Federal Funds Survey


A| B| C| D| E| F| G| H| I| J| K| L| M|

N| O| P| Q| R| S| T| U| V| W| X| Y| Z

Agency and subdivision TOP

An agency is an organization of the Federal Government whose principal executive officer reports to the President. The Library of Congress is also included in the survey, even though its chief officer reports to Congress. Subdivision refers to any organizational unit of a reporting agency, such as a bureau, division, office, or service.

Many Federal agencies now have their own home pages on the Web.

See also Survey population.

Applied research TOP

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.

See also Research, development, and R&D plant and Basic research.

Basic research TOP

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.

See also Research, development, and R&D plant and Applied research.

Character of work TOP

Classifying research and development on the basis of the character of the work, i.e., basic research, applied research, or development, may present problems. It may be necessary in some cases to employ a measure of judgement in distributing obligations among categories. In cases where an overlap exists, funds should be assigned to the category most appropriate to the principal type of work supported.

See also Research, development, and R&D plant.

Development TOP

Development is systematic use of the knowledge or understanding gained from research, directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes, and processes. It excludes quality control, routine product testing, and production.

See also Research, development, and R&D plant.

Demonstration activities TOP

Demonstration activities that are part of R&D (i.e., that are intended to prove or to test whether a technology or method does in fact work) are included. Demonstrations intended primarily to make information available about new technologies or methods are not included.

Division of Science Resources Studies (SRS) TOP

The Division of Science Resources Studies (SRS), part of the National Science Foundation's Directorate for Social, Behavioral, and Economic Science, gathers and analyzes data on science and engineering resources in each sector of the economy and at the national and international levels. Decisions by Federal and State agencies, industry, and academic officials on the allocation of resources are often based on data collected by SRS.

See also NSF staff who work on the Federal Funds Survey.

Extramural performers TOP

Extramural performers are organizations outside the Federal sector that perform R&D with Federal funds under contract, grant, or cooperative agreement. Only those costs associated with actual R&D performance are reported, but these costs would include costs of materials and supplies to carry out R&D activities. Note, however, that the costs of off-the-shelf supplies and equipment required to support intramural R&D and procured from extramural suppliers are considered as part of the costs of intramural performance and not as part of the costs of extramural performance.

Extramural performers are identified as follows:

See also Performer.

Federally Funded Research and Development Centers (FFRDCs) TOP

R&D-performing organizations that are exclusively or substantially financed by the Federal Government and are supported by the Federal Government either to meet a particular R&D objective or, in some instances, to provide major facilities at universities for research and associated training purposes. Each center is administered either by an industrial firm, a university, or another nonprofit institution.

In general, all of the following criteria are met by an organization that is included in the FFRDC category:

  1. Its primary activities include one or more of the following: basic research, applied research, development, or management of research and development (specifically excluded are organizations engaged primarily in routine quality control and testing, routine service activities, production, mapping and surveys, and information dissemination);

  2. It is a separate operational unit within the parent organization or is organized as a separately incorporated organization;

  3. It performs actual research and development or R&D management either upon direct request of the Federal Government or under a broad charter from the Federal Government but in either case under the direct monitorship of the Federal Government;

  4. It receives its major financial support (70 percent or more) from the Federal Government, usually from one agency;

  5. It has, or is expected to have, a long-term relationship with its sponsoring agency (about 5 years or more), as evidenced by specific obligations assumed by it and the agency;

  6. Most or all of its facilities are owned by, or are funded under contract with the Federal Government; and

  7. It has an average annual budget (operating and capital equipment) of at least $500,000.

See also Performer, Extramural performer, and List of FFRDCs.

Federal obligations for research performed at universities and colleges, by detailed field of science TOP

Only six agencies participate in the portion of the survey covering the funding of research at universities and colleges by detailed field of science and engineering. These six agencies represent approximately 95 percent or more of the Federal obligations to universities and colleges each year. These six agencies are the Departments of Agriculture, Defense, Energy, and Health and Human Services; the National Aeronautics and Space Administration (NASA); and the National Science Foundation (NSF).

FEDFUNDS PC survey disk TOP

The FEDFUNDS PC survey disk is a user-friendly, menu-driven system that can be used on any IBM compatible PC. The program allows respondents to complete and print all data submission tables and narrative statements for a particular survey cycle. The program contains such features as automatic totaling within tables, cross-table checking, and extensive instructions and Help screens. Almost all respondents use the PC survey disk to report data to the Federal Funds Survey.

Fields of science and engineering TOP

Fields of science and engineering in this survey consist of eight broad field categories, each consisting of a number of detailed fields. The broad fields are:

  1. life sciences;
  2. psychology;
  3. physical sciences;
  4. environmental sciences;
  5. mathematics and computer sciences;
  6. engineering;
  7. social sciences;
  8. other sciences, not elsewhere classified.

The term "not elsewhere classified" (n.e.c.) is used for multidisciplinary projects within a broad field and for single-discipline projects for which a separate field has not been assigned. Detailed fields are grouped under each of the broad fields, and illustrative disciplines are provided for each detailed field.

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.

Fiscal year TOP

The fiscal year in the Federal Government accounting period begins October 1 of a given year and ends September 30 of the following year; thus, fiscal year 1994 began on October 1, 1993, and ended September 30, 1994.

See also Volume XLIV.

Foreign performers TOP

Foreign citizens, foreign organizations, or foreign governments, as well as international organizations (such as the North Atlantic Treaty Organization (NATO), United Nations Educational, Scientific, and Cultural Organization (UNESCO), and World Health Organization (WHO)), performing R&D work abroad financed by the Federal Government. Excluded are U.S. agencies, organizations, or citizens performing R&D abroad for the Federal Government; the survey does not seek information on "off-shore" payments. An exception is made in the case of U.S. citizens performing R&D abroad under special foreign currency funds; these activities are included under "Foreign performers." Foreign scientists performing in the United States are excluded, however.

See also Performer and Extramural performer.

Geographic distribution of R&D obligations TOP

Only the 10 largest R&D funding agencies participate in the portion of the survey covering the geographic distribution of obligations for research and development and R&D plant. These 10 agencies accounted for approximately 97 percent or more of total Federal R&D and R&D plant obligations each year. The respondents are the Departments of Agriculture, Commerce, Energy, Defense, Health and Human Services, the Interior, and Transportation; the Environmental Protection Agency; NASA; and NSF.

Actual data were requested in terms of the principal location (State or outlying area) where the work was performed by the primary contractor, grantee, or intramural organization. When this information was not available in their records, the respondents were asked to assign the obligations to the State, outlying area, or office abroad where the headquarters of the U.S. primary contractor, grantee, or intramural organization was located.

Obligations were reported for R&D as a combined amount.

Specifically omitted from the geographic portion of the survey were R&D obligations to foreign performers and obligations for R&D plant used in support of foreign performers. Foreign performer data, by country, are reported in a separate section of the Federal Funds Survey.

Industrial firms TOP

Organizations that may legally distribute net earning to individuals or other organizations.

See also Performer and Extramural performer.

Intramural performers TOP

Intramural performers are the agencies of the Federal Government. Their work is carried on directly by agency personnel. Obligations reported under this category are for activities performed or to be performed by the reporting agency itself or represent funds that the agency transfers to another Federal agency for performance of work as long as the ultimate performer is that agency or any Federal agency. If the ultimate performer is not a Federal agency, the funds so transferred are reported by the transferring agency under the appropriate extramural performer category (universities and colleges, other nonprofit institutions, or industrial firms).

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.

See also Performer and Extramural performer.

Obligations and outlays TOP

Obligations and outlays reported are consistent with figures appearing in The Budget of the United States Government. The R&D data in both agency submissions are based on the same definitions and are reconcilable.

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 a given fiscal year, and those estimated for the next two fiscal years. The data include all Federal funds available to an agency that the agency received or expects to receive from direct appropriations, trust funds, and 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 or not they were appropriated, received, or identified in the agency's budget specifically for research, development, or R&D plant.

In reporting it 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.

Other nonprofit institutions TOP

Private organizations other than educational institutions whose net earnings in no part inure to the benefit of a private stockholder or individual and other private organizations organized for the exclusive purpose of turning over their entire net earnings to such nonprofit organizations.

See also Performer and Extramural performer.

Performer TOP

A performer is either an intramural group or organization carrying out an operational function or an extramural organization or person receiving support or providing services under a contract or grant.

Private individuals TOP

For cases wherein an R&D grant or contract is awarded directly to a private individual, obligations incurred are placed under "Industrial firms."

See also Performer and Extramural performer.

R&D plant TOP

R&D plant (R&D facilities and fixed equipment, such as reactors, wind tunnels, and particle accelerators) includes acquisitions of, construction of, major repairs to, or alterations in structures, works, equipment, facilities, or land for use in R&D activities at Federal or non-Federal installations. Excluded from the R&D plant category are expendable or movable equipment (e.g., spectrometers, microscopes) and office furniture and equipment. Also excluded are the costs of predesign studies (e.g., those undertaken before commitment to a specific facility). These excluded costs are reported under total conduct of research and development. Obligations for foreign R&D plant are limited to Federal funds for facilities abroad and are used in support of foreign research and development.

See also Research, development, and R&D plant.

Research, development, and R&D plant TOP

Research, development, and R&D plant include all direct, incidental, or related costs resulting from, or necessary to, performance of R&D and costs of R&D plant, defined as follows, regardless of whether the R&D is performed by a Federal agency (intramurally) or by private individuals and organizations under grant or contract (extramurally). R&D excludes routine product testing, quality control, mapping and surveys, collection of general purpose statistics, experimental production, and the training of scientific personnel.

See also Research, Basic research, Applied research, Development, Demonstration activities, and R&D plant.

Research TOP

Research is systematic study directed toward fuller scientific knowledge or understanding of the subject studied. Research is classified as either basic or applied according to the objectives of the sponsoring agency.

See also Research, development, and R&D plant.

State and local governments TOP

State and local government agencies, excluding State or local universities and colleges, agricultural experiment stations, medical schools, and affiliated hospitals. (Federal R&D funds obligated directly to such State and local institutions excluded in this category are included under the "Universities and colleges" category in this report.) R&D activities under the State and local category are performed either by the State or local agencies themselves or by other organizations under grants or contracts from such agencies. Regardless of the ultimate performer, Federal R&D funds directed to State and local governments are reported under this sector and no other.

See also Performer and Extramural performer.

Universities and colleges TOP

Institutions engaged primarily in providing resident and/or accredited instruction for at least a 1-year program above the secondary school level. Included are colleges of liberal arts; schools of art and sciences; professional schools, as in engineering and medicine, including affiliated hospitals and associated research institutes; and agricultural experiment stations.

See also Performer and Extramural performer.


For each survey cycle data are collected on the current fiscal year's (FY) obligations and outlays for R&D and estimates are obtained for the next two fiscal years. Volume XLIV (44) contains data for FY 1994 and estimated data for FY 1995 and FY 1996.