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Go to:
-Highlights
of Federal R&D in FY 2002
-R&D Appropriations
for Key Agencies
-Publication
Information
-Table
1. Total R&D by Agency
-Table
2. Estimated Research by Agency
-Table 3. Major
Functional Categories of R&D
-Table 4. "FS&T
Budget" by Agency
PDF version
of this document
Full Text of Congressional Action
on R&D in the FY 2002 Budget
- Detailed agency
updates (including agency tables; PDF):
Complete set of 10 final agency funding tables
(13pp)
U.S. Department of Agriculture
Department of Commerce
Department of Defense
Department of Energy
Department of the Interior
Department of Transportation
Environmental Protection Agency
National Aeronautics and Space Administration
National Institutes of Health
National Science Foundation
Supplemental Tables
and Full-Color Charts (PDF):
Historical Table 1. Federal R&D
by Agency, 1976-2002 (current dollars)
Historical Table 2. Federal R&D
by Agency, 1976-2002 (CONSTANT FY 2001 dollars)
Chart. FY 2002 R&D Request
and Final Appropriations (Figure 1)
Chart. Selected Trends in Nondefense
R&D, FY 1976-2002 (Figure 2)
Chart. Trends in Federal R&D,
FY 1990-2002 (DOD, NIH, NASA, NSF, DOE, USDA)
Chart. Trends in Federal R&D,
FY 1990-2002 (DOC, DOI, DOT, EPA)
Chart. Trends in Federal R&D,
FY 1976-2002
Chart. Trends in Basic Research,
FY 1976-2002
Chart. Trends in Defense R&D,
FY 1976-2002
Chart. Trends in NSF R&D, Request
vs. Actual, FY 1978-2002
Chart. Trends in National Institutes
of Health R&D, Request vs. Actual, FY 1978-2002
Chart. Trends in Nondefense R&D,
Request vs. Actual, FY 1978-2002
Chart. Trends in Defense R&D,
Request vs. Actual, FY 1978-2002
Special Report on Counter-Terrorism
R&D (Jan. 2)
Federal Counter-Terrorism R&D Nearly
Triples to
$1.5 Billion in FY 2002 (PDF; 4 pp)
Special Report on R&D Earmarks (Jan.
2)
R&D Earmarks Total $1.5 Billion in
FY 2002 (PDF; 5 pp)
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This report is a summary of AAAS estimates and
analyses of final FY 2002 appropriations for federal R&D. This report
is a preview of the publication Congressional
Action on Research and Development in the FY 2002 Budget. (Ordering
information is on the last page.)
On December 20, more than two months into fiscal year
(FY) 2002, President Bush and the 107th Congress reached
final agreements on FY 2002 appropriations, including federal support
for R&D. President Bush will sign the last few appropriations bills
into law shortly. Because of a recession, large tax cuts enacted in
June, reconstruction and relief spending after the terrorist attacks,
heightened security spending against future terrorist attacks, and war
in Afghanistan, the federal budget is returning to budget deficits after
four years of surpluses. But with a bipartisan consensus that the federal
government must respond effectively to the above challenges, federal
spending is set to increase dramatically in FY 2002, including federal
support of R&D.
Every year, AAAS analyzes appropriations for R&D
as signed into law and provides detailed estimates on the federal investment
in R&D for the new fiscal year in the publication Congressional
Action on Research and Development. The FY 2002 printed edition
will be published in mid-January; the full text is now available on
line on the AAAS R&D Web site (www.aaas.org/spp/R&D).
Detailed information on the largest R&D funding agencies, historical
tables, and other supplementary materials will also be available on
the AAAS R&D
Web site. This preview report offers selected highlights from the
book.
Highlights of Federal R&D in
FY 2002
On December 20, Congress approved the last of the fiscal
year (FY) 2002 appropriations bills and adjourned for the year, bringing
to a close the FY 2002 budget process nearly three months after the
October 1 start of FY 2002. Because of increased attention to national
security needs and counter-terrorism activities in the aftermath of
the September 11 terrorist attacks and the subsequent war in Afghanistan,
and the bipartisan commitment to double the NIH budget over five years,
the federal government's research and development (R&D) investments
received record increases in the FY 2002 budget.
- The federal investment in research and
development (R&D) exceeds $100 billion for the first time. Federal
R&D in FY 2002 totals $103.7 billion, a $12.3 billion or 13.5 percent
increase over FY 2001 that is the largest dollar increase in history
and the largest percentage increase in nearly 20 years (see Table
1).
- There are substantial increases for all the major
federal R&D agencies, in contrast to proposed cuts for most agencies
in the Bush Administration's April budget request (see Table
1 and Figure 1). The largest dollar and percentage increases go
to the two largest R&D funding agencies, the Department of Defense
(DOD) and the National Institutes of Health (NIH), reflecting the high
priority placed on defense and health by the Bush Administration and
Congress. DOD R&D increases by $7.4 billion or 17.3 percent to reach
$50.1 billion thanks to dramatic increases for missile defense development
and other DOD investments to respond to U.S. military needs. NIH R&D
increases 15.8 percent to $22.8 billion to fulfill the fourth year of
a five-year campaign to double the NIH budget, with additional funds
provided to combat bioterrorism. (Details of final agency R&D appropriations
will be available next week on the AAAS
R&D Web site, or by clicking on the links in the on-line version
of this document.)
- There are large increases for basic and applied
research in FY 2002, especially in NIH. The total federal investment
in research is $48.2 billion, an increase of 11.0 percent or $4.8 billion
over FY 2001 (see Table 2). NIH remains
the largest single sponsor of basic and applied research; in FY 2002,
NIH alone will fund 46 percent of all federal support of research. All
federal agencies receive increases for their research portfolios, especially
agencies with defense or counter-terrorism research programs.
- In response to the terrorist attacks of September
11, terrorism-related R&D nearly triples over last year to $1.5
billion. Federal counter-terrorism R&D totals $1.5 billion in
FY 2002 (up from $579 million in FY 2001), roughly half from regular
appropriations and half from emergency appropriations out of a $40 billion
post-September 11 emergency response fund. Although the President and
the House had originally proposed no emergency R&D funds to respond
to the September 11 attacks, the Senate's idea of allocating a portion
of the $40 billion fund to counter-terrorism R&D prevailed in the
final FY 2002 emergency budget. (A detailed analysis
of federal counter-terrorism R&D in FY 2002 appropriations is
available in PDF format).
Figure 1. (click on the image to view or download
a full-page version of this chart)
- R&D for all national missions increases, with
especially large boosts for defense and health R&D (see Table
3). In defense, DOD S&T investments exceed $10 billion for the
first time to reach $10.5 billion (up 11.8 percent), while funding for
missile defense development nearly doubles. In health, the NIH budget
remains on track to double between FY 1998 and FY 2003 with a $3.1 billion
increase in R&D to $22.8 billion, but NIH and the Centers for Disease
Control and Prevention (CDC) also receive substantial emergency funds
for bioterrorism R&D and improved laboratory facilities. Counter-terrorism
R&D funds are responsible for large increases for other missions:
agriculture R&D rises 9.4 percent to $1.9 billion in part to address
food safety issues and to improve security at agricultural laboratories
that handle pathogens; natural resources and environment R&D rises
11.2 percent to $2.5 billion in part for R&D on securing drinking
water supplies; and transportation R&D climbs 6.7 percent to $1.8
billion, partially because of a large infusion of emergency funds for
the Federal Aviation Administration's aviation security R&D programs.
- Congress remains committed to funding R&D earmarks,
congressionally designated performer-specific R&D projects that
are not part of an agency's spending plan. R&D earmarks total
$1.5 billion in FY 2002. The U.S. Department of Agriculture (USDA),
DOD, the Department of Energy (DOE), and the National Aeronautics and
Space Administration (NASA) have the most earmarks. (A detailed
analysis of R&D earmarks in FY 2002 appropriations is available
in PDF format).
Figure 2. (click on the image to view or download a full-page
version of this chart)
- Nondefense R&D reaches another all-time high
in FY 2002, the sixth year in a row that nondefense R&D has
increased in inflation-adjusted terms (see Figure 2). A large part of
the recent increases has been due to steady growth in the NIH budget,
including increases of approximately 15 percent for four years in a
row. As a result, NIH R&D has become nearly as large as all other
nondefense agencies' R&D funding combined. Funding for nondefense
R&D excluding NIH has stagnated in recent years; after steady growth
in the 1980s, funding peaked in FY 1994 and then declined sharply as
a result of tight budget conditions in the mid-1990s. The FY 2002 increases
for non-NIH agencies, while large, just barely brings these agencies
back to the funding levels of the early 1990s, and some of these increases
are due to emergency counter-terrorism funds that may be one-time appropriations.
- The "FS&T budget" rises by 11.1
percent in FY 2002 to $52.4 billion (see Table
4). Most of this increase is due to a 15.7 percent increase to the
total NIH budget, although there are increases for all FS&T programs.
The Office of Management and Budget (OMB) introduced the FS&T budget
in the FY 2002 budget request as a successor to the Clinton Administration's
"21st Century Research Fund." 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.
Go to Tables
1-4
R&D Appropriations for Key
Agencies
Full information on final funding levels and program
details for individual agencies can be found in revised AAAS R&D
Funding Updates on the AAAS
R&D Web site. (The on-line version of this document features
links to the agency updates in PDF format). Please see also the agency
sections in Congressional Action on R&D
in the FY 2002 Budget.
· Department
of Defense (DOD) R&D totals $50.1 billion - an increase
of 17.3 percent or $7.4 billion from the FY 2001 level of $42.7 billion,
the largest dollar increase in history. Perhaps most prominent is a
66.4 percent rise in R&D funding for the Ballistic Missile Defense
Organization (BMDO) to $7.0 billion. President Bush has stated that
the development of a national missile defense system is one of the top
priorities of his administration. Basic research ("6.1") and
applied research ("6.2") also receive substantial increases
in funding: basic research rises by 5.0 percent to $1.4 billion, while
applied research rises by 14.6 percent to $4.2 billion. DOD S&T,
which encompasses the "6.1" through "6.3" categories
plus medical research, exceeds $10 billion for the first time to reach
$10.5 billion, meeting the DOD goal of setting aside 3 percent of the
DOD budget for S&T. Included in S&T is a $461 million appropriation
outside the regular R&D accounts for congressionally designated
medical research.
The National Institutes of Health (NIH)
budget of $23.6 billion, including emergency funds, represents a
$3.2 billion or 15.7 percent increase over FY 2001, keeping NIH
on the fourth year of a course toward doubling its budget in five years.
Every institute receives an increase greater than 12 percent, and five
receive increases greater than 20 percent. The National Institute of
Allergy and Infectious Diseases (NIAID) sees its budget jump 22.5 percent
to $2.5 billion, including a separate emergency appropriation of $155
million for counterterrorism activities including a new biosafety laboratory
and bioterrorism R&D. NIH Buildings and Facilities funding more
than doubles to $345 million, partly from emergency funds to boost security
of NIH laboratory facilities against terrorist attacks. The National
Center for Research Resources (NCRR) receives $1.0 billion (up 23.8
percent), including $160 million for the Institutional Development Award
(IdeA) program (up from $100 million in FY 2001) to provide capacity-building
assistance to states underrepresented in the NIH portfolio and $110
million for extramural facilities construction (up from $75 million).
Among other agencies in the Department of Health and Human Services
(HHS), the Centers for Disease Control and Prevention (CDC) is the
big winner with a 33.3 percent increase to $689 million for its
R&D programs. Most of the increase comes from emergency counterterrorism
R&D funds designed to boost CDC's laboratory security and capabilities
against bioterrorism, and to fund CDC research on bioterrorism threats,
particularly anthrax.
· The National
Aeronautics and Space Administration's (NASA) total budget of
$14.9 billion in FY 2002 represents a 4.5 percent increase over FY 2001.
Total NASA R&D, which excludes the Space Shuttle and its mission
support costs, increases 3.8 percent to $10.3 billion. Although the
final NASA budget was approved in November, NASA received an extra $33
million in emergency R&D funds in December for counterterrorism
activities and $76 million for security upgrades. The troubled International
Space Station, now projected to run more than $4 billion over budget
over the next five years, receives $1.7 billion, a cut of 18.4 percent.
The cut mostly reflects the transfer of Space Station research to the
Biological and Physical Research (BPR) account. The Science, Aeronautics,
and Technology (SAT) account receives $7.9 billion, 11.6 percent or
$823 million more than FY 2001, with substantial increases for BPR,
Space Science, Aero-Space Technology, and Academic Programs.
The Department of Energy (DOE)
receives $8.1 billion for its R&D programs in FY 2002, $378
million or 4.9 percent more than FY 2001. R&D in DOE's three mission
areas of energy, science, and defense all increase over FY 2001, with
small increases for energy R&D (up 1.6 percent) and science R&D
(up 2.1 percent) and a larger increase for defense R&D (up 8.4 percent),
partially because of last-minute emergency appropriations for counter-terrorism
R&D. While the Bush Administration proposed drastic cuts in many
of DOE's energy R&D programs, the final FY 2002 budget generally
keeps funding at FY 2001 levels or provides slight increases. Most Science
programs receive funding close to FY 2001 funding levels. In Defense
programs, Weapons Activities R&D totals $2.6 billion, an increase
of 9.0 percent, mostly to fund R&D at DOE's three weapons labs which
are responsible for the nation's nuclear stockpile. Nonproliferation
and Verification R&D jumps 51.2 percent to $309 million because
of emergency appropriations to combat potential nuclear terrorism.
· In the final
NSF budget, the National Science Foundation's
(NSF) R&D funding rises 7.6 percent for a total of $3.5
billion. Most of NSF's research directorates receive increases greater
than 8 percent, in contrast to level or declining funding in the request.
The largest budget increases, however, go to NSF's non-R&D programs
in education and human resources for a new math and science education
partnerships program. The final NSF budget boosts funding for information
technology research, nanotechnology research, and the Major Research
Instrumentation program. The Major Research Equipment (MRE) account,
which funds construction of large-scale scientific facilities, receives
$139 million, $42 million more than the request because of funding for
two projects that were not part of NSF's budget request. Another potential
future NSF project, the National Underground Science Laboratory in South
Dakota, receives $10.3 million from another agency, but NSF would have
oversight of future plans for the laboratory site, currently an abandoned
mine.
· The U.S.
Department of Agriculture (USDA) receives a large budget boost
from emergency funds to combat terrorism. USDA R&D totals $2.1 billion
in FY 2002, a boost of $180 million or 9.2 percent. USDA's intramural
Agricultural Research Service (ARS) receives $40 million in emergency
funds for research on food safety and potential terrorist threats to
the food supply and $73 million in R&D facilities funds to improve
security at two ARS laboratories that handle pathogens. Total ARS R&D
increases 22.0 percent to $1.2 billion, including a large boost in Buildings
and Facilities funding from $74 million to $192 million. The final Agriculture
budget prohibits the Initiative for Future Agriculture and Food Systems
(IFAFS) program and another small program from spending mandatory R&D
funds for competitively awarded research grants. The National Research
Initiative, USDA's regular competitive grants program, receives $120
million, $15 million more than FY 2001. The final USDA budget boosts
funding for congressionally designated research projects, including
$97 million (up 13.5 percent) for Special Research Grants.
· The Department
of Commerce's R&D programs receive
$1.4 billion in FY 2002, $153 million or 12.7 percent more than FY 2001,
and a substantial $244 million more than the request. Commerce's two
major R&D agencies-the National Institute of Standards and Technology
(NIST) and the National Oceanic and Atmospheric Administration (NOAA)-both
receive large increases. NOAA R&D rises by 15.3 percent to $836
million, with large increases across several NOAA accounts, including
the National Ocean Service (NOS) and Oceanic and Atmospheric Research
(OAR). The final Commerce budget follows the Senate lead in keeping
NIST's Advanced Technology Program (ATP) alive with a boost of 26.6
percent in its R&D to $150 million. The Bush Administration and
the House would have all but eliminated the program. Total NIST R&D
increases 17.1 percent to $493 million. NIST's intramural R&D programs
rise by 4.3 percent to $279 million, including some emergency funding
for cyber security. Funding for NIST's Construction of Research Facilities
account climbs 83 percent to $64 million, of which $41 million is reserved
for 11 congressionally designated research projects. The FY 2002 increase,
after adjusting for inflation, brings Commerce R&D to an all-time
high.
· The Department
of the Interior's (DOI) R&D budget
totals $673 million in FY 2002, an increase of 6.5 percent. Although
the President's FY 2002 request caused alarm in the science and engineering
community because of its proposed cut of nearly 11 percent for R&D
in Interior's U.S. Geological Survey (USGS), the final budget restores
the cuts and gives USGS an increase of 3.1 percent over FY 2001 to $567
million.
The Environmental Protection Agency (EPA)
has an FY 2002 R&D budget of $702 million, a substantial $93 million
or 15.3 percent more than last year. The large increase is due to $70
million in emergency counterterrorism R&D funds to improve security
at EPA labs, assess the vulnerability of drinking water supplies against
terrorism, and perform anthrax decontamination. The regular EPA R&D
budget funds most R&D programs at the FY 2001 level, but adds nearly
50 congressionally designated research projects to the Science and Technology
account and nearly 20 earmarked R&D projects to other EPA accounts.
· Department
of Transportation (DOT) R&D climbs to an all-time high in
FY 2002 of $853 million, $106 million or 14.2 percent more than FY 2001.
The Federal Aviation Administration (FAA) receives $50 million in emergency
counterterrorism funds to develop better aviation security technologies.
FAA receives a total of $373 million for R&D, a large gain of 23.9
percent because of the emergency funds and also because of guarantees
of increased funding for FAA programs which became law last year. Most
DOT highway and traffic safety R&D programs increase substantially
because of guaranteed funding increases written into a 1998 transportation
law.
Go to Tables
1-4
The full report offers 17 detailed funding tables,
several charts, a chronology of the events in the FY 2002 budget process,
an analysis of funding trends, and analyses of the impacts of the FY
2002 budget on each of the major R&D funding agencies. Individual
agency analyses, historical tables, agency funding tables, and charts
of recent funding trends are also available on the AAAS
R&D Web site in the "FY 2002 R&D"
section (URL at the end of this report).
Publication Information
The AAAS publication Congressional
Action on Research and Development in the FY 2002 Budget, from
which this preview report is excerpted, will be available in mid-January
from AAAS. The full report, and supplementary material including
detailed agency funding analyses, historical tables, and charts illustrating
recent R&D funding trends, is now available on line. Ordering
information is as follows:
Congressional Action on Research and Development
in the FY 2002 Budget, Kei Koizumi, Paul H. Turner, 2001. $10.95;
$8.75 to AAAS members.
We are accepting advance orders for the report. Please
send a check or purchase order and mailing information directly to
AAAS Science and Policy Programs, 1200 New York Ave., NW #823, Washington,
DC 20005 to receive the report as soon as it is published. The publication
will be mailed automatically to all participants in the 26th AAAS
Colloquium on Science and Technology Policy (May 2001). After publication,
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AAAS Distribution Center, P.O. Box 521, Annapolis Junction, MD 20701.
For VISA / Mastercard orders call 1-800-222-7809 (8:30 AM - 5:00 PM
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- December 28, 2001
AAAS R&D Budget and Policy Program
American Association for the Advancement of Science
1200 New York Ave, NW
Washington, DC 20005
(202) 326-6607
science_policy@aaas.org
http://www.aaas.org/spp/R&D
Go to Tables
1-4
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