, other targeted activities include informal science (outside-the-classroom) education for children and their families and dissemination activities that enable all Americans to appreciate the scientific discovery and education process.

Program for Gender Equity (PGE) supports education and research activities that foster increased participation of women and girls in SMET. Funding is maintained at $9.52 million.

Program for Persons with Disabilities (PPD) supports efforts to increase the participation and achievement in SMET education and research of individuals with disabilities. Emphasis is placed on projects building and strengthening alliances among higher education, K-12 educational systems, and business and industry. Funding is maintained at $4.50 million.

Presidential Awards for Excellence in Science, Mathematics, and Engineering Mentoring (PAESMEM) administered on behalf of the White House by the National Science Foundation, seeks to identify outstanding mentoring efforts/programs designed to enhance the participation of groups underrepresented in science, mathematics, and engineering. Funding is maintained at $300,000.

Tools

In FY 2001, EHR will expand support for developing shared tools for research and education. EHR support for the National Science, Mathematics, Engineering, and Technology Education (SMETE) Digital Library (NSDL) increases by $12.0 million to a total of $25.0 million. NSDL lays the foundation for a national resource to increase the quality, quantity, and comprehensiveness of Internet-based SMET educational resources while enabling virtual learning communities that link students, teachers, and faculty with each other and to a wide array of standards-based educational materials. The FY 2001 increase will support continued efforts in developing the NSDL.

Administration and Management

Administration and Management provides for administrative activities necessary to enable NSF to achieve its strategic goals. This includes the cost of Intergovernmental Personnel Act appointments, contractors performing administrative functions and, in FY 2001, travel by staff in the program offices.

BUDGET PRESENTATION

NSF has previously organized its budget presentation around four key program functions - Research Project Support, Research Facilities, Education and Training, and Administration and Management. In order to link the FY 2001 Budget Request to the NSF Strategic Plan, we have organized the FY 2001 Budget Request around the strategic outcome goals of Ideas, People and Tools, as well as the Administration and Management activities necessary to achieve these goals. The table below provides an FY 2001 crosswalk for Education and Human Resources Activity between funding for the strategic goals and the key program functions.

(Millions of Dollars)

 

Ideas

People

Tools

A&M Total,

EHR

Research Project Support

112.48

 

 

 

112.48

Education & Training

 

608.87

25.00

 

633.87

Administration & Management

 

 

 

13.66

13.66

Total, EHR

$112.48

$608.87

$25.00

$13.66

$760.01

 

Number of People Involved in EHR Activities

 

FY 1999
Actual

FY 2000
Estimate

FY 2001
Estimate

Senior Researchers

5,150

5,510

5,720

Other Professionals

2,050

2,190

2,280

Postdoctorates

280

290

300

Graduate Students

4,280

4,580

4,830

Undergraduate Students

18,600

19,360

20,140

K-12 Students

11,720

10,670

10,670

K-12 Teachers

89,300

82,500

80,440

Total Number of People

131,380

125,100

124,380

 

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