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, and R&D facilities (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 2001 Estimate" and "FY 2002 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 2001 to reflect a revised Department of Defense (DOD) request in June 2001, other agency revisions, supplemental appropriations, and rescissions. "FY 2002 Approved" figures are AAAS estimates of R&D contained in FY 2002 appropriations bills and their accompanying committee reports as approved by Congress and signed by the President in the fall and early winter of 2001, and reflect rescissions and emergency supplementals (including contingent emergency appropriations) enacted at that time. For FY 2002, they also reflect emergency appropriations provided in Public Law 107-38 and other laws enacted in the aftermath of the September 11 terrorist attacks.
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 Table 1. The Office of Management and Budget (OMB) has introduced a new "Federal Science and Technology" (FS&T) budget in the FY 2002 budget. The FS&T budget is successor to the Clinton Administration's "21st Century Research Fund" (see previous editions of this report) and contains most of the same programs. FS&T is a collection of selected R&D and non-R&D programs that emphasize basic and applied research and the creation of new knowledge or technologies. It also includes some S&T education and training activities but excludes most development, and is designed to be an alternative measure for the federal investment in science and technology. (This FS&T budget has a similar emphasis but different definitions from the FS&T concept proposed in 1995 by the National Academy of Sciences (NAS) as a subset of federal R&D; thus, the data in Table 1 differ from discussions of "FS&T" in previous editions of this report.)
Special Note on Table 2. Basic and Applied Research by Agency. Most R&D programs contain a mix of basic research, applied research, and development. Agencies determine what proportions of a program's R&D are basic and applied research. "FY 2002 Approved" figures for research (basic and applied) are AAAS estimates of basic and applied research contained in FY 2002 appropriations bills as approved by Congress and signed by the President in the fall of 2001, based on historical trends in basic and applied 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.