Within the federal budget there is no separately identified R&D budget as such; nor are most appropriations for R&D so labeled except for certain program areas, such as defense. Consequently, most funds for R&D are not line items in an agency's budget but are included within general program funding. The Office of Management and Budget (OMB) requires agencies whose annual R&D funding is greater than $10 million to submit data on their R&D programs as part of their annual budget submissions. Specifically, the agencies provide data (reported on MAX Schedule C as part of the budget process) on funding levels for basic research, applied research, development, R&D facilities, and R&D support to universities and colleges (see Appendix 2: Definitions). However, agencies differ in their reporting. For example, some agencies classify program direction or management support as R&D; others do not.
In the data tables, the columns "FY 2000 Estimate" and "FY 2001 Request" represent the agencies' best estimates of actual and proposed federal funding for R&D collected during the winter and spring by OMB and AAAS. These figures incorporate information provided to OMB by 26 agencies accounting for more than 99 percent of all federal R&D and information collected by AAAS from individual agencies after the budget is prepared. Some adjustments to these figures have been made during 2000 to reflect agency revisions, supplemental appropriations, and rescissions. "FY 2001 Approved" figures are AAAS estimates of R&D contained in FY 2001 appropriations bills and their accompanying committee reports as approved by Congress and signed by the President in the fall of 2000, and reflect rescissions and emergency supplementals (including contingent emergency appropriations) enacted at that time. For FY 2001, they also reflect a 0.22 percent across-the-board cut to most discretionary programs; the cut has been distributed proportionately.
Due to rounding in the tables, the detail may not add to the totals, and the percentage changes may not correspond to the difference shown. Most figures are rounded to the nearest million; totals and changes are calculated from unrounded figures. In the tables, subtotals are occasionally provided for additional detail. These subtotals are shown in italics to indicate that they do not add into the totals.
Special Note on Tables 1 and 7. "FS&T" refers to an alternative measure of the federal investment in science and technology developed by the National Academy of Sciences in its 1995 report Allocating Federal Funds for Science and Technology (National Academy Press, Washington DC, 1995). "FS&T" is defined in the report as a subset of total federal R&D. (Since the release of the report, the Academy has revised its original definition of "FS&T". The tables reflect these revisions.) "FS&T" excludes advanced development, testing and evaluation work in DOD and DOE. In DOD, "FS&T" excludes R&D funding in the "6.4" through "6.7" categories, and R&D in non-RDT&E accounts. In DOE, "FS&T" excludes the Naval Reactors program and testing and readiness components of Weapons Activities.
Special Note on Table 1. "The 21st Century Research Fund" refers to an alternative measure of the federal investment in science and technology proposed by the Clinton Administration in 1999. The Fund is a collection of selected R&D and non-R&D programs with a science and technology-oriented mission. There is no formal definition for the Fund; the programs in the Fund do not correspond to definitions of R&D.
Special Note on Table 2. Basic Research by Agency. Most R&D programs contain a mix of basic research, applied research, and development. Agencies determine what proportion of a program's R&D is basic research. "FY 2001 Approved" figures for basic research are AAAS estimates of basic research contained in FY 2001 appropriations bills as approved by Congress and signed by the President in the fall of 2000, based on historical trends in basic research and agency budget documents.
Special Note on Table 3. Major Functional Categories of R&D. All activities in the federal budget are classified into 20 broad functional categories. (AAAS separates the general science, space, and technology function into its subfunctions of General Science and Space). Each function often includes programs from several agencies. Each R&D program is assigned to only one function, even though the R&D activity may address several functional concerns.