During the period February through November 2000, a total of 30 Federal agencies and their subdivisions90 individual respondentssubmitted data in response to the National Science Foundation's (NSF's) annual Survey of Federal Funds for Research and Development (Federal funds survey), which was distributed in February 2000. The agencies reported their data as obligations and outlays incurred, or expected to be incurred, regardless of when the funds were appropriated or whether they were identified in the respondents' budgets specifically for research and development (R&D) activities.
Only those agencies that had obligations in the variables represented by a particular table appear in that table. For a complete list of the Federal agencies that have been included in the Federal funds survey, refer to appendix A. For additional notes associated with these agencies, refer to appendix B.
The definitions are essentially unchanged from those used in past Federal funds surveys.
Obligations represent the amounts for orders placed, contracts awarded, services received, and similar transactions during a given period, regardless of when the funds were appropriated and when future payment of money is required.
Outlays represent the amounts for checks issued and cash payments made during a given period, regardless of when the funds were appropriated.
Obligations and outlays cover all transactions that occurred in fiscal year 1999 and those estimated for fiscal years 2000 and 2001.
The data include all Federal funds available to an agency that the agency received or expects to receive from direct appropriations, trust funds, special account receipts, corporate income, or other sources, including funds appropriated to the President.
The amounts shown for each year reflect obligations or outlays for that year regardless of when the funds were originally authorized or received and regardless of whether they were appropriated, received, or identified in the agency's budget specifically for research, development, or R&D plant.
In reporting its obligations or outlays, each agency includes the amounts transferred to other agencies for support of research and development. The receiving agencies do not report funds transferred to them. Similarly, a subdivision of an agency that transfers funds to another subdivision within that agency reports such obligations or outlays as its own.
Obligations and outlays for R&D performed for an agency in foreign countries include all funds available to the agency for this purpose, including funds separately appropriated for special foreign currency programs.
Funds reported for research and development reflect full cost coverage. In addition to costs of specific R&D projects, the applicable overhead costs are also included. The amounts reported include the costs of planning and administering R&D programs, laboratory overhead, pay of military personnel, and departmental administration.
In basic research the objective of the sponsoring agency is to gain more complete knowledge or understanding of the fundamental aspects of phenomena and of observable facts, without specific applications toward processes or products in mind.
In applied research the objective of the sponsoring agency is to gain knowledge or understanding necessary for determining the means by which a recognized need may be met.
To better differentiate between that part of the Federal R&D budget, which supports "science and key enabling technologies" (including for military and nondefense applications) and that which primarily concerns "testing and evaluation" (of mostly defense-related systems), NSF now collects from DoD development dollars in two categories, advanced technology development and major systems development.
Within DoD's research categories, advanced technology development is classified as 6.3A. Major systems development is classified as 6.3B through 6.7 and includes demonstration and validation, engineering and manufacturing development, management and support, and operational system development.
The illustrative disciplines are intended to be guidelines, not sharp definitions; they represent examples of disciplines generally classified under each detailed field. A discipline under one detailed field may be classified under another detailed field when the major emphasis is elsewhere. Research in biochemistry, for example, might be reported as biological, agricultural, or medical, depending on the orientation of the project. Human biochemistry would be classified under biological, but animal biochemistry or plant biochemistry would fall under agricultural. In no case is the research reported under more than one field. No double-counting is intended or allowed.
Biological (excluding environmental): anatomy; biochemistry; biology; biometry and biostatistics; biophysics; botany; cell biology; entomology and parasitology; genetics; microbiology; neuroscience (biological); nutrition; physiology; zoology; other biological, n.e.c.
Environmental biology: ecosystem sciences; evolutionary biology; limnology; physiological ecology; population and biotic community ecology; population biology; systematics; other environmental biology, n.e.c.
Agricultural: agronomy; animal sciences; food science and technology; fish and wildlife; forestry; horticulture; phytopathology; phytoproduction; plant sciences; soils and soil science; general agriculture; other agriculture, n.e.c.
Medical: dentistry; internal medicine; neurology; obstetrics and gynecology; ophthalmology; otolaryngology; pathology; pediatrics; pharmacology; pharmacy; preventive medicine; psychiatry; radiology; surgery; veterinary medicine; other medical, n.e.c.
Life sciences, n.e.c.
Biological aspects: animal behavior; clinical psychology; comparative psychology; ethology; experimental psychology
Social aspects: development and personality; educational, personnel, and vocational psychology and testing; industrial and engineering psychology; social psychology
Psychological sciences, n.e.c.
Astronomy: laboratory astrophysics; optical astronomy; radio astronomy; theoretical astrophysics; X-ray, gamma-ray, and neutrino astronomy
Chemistry: inorganic; organic; organometallic; physical
Physics: acoustics; atomic and molecular; condensed matter; elementary particle; nuclear structure; optics; plasma
Physical sciences, n.e.c.
Atmospheric sciences: aeronomy; extraterrestrial atmospheres; meteorology; solar; weather modification
Geological sciences: engineering geophysics; general geology; geodesy and gravity; geomagnetism; hydrology; inorganic geochemistry; isotopic geochemistry; laboratory geophysics; organic geochemistry; paleomagnetism; paleontology; physical geography and cartography; seismology; soil sciences
Oceanography: biological oceanography; chemical oceanography; marine geophysics; physical oceanography
Environmental sciences, n.e.c.
Mathematics: algebra; analysis; applied mathematics; foundations and logic; geometry; numerical analysis; statistics; topology
Computer sciences: computer and information sciences (general); design, development, and application of computer capabilities to data storage and manipulation; information sciences and systems; programming languages; systems analysis
Mathematics and computer sciences, n.e.c.
Astronautical: aerospace; space technology
Chemical: petroleum; petroleum refining; process
Civil: architectural; hydraulic; hydrologic; marine; sanitary and environmental; structural; transportation
Electrical: communication; electronic; power
Mechanical: engineering mechanics
Metallurgy and materials: ceramic; mining; textile; welding
Engineering, n.e.c.: agricultural; bioengineering; biomedical; industrial and management; nuclear; ocean; systems
Anthropology: applied anthropology; archaeology; cultural and personality; social and ethnology
Economics: economic systems and development; econometrics and economic statistics; history of economic thought; industrial, labor, and agricultural economics; international economics; macroeconomics; microeconomics; public finance and fiscal policy; theory
Political science: area or regional studies; comparative government; history of political ideas; international relations and law; national political and legal systems; political theory; public administration
Sociology: comparative and historical; complex organizations; culture and social structure; demography; group interactions; social problems and social welfare; sociological theory
Social sciences, n.e.c.: linguistics; research in education; research in history; research in law (e.g., attempts to assess impact on society of legal systems and practices); socioeconomic geography
NOTE: Intramural activities cover not only the actual intramural R&D performance, but also the costs associated with the planning and administration of both intramural and extramural programs by Federal personnel. Intramural activities also include the costs of supplies and equipment, essentially of an "off-the-shelf" nature, that are procured for use in intramural R&D. For example, the purchase from an extramural source of an operational launch vehicle (i.e., one that has gone beyond the development or prototype stage) that is used for intramural performance of R&D is reported as a part of the cost of intramural R&D.
In general, all of the following criteria are met by an organization that is included in the FFRDC category:
While completing the survey each year, agency respondents make revisions to their estimates for the latest 2 years of the previous report, in this case fiscal years 1999 and 2000. Such revision is part of the budgetary cycle. From time to time, survey submissions also reflect reappraisals and revisions in classification of various aspects of agencies' R&D programs. When such revisions occur, NSF requires the agencies to provide revised prior-year data to maintain consistency and comparability with the most recent concepts.
The scope of the Federal funds survey has changed over time, and the survey instrument has been revised accordingly. The most recent changes are described in the following paragraphs.
Since the Volume 40 (FYs 1990--1992) survey cycle, the Department of Defense (DoD) has reported research obligations separate from the development obligations for tables on, Obligations for research and development, by State and performer (that is, Obligations for research, by State and performer, and Obligations for development, by State and performer, were specially created for DoD). The additional detail provided by DoD highlights the following circumstances that are specific to DoD:
During the Volume 44 (FYs 1994--1996) survey cycle, the Director for Defense Research and Engineering (DDR&E) at DoD requested that NSF further clarify the true character of DoD's R&D program, particularly as it compares with other Federal agencies, by adding more detail to development obligations reported by DoD respondents. Specifically, DoD requested that NSF allow DoD agencies to report development obligations in two separate categories, advanced technology development and major systems development.
The reasoning behind DDR&E's request for the additional development categories is best explained by the following excerpt from a letter written by Robert V. Tuohy, Chief, Program Analysis and Integration at DDR&E, to John E. Jankowski, Program Director, Research and Development Statistics Program, SRS:
The DoD's R&D program is divided into two major pieces, Science and Technology (S&T) and Major Systems Development. The other Federal agencies' entire R&D programs are equivalent in nature to DoD's S&T program, with the exception of the Department of Energy and possibly NASA. Comparing those other agency programs to DoD's program, including the development of weapons systems such as F-22 Fighter and the New Attack Submarine, is misleading.
At several annual issues workshops held during FYs 1992--1996, NSF learned from survey respondents that there were certain Federal funds survey data items for which reliable data were difficult to obtain and report. As a result, NSF began to consider removing certain items from the Federal funds survey instrument. The Volume 42 Detailed Statistical Tables publication was distributed with a flier notifying data users that NSF was considering eliminating several items from future volumes of the document. Data users were asked to review the list of affected tables shown on the flier, and to comment on the proposed eliminations to NSF.
Prior to the publication of the Volume 43 (FYs 1993--1995) edition of the Detailed Statistical Tables, NSF decided to remove 54 tables from the document that depicted data on two of the items slated for elimination: data for the special foreign currency program, and detailed field of S&E data for estimated outyears. NSF continued to collect data from Federal agencies for these items through Volume 45, but eliminated the special foreign currency program and outyears' detailed field of S&E lines on the survey instrument beginning with the Volume 46 (FYs 1996--1998) survey cycle. A special flier was included in the Volume 46 mailout packet that listed the data items that were no longer required.
NSF also decided to remove two tables depicting data on foreign performers by region, country, and agency prior to publication of the Volume 43 edition of the Detailed Statistical Tables. These tables have been reinstated since Volume 46.
Prior to the Volume 48 survey cycle, the National Science Foundation's Division of Science Resources Studies updated the list of foreign performers in the Federal funds survey to match the list of countries and territories in the 1996 UNESCO Statistical Yearbook.
Funds for research and development were reported on a 3-year basis comparable with the 2000 budget, upon which the data were based. The amounts reported for each year, as already stated, are the obligations or outlays incurred in that year, regardless of when funds were authorized or received by an agency and regardless of whether the funds were identified in the agency's budget specifically for research, development, R&D plant, or some combination of the three.
The respondents reconciled the data reported to the Federal funds survey with the amounts for R&D they reported under Max Schedule C to the Office of Management and Budget for the 2001 President's budget.
Some agencies are not able to report the full costs of research and development. For example, the headquarters costs of planning and administering R&D programs of the DoD (estimated at a fraction of 1 percent of the agency's R&D total) are excluded, because this agency has stated that identification of the amounts is impracticable.
R&D plant data are also underreported to some extent because of the difficulty encountered by some agencies, particularly DoD and NASA, in identifying and reporting these data. DoD's respondents report obligations for the R&D plant funded under the agency's construction appropriation, but they are able to identify only a small portion of the R&D plant support that is within R&D contracts funded from DoD's appropriation for research, development, testing, and evaluation. Similarly, NASA respondents cannot separately identify the portions of industrial R&D contracts that apply to R&D plant; R&D plant data are subsumed in the R&D data covering industrial performance. NASA R&D plant data for other performing sectors are reported separately.