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Appendix 1: Methodology and Data Sources
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 2004 Estimate” and “FY 2005 Request” represent the agencies’
best estimates of actual and proposed federal funding for R&D collected
during February 2004 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 figures (in DOD, NIH, and DHS) have been revised since the February
release of the budget. “FY 2005 Approved” figures are AAAS estimates of
R&D contained in FY 2005 appropriations bills and their accompanying
committee reports as approved by Congress and signed by the President
in August, October, and December 2004.
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 2. Estimated 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 2005 Approved” figures for research (basic
and applied) are AAAS estimates of basic and applied research contained
in FY 2005 appropriations bills as approved by Congress and signed by
the President in 2004, 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. Homeland
Security is not a separate government function; homeland security programs
fall under the traditional government missions of defense, transportation,
health, and administration of justice, among others.
Appendix 2: Definitions
In this report, R&D refers to
actual research and development activities as well as R&D facilities.
These definitions are used by the Office of Management and Budget, the
National Science Foundation, and AAAS.
Research is systematic study directed toward more complete scientific
knowledge or understanding of the subject studied. The federal government
classifies research as either basic or applied according to the objective
of the sponsoring agency.
· In basic research the objective is to gain knowledge or understanding
of phenomena without specific applications in mind.
· In applied research the objective is to gain knowledge or understanding
necessary for meeting a specific need.
Development is the systematic use of the knowledge or understanding
gained from research directed toward the production of materials; devices;
systems; or methods, including design, development, and improvement of
prototypes and new processes. It excludes quality control, routine product
testing, and production.
R&D funding
normally includes those personnel, program supervision, and administrative
support costs directly associated with R&D activities. Laboratory
equipment is also included. Defense R&D also includes testing, evaluation,
prototype development, and other activities which precede actual production.
Funding for R&D facilities includes construction, repair, or alteration of
physical plant (e.g., reactors,
wind tunnels, particle accelerators, or laboratories) used in the conduct
of R&D. This also includes funding for major capital equipment used
in the conduct of R&D.
The federal R&D
funding data in this report are presented in terms of budget
authority. Budget authority is the initial budget parameter for congressional
action on the President’s proposed budget. Other R&D data sources
may express R&D funding in terms of obligations or outlays. There are also R&D data sources which obtain
funding data from funding recipients
(companies, universities) rather than from funding sources (agencies).
Budget authority is the legal authorization to expend funds.
Obligations represent orders placed, contracts awarded, services received,
and similar transactions during a given period, regardless of when the
funds were appropriated and when the future payment of money is required.
Outlays represent checks issued and cash payments made during a given
period, regardless of when the funds were appropriated or obligated. Some
surveys refer to outlays as expenditures.
(Definitions adapted
from National Science Foundation, Federal R&D Funding by Budget
Function: Fiscal Years 2003-2005, Arlington, VA, 2004.)
Appendix 3: AAAS R&D web site
Updated information
on federal funding for R&D, including the complete text of this
book, detailed agency analyses, revised historical tables, and supplementary
materials, is available on the AAAS R&D Web Site at:
http://www.aaas.org/spp/rd
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