-
- 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.
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- 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.
-
- 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.
-
- 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.
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- 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 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.
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- 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.
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- 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.
-
- 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:
- 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);
- It is a separate operational unit within the parent organization or is
organized as a separately incorporated organization;
- 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;
- It receives its major financial support (70 percent or more) from the
Federal Government, usually from one agency;
- 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;
- Most or all of its facilities are owned by, or are funded under
contract with the Federal Government; and
- It has an average annual budget (operating and capital equipment) of
at least $500,000.
See also Performer, Extramural performer, and List of FFRDCs.
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- 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).
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- 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.
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- 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:
- life
sciences;
- psychology;
- physical
sciences;
- environmental sciences;
- mathematics
and computer sciences;
- engineering;
- social
sciences;
- 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.
-
- 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 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.
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- 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.
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- Organizations that may legally distribute net earning to individuals or
other organizations.
See also Performer and Extramural performer.
-
- 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.
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- 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.
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- 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.
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- 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.
-
- 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.
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- 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.
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- 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.
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- 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.
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- 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.
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- 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.
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- 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.