The AAAS Board of Directors, in accordance with Association
policy, has approved publication of this report as a contribution to the
understanding of an important process. The interpretations and conclusions
are those of the authors and do not purport to represent the views of the
Board or the Council of the Association.
This project is funded by grants from the Carnegie Corporation
of New York and the Burroughs Wellcome Fund. Carnegie Corporation and Burroughs
Wellcome are not responsible for any statements or views expressed in this
Copyright © 1997 by the
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During the 104th Congress (1995-1996), the U.S. research community found itself facing the prospect of significantly reduced federal funding after nearly 50 years of steadily increasing budgets. Efforts to balance the budget and reduce the size of the federal government created great uncertainty about the future of federal funding for research and development (R&D).
In 1997, the President signed an agreement with Congress to balance the federal budget. As part of the agreement, congressional appropriators plan to increase discretionary spending (the portion of the budget which includes funding for all R&D) for fiscal year (FY) 1998 and FY 1999. The prospect of reduced federal funding for R&D has not disappeared, however. The agreement calls for steep cuts in discretionary spending starting in FY 2000 to balance the budget by the target date of FY 2002, cuts which are likely to affect most R&D programs.
In January 1996, the American Association for the Advancement of Science's Center for Science, Technology, and Congress undertook to produce a series of reports to provide information on the state and regional impacts of federal R&D spending and to organize a series of meetings associated with these reports. This report on science and technology in Florida was prepared for presentation at a conference in Orlando in September 1997.
The goal of this project is to help the research community, both industrial and academic, state and federal lawmakers, and local opinion leaders better understand the effects of current trends in public and private sector R&D spending in key regions of the United States. We also want to provide information to Congress and the public about the role of science and technology, including federal, state, and industrial R&D, in the economies of various states.
In gathering information for The Future of Science and Technology in Florida: Trends and Indicators, we used the most recent data available from the National Science Foundation (NSF). Because of the complexity of collecting information on a state-by-state basis, especially with regard to industry spending, the most recent NSF data detail obligations from fiscal year 1995, and no current state-by-state data on industrial R&D expenditures were available at the time of this report's preparation. The numbers may change as data for more recent years become available. We have augmented the NSF data with additional research and with projections of future government spending based on outyear funding data from the President's FY 1998 budget request and the congressional budget resolution. The report provides a statistical portrait of Florida's R&D activity as a state; examines the distribution of federal R&D within the state; discusses university-based research, federal laboratories, and industry-based research; and assesses the potential future impacts of trends in R&D spending.
We would like to thank the Carnegie Corporation of New
York and the Burroughs Wellcome Fund for supporting the AAAS Center for
Science, Technology, and Congress, as well as Kei Koizumi and Bob Rich
for providing the statistical data, and Matt Zimmerman for his efforts
in editing this report.
|Albert H. Teich
AAAS Science and Policy
|Joanne Padrón Carney
AAAS Center for Science,
Technology, and Congress
When it comes to science and technology, Florida is well-known for its role in the U.S. aerospace enterprise. Every shuttle launch takes place at Cape Canaveral, and each time one of the massive space vehicles thunders its way into the heavens, it serves as an unmistakable reminder of the significance of the nation's investment in science and technology.
In Florida, much of the research and development (R&D) performed is, in fact, focused on advancing aerospace technology. The Department of Defense (DOD), the state's largest source of federal R&D funds, spends many of its R&D dollars on aerospace activity performed by Florida's defense industry. The industrial sector receives 65 percent of Florida's federal R&D funding, and most of this money comes from DOD. Some of the state's industrial heavy-hitters include Northrop Grumman, Harris Corporation, Lockheed Martin, and the Boeing Company.
DOD also funds aerospace research at some key federal labs in Florida, like the Wright Laboratory at the Eglin Air Force Base and the Armstrong Laboratory at the Tyndall Air Force Base. In total, DOD provided Florida with over $1.7 billion for R&D, almost three-quarters of the state's total federal R&D funds.
Not surprisingly, NASA is also one of Florida's most important sources of federal R&D funds. In FY 1995, NASA provided the state with $391 million for R&D, over 4 percent of the agency's R&D funds. Half of these funds went to NASA Kennedy. The next-largest piece of NASA's R&D funding to Florida went to private industry.
Together, DOD and NASA account for almost 90 percent of Florida's federal R&D funds. However, colleges and universities in the state tend to be more focused on health-related science and other fields of research than aerospace and engineering. The Department of Health and Human Services (HHS), which includes the National Institutes of Health (NIH), is by far the largest federal sponsor of R&D in Florida's institutions of higher education, providing 44 percent ($115 million) of their federal R&D funds in FY 1995.
Three of Florida's universities are among the top 100 university recipients of federal R&D funds. The University of Florida, ranked 44th, and the University of Miami, ranked 46th, each received over $80 million from federal sources in FY 1995, mostly from HHS. Florida State University, ranked 92nd, is Florida's top university recipient of R&D funding from the National Science Foundation (NSF), receiving $21 million from the Foundation in FY 1995.
The U.S. Department of Agriculture (USDA) and the Department of Commerce (DOC) round out the list of Florida's top sources of federal R&D funds. USDA provided $37 million in FY 1995 for R&D, primarily for its network of labs in the state. The National Oceanic and Atmospheric Administration (NOAA) was the main source of DOC's R&D funding to Florida, which totaled $29 million.
Industrial firms are the major recipients of federal support for R&D in Florida, receiving slightly more than 65 percent ($1.6 billion) of the state's federal R&D funds in FY 1995 (see Table 1). Almost 90 percent ($1.4 billion) of the funding for industry came from DOD, with the remaining funds provided by NASA ($161 million) and HHS ($6 million).
The industrial R&D conducted in Florida closely reflects the state's long association with space and aeronautical sciences. The top defense contractors in FY 1995 included Northrop Grumman Corporation, which performs electronics and communications R&D, the Harris Corporation for missile and space systems engineering activity, and Olin Corporation for basic research in ammunition.
Northrop Grumman's Electronics and Systems Integration Division manages a few major defense projects in Florida. The Joint Surveillance Target Attack Radar (Joint STARS) is an airborne surveillance and target acquisition system still in the developmental stage. While portions of the Joint STARS program are being developed in other states, the electronics are installed and tested at the company's Integration and Test Facility in Melbourne. Northrop Grumman is also developing enhancements of the EA-6B Prowler, an aircraft designed to jam enemy radar and communications, at the company's Military Aircraft Division in St. Augustine.
After Northrop Grumman, the Harris Corporation was Florida's second-largest defense R&D contractor in FY 1995. The Government Aerospace Systems Division (GASD) of the Harris Corporation is located in Melbourne and conducts research specializing in airborne and spaceborne systems. Harris GASD expertise in avionics and communications systems is utilized in major defense projects such as the B-1B bomber, the F-22 fighter plane, the A-129 attack helicopter, the RAH-66 Comanche helicopter, and the F-14 Tomcat. In the civil space arena, Harris GASD provides support for NASA programs such as the Hubble Space Telescope, the Tracking and Data Relay Satellite (TDRS), which is the communication link between most low-Earth orbit spacecraft and ground stations, and Mission to Planet Earth, which is a major environmental science project.
Other important industrial firms include Lockheed Martin Corporation and Rockwell International Corporation, both of which have strong relationships with DOD and NASA. In 1995, Lockheed Martin and Rockwell International combined forces to create a new joint venture entitled the United Space Alliance (USA). USA was formed to meet NASA's need to streamline the Space Shuttle program and reduce expenses by privatizing its shuttle operations to a single prime contractor. Both Lockheed and Rockwell were the top support contractors for the shuttle, and, rather than compete against one another for the new single prime contract, they merged into one unit. Forming the joint venture allowed experienced shuttle operations employees to remain, minimizing the impact of spending reductions on the Space Shuttle program and on the local economy. Following the creation of USA, Rockwell International merged its space and defense divisions with the Boeing Company, making Boeing the current partner with Lockheed in the joint venture.
The Pratt and Whitney Division of United Technologies Corporation (UTC) has its military Government Engines and Space Propulsion (GESP) group headquarters in West Palm Beach. UTC Pratt and Whitney is a major defense contractor that supports military and civil research and procurement needs. Pratt and Whitney's GESP is responsible for research, development, testing and support of fighter and transport engines. In addition, Pratt and Whitney produces liquid hydrogen-fueled rocket engines for use in space transportation systems.
On the civil front, Pratt and Whitney engines are currently being utilized in the new Boeing 777 jumbo jet aircraft. Pratt and Whitney also provides engines for the F-22 fighter plane, DOD's latest generation air superiority fighter. Lockheed Martin in Georgia is the prime contractor for the F-22, which recently conducted its maiden flight. The Air Force is expected to procure up to 438 planes at $71 million each.
McDonnell Douglas also supports the NASA shuttle and space station programs, as well as DOD missile systems. McDonnell Douglas, which has also announced plans to merge with the Boeing Company, is responsible for development of the Delta III, a new generation of expendable launch vehicle.
While Florida's private industrial firms receive a great deal of federal R&D funding, many of the state's businesses are also major investors in R&D. In 1993 (the earliest year for which data are available) Florida firms provided $1.5 billion in R&D funding. Due to the proprietary nature of industry research data, the names of the individual corporate sources of R&D funds, and the specific disciplines which they supported, are not available. However, the data do show that private industrial firms in Florida do their share as a part of the state's science and technology enterprise.
Florida encourages new partnerships between industry, government and academia as a means of building upon industry research investments and branching out into areas of research beyond aerospace. Enterprise Florida is a public and private sector partnership which was created to enhance economic development in the state. It consists of three entities, Enterprise Florida Innovation Partnership, Jobs and Education Partnership, and Capital Partnership. Enterprise Florida Innovation Partnership is a non-profit corporation established to improve the competitiveness of Florida businesses. The Jobs and Education Partnership aims to create and improve a highly-skilled workforce in order to respond to rapidly changing technology and market needs, and the Capital Partnership's goal is to increase access to financing.
Federal laboratories in Florida receive a large share of the nation's investment in R&D. In FY 1995, federal labs in the state received $554 million for R&D from the federal government (see Table 1). The bulk of that amount came from DOD which provided $294 million, followed by NASA with $196 million.
Of the many military locations scattered throughout Florida, three are focused on R&D activities. Eglin Air Force Base (AFB) in Valparaiso is home to the Wright Laboratory, which includes sixteen experimentation facilities for advancing conventional weapon technology. Eglin AFB has played a prominent role in military airpower activities, and, due to its location near the Gulf of Mexico, it is a unique site for testing Theater Missile Defense (TMD) systems. Eglin AFB has been targeted as an important site for testing key TMD systems like the PATRIOT and Theater High Altitude Area Defense (THAAD) missiles. TMD is funded through DOD's Ballistic Missile and Defense Organization (BMDO).
TMD is an important element of the BMDO's strategic initiatives, focusing on protection from short and intermediate range missile threats. THAAD and the enhanced PATRIOT missiles are currently the key systems that make up TMD. Some policy-makers are concerned that the acceleration of TMD systems has been insufficient to meet existing and future threats. Congress is expected to boost funding for TMD systems in FY 1998 and future years.
The Armstrong Laboratory, located at Tyndall Air Force Base, is focused on performing R&D and developing new technologies to improve environmental quality. The laboratory's mission includes environmental risk assessment associated with developing weapons systems, development of new mechanisms and processes associated with clean-up of hazardous waste sites, and assuring compliance with existing environmental laws and regulations.
Together, the Wright Laboratory and the Armstrong Laboratory account for most of the $554 million which DOD provided to Florida for federal laboratory R&D in FY 1995.
While the Air Force maintains a strong presence in Florida, the Navy also supports important R&D activities through its Coastal System Station (CSS) Dahlgren Division, which is a part of the Naval Surface Warfare Center. The CSS Dahlgren Division provides R&D, testing, and evaluation support for mine warfare, amphibious warfare, diving, and other naval missions. CSS Dahlgren Division is located in Panama City and employs approximately 2,000 civilian and military personnel.
Possibly the best-known federal laboratory in Florida is the NASA Kennedy Space Flight Center, next to the Cape Canaveral launch facility where all Space Shuttles and numerous expendable space transportation systems are launched. NASA Kennedy and "the Cape," which are located in Brevard County, are strong attractions for tourists who wish to view shuttle launches or tour the Visitor Center, which includes a "space camp."
While NASA Kennedy does not focus strongly on research, its relationship to NASA's aerospace missions is very important. In FY 1995, NASA Kennedy received $1.3 billion, mostly for non-R&D programs. This amounts to almost 10 percent of NASA's total budget for that year, making NASA Kennedy the fourth-largest recipient of NASA funds among all of the space agency's nine centers (not including the Jet Propulsion Laboratory, which is a contractor-operated facility).
The subset of NASA Kennedy's funding which is classified as R&D, about $196 million in FY 1995 (see Table 1), supports activity in the areas of mission operations and payload integration for earth science, life and microgravity sciences, planetary science and space station projects. The actual development of the space systems and the research and analysis of data obtained are generally conducted in other states. NASA Kennedy will be responsible for the development of launch site operations capabilities and for pre-launch and post-landing ground operations for the International Space Station which is currently under construction. In addition, the center supports applied research projects within the Engineering and Technology Base program to improve the safety and quality of shuttle launches.
USDA supports R&D activities through its Agriculture Research Service (ARS) units located in Brooksville, Canal Point, Fort Lauderdale, Gainesville, Miami, Orlando, and Winter Haven. In FY 1995, USDA obligated $21 million for ARS laboratory activities, including research on subtropical horticulture, sugarcane field research, crop genetics, and citrus products research.
The Department of Commerce also supports R&D activities through its National Oceanic and Atmospheric Administration (NOAA). In FY 1995, NOAA provided $23 million in R&D funds to the National Marine Fisheries Service laboratories located in Miami and Panama City. In addition, NOAA operates the National Hurricane Center in Miami.
Universities and Colleges
Florida universities received a total of $260 million in FY 1995, over 2 percent of all federal funds for R&D at the nation's universities (see Table 2). Three Florida universities are among the top 100 university recipients of federal R&D funds, with two in the top 50. The University of Florida, located in Gainesville, is 44th, receiving a total of $84 million in FY 1995. The University of Miami is 46th with $81 million, and Florida State University in Tallahassee is 92nd with $38 million. Other major recipients of federal R&D include the University of South Florida and the University of Central Florida, which received $15 million and $12 million, respectively, in FY 1995.
HHS (which includes NIH) is the largest federal sponsor of university R&D in Florida, providing $115 million in FY 1995. This amounts to over 44 percent of the total federal R&D funding to Florida universities in that year. Most of this funding went to the numerous university-affiliated medical research facilities in Florida. NSF is the second-largest source of federal R&D funds, providing $54 million, followed by DOD ($35 million), NASA ($18 million), and USDA ($12 million).
The University of Florida (UF), a land-grant research university, received $84 million in federal R&D funds in FY 1995. Its primary federal sponsor is NIH, which provided $41 million for health-related research. Medical research is focused in the University of Florida Health Science Center, which is composed of a cluster of academic centers that include colleges of medicine, nursing, dentistry, pharmacy, veterinary medicine and other health-related professions. The College of Medicine is the largest of the six colleges, and conducts brain, cancer, diabetes, drug design, genetics and organ transplantation research. In 1994 it received funding from NIH to launch a ten-year clinical trial on issues related to women's health.
NSF provided $12 million to the University of Florida for programs in particle science research, K-12 mathematics, science and technology education, machine tool technology, and conservation and restoration of sea turtles. UF is also home to the NSF-funded Whitney Laboratory, which conducts research in marine biology. In addition, UF is one of the three consortium members that operate the National High Magnetic Field Laboratory (NHMFL) in Tallahassee, which receives funding from NSF. The University of Florida Brain Institute (UFBI) is also located at the Gainesville campus and conducts focused research on treatment of spinal cord and head trauma injuries. UFBI was created by a grant from DOD in 1992, and currently utilizes the infrastructure available at the NHMFL. Although it was founded by DOD, UFBI also receives funding from NIH. In FY 1995, DOD provided $9 million to UF for research in computer and information science, optical materials, material science, nanotechnology, environmental technology, and medical technology.
USDA provided $10 million to UF in FY 1995, over 80 percent of the Department's R&D funding to Florida's universities. Since UF is a land-grant university, this is not surprising. Much of this funding was for research performed at UF's Institute of Food and Agricultural Science (UF/IFAS). Dedicated to teaching and research, UF/IFAS includes eighteen research centers scattered throughout the state which conduct education and research projects in areas such as aquatic plants, citrus research, entomology, and subtropical agriculture. UF/IFAS is also a participant in USDA's Cooperation Extension Service program, providing each of Florida's 67 counties with information and educational programs on issues such as sustainable agriculture, natural resource conservation, energy conservation, and food safety. UF/IFAS also includes the Agricultural Experimentation Station which conducts cooperative research with federal and state governments. The Agricultural Experiment Station has research programs related to agriculture, human and natural resources, and the environment.
The University of Miami (UM) is close behind the University of Florida as a recipient of federal R&D funds, receiving $81 million in FY 1995, 31 percent of all federal R&D funds to Florida universities in that year. Like UF, it relies upon HHS for the majority of its federal R&D dollars, receiving $57 million in FY 1995. This amounts to more than two-thirds of the total federal R&D support to the university, and was mainly provided by NIH for medical research. The university is the largest private institution of higher education in Florida and is home to the University of Miami School of Medicine, the first accredited medical school in the state. The Medical School contains the Jackson Memorial Medical Center, a complex which includes a teaching hospital, as well as many centers and institutes involved in pediatric medicine, ophthalmology, diabetes, and cancer research.
In total, the University of Miami receives less federal funding than UF. However, it receives significantly more from HHS and NIH. Apart from this, the distribution of R&D funds at the University of Miami mirrors UF. NSF is the second-largest source of federal R&D funds, allocating $10 million in FY 1995; DOD provided $7 million and NASA $3 million. Unlike UF, the University of Miami does not receive significant R&D funding from USDA.
Florida State University's (FSU) research program began in the post-World War II era, when many federal initiatives to improve large-scale academic research were launched. After fifty years, FSU ranks 92nd among the top 100 university recipients of federal R&D. It has grown to include an Institute for Molecular Biophysics, a Supercomputer Computations Research Institute, and the Florida State University Research Foundation. FSU also created Innovation Park, a joint research and technology endeavor with the county government, and is a partner in the consortium which operates the NHMFL facility.
In FY 1995, FSU received $38 million in federal R&D funds, the majority of which came from NSF. NSF provided $21 million, more than half of the total federal R&D funds to the university in that year. The university's second-largest federal sponsor is HHS, which provided $4 million, followed by NASA with $2 million. While FSU relies heavily on federal dollars for its R&D expenditures, it also receives a significant portion of its R&D funds from private and institutional sources.
The University of South Florida (USF), located in Tampa, received $15 million, almost half of which came from HHS. In FY 1995, HHS provided $7 million to USF, mostly for NIH-sponsored research. USF is home to the H. Lee Moffitt Cancer Center and Research Institute, which conducts a wide array of research, including cancer prevention, early detection, behavioral and molecular oncology, epidemiology, and immunology. Another important research center at USF is the Institute on Aging, which houses one of the nation's oldest Departments of Gerontology. The Institute of Aging is noted for its research on the biological, epidemiological, clinical and social aspects of Alzheimer's disease, as well as its research on other scientific and social aspects of aging and the care of the elderly. Other agency supporters of R&D at USF include NSF which provided $3 million, NASA which provided $2 million, and DOD which provided $1 million in FY 1995.
The University of Central Florida (UCF), located in Orlando, received $12 million in federal R&D funds in FY 1995. DOD and NSF, which provided $9 million and $2 million respectively, account for most of the university's federal R&D funds. Much of this funding supported R&D at UCF's optical physics research facilities. The Center for Research and Education in Optics and Lasers (CREOL), located at UCF and administered by the Department of Physics, includes an array of state-of-the-art laser and optics facilities. The research facilities include a short pulse laser, an advanced free-electron laser facility, a pulsed Fourier transform spectroscopy laboratory, a non-linear optics laboratory, and non-linear optic fiber laboratory. It also conducts experimental research in crystal growth and micro-Raman spectroscopy. Theoretical research conducted at UCF includes condensed matter theory, elementary particle physics, optical physics, and atomic and molecular and cluster physics.
One of the most important university-related research initiatives in Florida is the NHMFL. Located in Tallahassee, NHMFL is funded by NSF, with additional support from the Department of Energy (DOE). NHMFL is operated by a consortium comprised of the Florida State University, the University of Florida and Los Alamos National Laboratory in New Mexico. This three-part consortium is a model for federal, state, and industrial partnerships and was awarded a contract from NSF in 1990. Since 1990 only 32 percent of NHMFL's total funding has come from NSF, and it has relied on the state government to provide more than 51 percent of its overall funding.
In the field of magnetic research, NHMFL offers users from various science and engineering disciplines the resources to improve existing technologies and develop new ones. Some examples include magnetic resonance, semiconductors, high temperature semiconductors, fiber optics, magnetic fluids, and liquid crystals. These technologies impact a wide range of areas from medical research to magnetically levitated trains. The Tallahassee facility currently houses a resistive magnet and construction is underway for a continuous-field magnet which is expected to be completed in 1998. The Los Alamos National Laboratory houses the lab's pulsed magnet. FY 1995 was a transitional phase for NHMFL, as it moved from construction activities to scientific research activities. Although it still has not completed construction of its entire infrastructure, NHMFL has already lured researchers from around the globe to utilize its existing facilities.
Compared to industry and federal laboratories, colleges and universities receive a small percentage of Florida's federal R&D funds. However, these institutions make a significant contribution to the education of future scientists and engineers. In 1995, over 20,000 bachelors, masters and doctoral degrees were awarded in science and engineering fields. About one-third of the degrees awarded in Florida at the bachelors and masters level, and about half of all doctoral degrees, are given in science or engineering (see Table 4).
After rising to about 100 degrees annually per 100,000 Florida residents during the late sixties, the rate at which science and engineering bachelors degrees are awarded has remained fairly constant over the last 25 years. Science and engineering masters degrees however, show an increase over the same period (see Chart 8), rising dramatically in the last decade. The trends in both masters and bachelors degrees in Florida closely mirror those nationwide. At the doctoral level, there is also a slight rise in degrees per capita over the past decade, but slightly smaller than the rise in the national average (see Chart 9).
At the institutional level, Florida is a strong contributor of baccalaureate graduates who go on to receive science and engineering doctoral degrees within the United States. According to NSF, UF ranked 30th in the nation in producing such graduates. There were 453 students who received a bachelors degree from the university and then received a doctorate degree in a science or engineering field between 1991 and 1995. FSU and the University of Miami also appear among the leading undergraduate sources of science and engineering doctorates, ranking 91st and 115th, respectively.
Although there are no federally-funded research and development centers (FFRDCs) in Florida, the state does receive a significant amount of federal funding for R&D performed by independent nonprofit institutions. In FY 1995, nonprofit institutions in Florida received $19.6 million in support of R&D activities including R&D plant and facilities. Almost 56 percent ($11 million) of that amount came from DOD for R&D conducted at the Southeast Center for Electric Energy. The second-largest federal sponsor of nonprofit R&D is DOE, which obligated $2 million in FY 1995 to the Global Foundation, Inc. HHS contributed $1.9 million to the Mount Sinai Hospital Medical Center in Florida, and NSF allocated $1.5 million to the Harbor Branch Oceanic Institute. Other nonprofit institutions that receive federal R&D funding include the Astronauts Memorial Foundation, the Florida Solar Energy Center, the Orlando Science Center, and the Tampa Bay Research Institute of Technology.
Outlook and Conclusions
In previous years, efforts to balance the federal budget left the science and technology community with expectations of fewer dollars and leaner years. In 1997, the White House and Congress reached a historic agreement to balance the budget by 2002. In the aftermath of the agreement, and with the U.S. economy growing at a rapid pace, congressional appropriators found themselves in an entirely different environment than the past two years. Because the budget agreement allows for increases in discretionary spending (the portion of the budget which funds all federal R&D) in FY 1998, appropriators are in the position of deciding which programs should receive increases. This is a positive departure from FY 1996 and FY 1997 where decisions were being made as to which programs should be eliminated or cut.
Although the FY 1998 appropriations process has not been completed, the nondefense sector is expected to fare better than anticipated in FY 1998. NASA R&D funding is likely to grow at a small pace after adjusting for inflation. This paints a much brighter picture than previous years when the NASA budget was expected to be cut drastically. In addition, NASA will continue to fully support the International Space Station and the Space Shuttle programs, the key elements on its Human Space Flight agenda. NIH is by far the largest recipient of non-defense R&D dollars and has received consistent increases in its funding over the last few years. Congress continues to be strong in its support of NIH's research programs. The Environmental Protection Agency (EPA) was also singled out by Congress for large increases in FY 1998. These proposed increases, while welcome, would still leave many agencies' R&D budgets below their FY 1994 levels in inflation-adjusted terms, because of the steep cuts enacted over the past three years.
Defense R&D, especially the basic research accounts, is expected to continue to decrease after adjusting for inflation. DOD's long-term strategy calls for R&D to decline even further by 2002. Debates over investments in modernization versus maintaining technology readiness continue among policy makers.
Federal R&D funding in the future will depend greatly on the interpretation of the congressional budget resolution as it applies to discretionary spending for the year 2000 and beyond. The balanced budget agreement promises increases for discretionary spending in FY 1998 and FY 1999. However, in order to reach a balanced budget by 2002, sharp cuts are planned, starting in FY 2000. These cuts would leave total discretionary spending well below this year's levels, especially after adjusting for inflation. This means that the increases in R&D activities expected in FY 1998 may be short-lived, and research programs will once again have to fight to retain their funding.
While the long-term prospects for R&D appear somewhat dim, a few bright spots can be found. Health, natural resources, and the environment were singled out in the balanced budget agreement as protected sectors for R&D funding in the future. Clearly, this is good news for NIH and EPA, leading agencies for R&D in these areas. In addition, program-by-program allocations must be made every year, and the total amount of federal spending may be adjusted to compensate for changing economic conditions.
A large part of the federally-sponsored R&D that is performed by Florida's colleges and universities is health-related, so as NIH funding for research continues to grow, these universities are likely to benefit.
Florida's R&D enterprise is wedded to the industrial giants that support defense and civil aerospace R&D. Commanding 65 percent of the share of Florida's total federal R&D funds, industrial firms will strongly influence the future of science and technology in the coming years. Unfortunately, the majority of these R&D dollars are coming from DOD, whose long term strategy is to decrease R&D funding. However, Florida's firms are involved in numerous major defense projects and many key civil space projects, so the state is not shackled to a single program. This diversity should help to protect Florida's defense R&D industry from traumatic changes. Nevertheless, diversification into nondefense areas of industrial R&D seems essential to secure Florida's place as a high-tech state in the 21st century.
Florida's federal laboratories are also one of its strongest features. Florida has ensured a secure position through its involvement in major aerospace programs such as the International Space Station and Theater Missile Defense. Consequently, while they do not receive as large a share of federal R&D funding as industrial performers, Kennedy Space Center and Eglin Air Force Base are likely to remain big players in Florida's science and technology enterprise.
Definitions and Notes
Unless otherwise indicated, all dollar figures in this report refer to research and development (R&D), which includes both the conduct of R&D and support for R&D facilities. Some figures refer only to conduct of R&D and are noted as such.
This report uses the National Science Foundation's definitions for R&D. These definitions, which are used by NSF and the Office of Management and Budget in the collection of federal government statistics for R&D, are reproduced below.
R&D refers to researchboth basic and appliedand development activities in the sciences and engineering as well as R&D plant.
Research is systematic study directed toward fuller scientific understanding of the subject studied. Research is classified as either basic or applied according to the objective of the sponsoring agency.
In basic research the objective of the sponsoring agency is to gain fuller 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 means by which a recognized and specific need may be met.
Development is the systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems or methods, including design, development, and improvement of prototypes and new processes. It excludes quality control, routine product testing and evaluation.
Funds for conducting R&D include those for personnel, program supervision, and administrative support directly associated with R&D activities. Expendable or movable equipment needed to conduct R&D, e.g., a microscope or a spectrometer, is also included.
The definitions discussed above constitute "conduct of R&D." R&D plant, or R&D facilities support, including funds for non-movable R&D facilities such as reactors, wind tunnels, or particle accelerators, or for the construction, repair, or alteration of such facilities. (A facility is interpreted broadly to be any physical resource important to the conduct of R&D.)
Figures may vary between tables. Some tables are based on calendar years while others are based on fiscal years; some cover only conduct of R&D while others cover R&D facilities support as well. Data are collected using a variety of surveys which yield data that are not always perfectly consistent. Some data are collecting by surveying the sources of R&D funds (such as federal agencies) while others data are based on a survey of recipients. Please refer to the original source for complete information on how the data are collected.
(Definitions adapted from National Science Foundation, Federal R&D Funding by Budget Function Fiscal Years 1994-96, NSF 95-342, 1995, and other NSF publications)
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Other AAAS Publications:
AAAS Report XXII: Research and Development FY 1998, Intersociety Working Group, 1997. $18.95; $15.16 to AAAS members. (A comprehensive analysis of the federal budget for R&D for FY 1998 by agency, issue area, and discipline).
Working With Congress: A Practical Guide for Scientists and Engineers, Second Edition, William G. Wells, Jr., 1996. ISBN 0-87168-581-7, AAAS publication number: 96-2S. $15.95; $12.76 to AAAS members.
Competitiveness in Academic Research. Albert H. Teich, editor, 1996. ISBN 0-87168-580-9, AAAS publication number: 96-1S. $21.95; $17.56 to AAAS members. (A study on research competitiveness commissioned by the National Science Foundation's EPSCoR program.)
AAAS Science and Technology Policy Yearbook 1996/97, Albert H. Teich, Stephen D. Nelson, & Celia McEnaney, editors, 1996. ISBN 0-87168-599-X. $24.95; $19.95 to AAAS members. (A collection of writings on the major science and technology policy issues of 1996.)
The above publications may be ordered from the AAAS Distribution Center. Please add $4.00 for postage and handling per order. Orders must be prepaid by check or accompanied by purchase order payable to AAAS. Address: AAAS Distribution Center, P.O. Box 521, Annapolis Junction, MD 20701. For VISA / Mastercard orders call 1-800-222-7809 (8:30 a.m.-5:00 p.m. ET). Fax orders to 301-206-9789. For shipments to CA and DC, add applicable sales tax. For shipments to Canada, add the GST. Please allow 2-3 weeks for delivery.
AAAS World Wide Web Site
Further information on the activities and publications
of the AAAS Directorate for Science and Policy Programs is available on
the AAAS Web site at
Updated information on federal funding for R&D is available on the R&D Budget and Policy Project home page at http://www.aaas.org/spp/dspp/rd/rdwwwpg.htm.
Information on the Center for Science, Technology, and Congress is available on the Center's home page at http://www.aaas.org/spp/dspp/cstc/cstc.htm.
The full text, tables, and charts of this and the other
regional reports are available at