Order Code IB10083
CRS Issue Brief for Congress
Received through the CRS Web
Research and Development Funding:
Fiscal Year 2002
Updated May 15, 2001
John Dimitri Moteff, Coordinator
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress

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CONTENTS
SUMMARY
MOST RECENT DEVELOPMENTS
BACKGROUND AND ANALYSIS
Department of Agriculture (USDA)
Department of Energy (DOE)
Department of Defense (DOD)
National Aeronautics and Space Administration
National Institutes of Health (NIH)
The National Science Foundation (NSF)
Department of Commerce (DOC)
National Oceanic and Atmospheric Administration (NOAA)
National Institute of Standards and Technology
Department of the Interior (DOI)
Department of Transportation (DOT)
Environmental Protection Agency (EPA)

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Research and Development Funding: Fiscal Year 2002
SUMMARY
President Bush is requesting $95.253
Networking and Information Technology
billion for federal R&D in FY2002, a 5.8%
program would increase $40 million or 2%,
increase over the estimated $90.010 billion
reaching $1.969 billion. Funding for the U.S.
appropriated for FY2001. Defense R&D
Global Change Research (USGCR) program
(DOD’s plus DOE’s weapons R&D activities)
would decline 4% below FY2001, to $1.630
would increase 8.1% to $48.579 billion. This
billion. A proposed $90 million reduction in
increase reflects the Administration’s first
NASA’s portion of USGCR (mostly in earth
installment of increasing DOD’s annual
sciences) accounts for the entire decrease.
RDT&E budget by $20 billion over the next
five years. Federal civilian R&D, for FY2002,
The President’s FY2002 R&D budget
would increase to $46.674 billion, 3.6% above
has raised a number of issues about the com-
FY2001 estimated $45.064 billion level. The
position of the research portion of the federal
President’s FY2002 budget also proposes to
R&D budget. The Administration’s proposed
permanently extend the Research and Experi-
$23.042 billion budget for NIH would increase
mentation (R&E) tax credit which is scheduled
its share of total civilian R&D to 49%, up
to expire in FY2004.
from 35% in 1990. Members of Congress and

representatives from the scientific community
Funding for basic research would
have voiced concerns about what they believe
increase 6.2% to $23.352 billion, while applied
is a growing funding “imbalance” between
research is proposed to increase 4% to
health related research and other fields such as
$21.553 billion. Together, basic and applied
physical sciences, environmental sciences, and
research (referred to as the “research” portion
engineering.
of the R&D budget) would total $44.905
billion, or 47% of total federal R&D spending,
In response to this concern, the Senate-
up from 34% of total R&D in FY1990.
passed FY2002 Budget Resolution
(S.Con.Res. 20) includes an additional $2.7
Two agencies, DOD and NIH, account
billion for civilian R&D (including an addi-
for the entire growth in the R&D budget. All
tional $600 million for NIH). Specifically, the
of the other civilian agencies (except transpor-
Senate-passed amendments contain an addi-
tation, which receives R&D funds from a
tional $674 million for NSF, $469 million
mandatory trust fund) would see their FY2002
DOE science, $518 million for NASA, and
research budgets’ decline from estimated
$353 million for DOD research. The House-
FY2001 levels. Absent NIH’s proposed 13.5%
passed budget resolution mirrors the Adminis-
increase ($2.7 billion), funding for the remain-
tration’s proposed FY2002 budget, maintain-
ing civilian R&D programs would decline
ing a 4% increase for discretionary spending,
around 3%.
while the Senate approved an 8% increase.
However, the House and Senate conference
The Administration highlighted three
report reduced funding for the General Science
multi-agency research initiatives in its FY2002
function, (containing NSF, DOE, and NASA),
budget submission. Funding for the 12 agency
below the President’s request, which could
(up from 6 agencies in FY2001)
jeopardize the Senates’ passed increases for
Nanotechnology program is scheduled to
those three agencies.
increase 15% to $485 million. Support for the
Congressional Research Service ˜ The Library of Congress

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MOST RECENT DEVELOPMENTS
President Bush requested $95.253 billion for federal R&D in FY2002, a 5.8%
increase over the estimated $90.010 billion appropriated for FY2001. The House passed
FY2002 Budget Resolution (H.Con.Res. 83, passed March 28th) increases overall
discretionary spending 4%, matching the President’s request, while the Senate’s passed
budget resolution (S.Con.Res. 20, incorporated into H.Con.Res. 83, passed Senate April 6)
increases discretionary spending 8%, to, among other spending provisions, help
accommodate an additional $2.7 billion for R&D. On May 9,and 10, the House and Senate,
respectively, passed the H.Con.Res. 83 conference report (see H.Rept. 107-55) which
contains a 5% increase for overall discretionary spending.
BACKGROUND AND ANALYSIS
Department of Agriculture (USDA)
The FY2002 budget request for research and education in the U.S. Department of
Agriculture (USDA) is $2,144.1 million, a $174.4 million decrease (7.5%) from the FY2001
estimate of $2,318.5 million (see Table 1). The FY2002 budget request proposes increased
funding for several research priority areas: new uses for agricultural products ($15 million),
emerging and exotic diseases and pests ($12 million), and biotechnology ($7.5 million). The
FY2002 request assumes that $120 million will be available for the Initiative for Future
Agriculture and Food Systems. These funds will address critical issues related to agricultural
productivity, food safety, biobased products, and natural resource management. Also, $30
million is proposed for rural development and research, education, and extension projects
supported by the Fund for Rural America. USDA will terminate all new Congressionally-
earmarked projects for a savings of $34 million, which will be redirected toward other priority
areas.
The USDA conducts in-house basic and applied research. The Agricultural Research
Service (ARS) is the lead federal agency for nutrition research, operating five major
laboratories in this area. Other ARS laboratories focus on efficient food and fiber production,
preservation of genetic resources, development of new products and uses for agricultural
commodities, development of effective biocontrols for pest management, and support of
USDA regulatory and technical assistance programs. The ARS has 105 research laboratories
throughout the United States and abroad. The FY2002 request provides $938.6 million for
ARS, level funding with FY2001. ARS reports that the majority of its facilities constructed
prior to 1960, have become functionally obsolete. Many of the facilities are not in total
compliance with current health and safety standards. The FY2002 request proposes an
additional $30 million for high priority modernization and construction at seven ARS
laboratories.
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The Cooperative State Research, Education, and Extension Service (CSREES)
distributes funds to universities and organizations that conduct agricultural research. Funding
is distributed to the states through competitive awards, formula funding, and other means.
The FY2002 request for CSREES is $994 million, a decrease of $144 million (12.7%) from
the FY2001 estimate. Funding for formula distribution in FY2002 to the state agricultural
experiment stations (and other eligible institutions) through the Smith-Lever Act would be
$275.9 million, about level with FY2001. Funding for the 1890 institutions through the
Evans-Allen formula also is maintained at its current level of $32.7 million. Several special
grants and construction projects, which target local concerns, are proposed for reductions.
The request proposes $106 million, level funding, for the National Research Initiative (NRI)
Competitive Grants Program. The NRI will continue research in the areas of biotechnology
and animal and plant genetics, animal waste management, human nutrition research, and value
added agricultural commodities.
The budget proposed for the National Agricultural Statistics Service (NASS) is at
$113.8 million in the FY2002 request, $13.1 million above the FY2001 estimate. Programs
that are proposed for increased funding include computer security architecture and the Census
of the Agriculture. The Economic Research Service (ERS) is the principal intramural social
science research agency in USDA. The ERS request for FY2002 is $67.2 million, near the
FY2001 level.
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Table 1. U.S. Department of Agriculture FY1999-FY2002
($ millions)
FY1999
FY2000
FY2001
FY2002
Act.
Act.
Est.
Req.d
Agric. Research Service (ARS)
Soil & Water Conservation
85.6
88.0
92.1
90.0
Plant Science
301.5
296.0
336.4
324.8
Animal Science
127.0
135.0
142.8
147.1
Commodity Conversion & Delivery
162.2
175.0
185.5
202.3
Human Nutrition
68.4
72.0
75.3
75.7
Integration of Agricultural Systems
30.1
32.0
37.1
37.6
Information and Library Sciences
19.0
18.0
19.5
19.8
Repair and Maintenance
18.3
19.0
18.2
18.2
Contingencies & Trust Funds
20.9
20.0
23.0
23.0
Subtotal
785.5
855.0
938.6
938.6
Buildings & Facilities
56.4
53.0
74.2
30.5
Total, ARS
861.9a
908.0
1,012.8
969.1
Coop. St. Res. Ed. & Ext. (CSREES)
Research and Education
Hatch Act Formula
180.5
180.5
180.5
180.1
Cooperative Forestry Research
21.9
21.9
21.9
21.9
1890 Colleges and Tuskegee Univ.
29.7
30.7
32.7
32.7
Special Research Grants
63.1
63.2
85.7
2.8
NRI Competitive Grants
119.3
119.3
106.0
106.0
Animal Health & Disease Res.
5.1
5.1
5.1
5.1
Federal Administration
10.7
14.8
18.1
4.5
Higher Educationb
23.4
28.0
34.0
35.0
Total, Coop. Res. & Educ.c
481.2
490.0
506.2
407.3
Extension Activities
Smith-Lever Sections 3b&c
276.5
276.5
276.5
275.9
Smith-Lever Sections 3d
106.6
88.5
100.6
100.5
Renewable Resources Extension
3.2
3.2
3.2
3.2
1890 Research & Extension
56.1
58.0
28.2
28.2
Federal Admin. & Special Grants
11.7
26.0
18.1
5.7
Total, Extension Activitiesc
438.0
424.9
432.0
413.4
Total, CSREESc
919.2
1,074.0
1,138.0
994.0
Economic Research Service
65.8
64.0
67.0
67.2
National Agric. Statistics Serv.
104.0
99.0
100.7
113.8
TOTAL, Research, Education &
Economics
$1,971.9
$2,145.0
$2,318.5
$2,144.1
a. The total for ARS excludes trust funds and support for Counter Drug Research and Development and for
Anti-Drug Research and Related Matters.
b. Higher education includes payments to 1994 institutions and 1890 Capacity Building Grants program.
c. Program totals may reflect set-asides (non-add) or contingencies.
d. The FY2002 budget assumes that $120 million will be available for the Initiative for Future Agriculture
and Food Systems. In addition, $30 million will be available for rural development and research, education,
and extension projects supported by the Fund for Rural America.
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Department of Energy (DOE)
For FY2002, DOE is requesting $7.99 billion for all R&D activities: Energy
Resources, Science, National Security, and Environmental Quality. This request is a decrease
of 2.9% below the FY2001 level. For civilian R&D (see Table 2) programs (Energy
Resources and Science), the request is $4.40 billion, a 5.8% decrease from FY2001. For
defense R&D (National Security and Defense Environmental Management), the F request is
$3.60 billion a 0.5% increase over FY2001. DOE states that its FY2002 request is designed
to meet Administration priorities and to respond to policy reviews currently underway.
For Energy Resources R&D, DOE is requesting $1.232 billion, 18.2% below the
FY2001 level. Conservation and Renewable Energy R&D would be reduced by 26.3%
percent from FY2001. DOE states that some of these programs have been ineffective and the
nation’s current energy situation requires a new focus for energy resource R&D. To that end,
DOE is proposing $150 million for a clean coal power initiative. Other activities within
Energy Resources R&D would receive funds to continue current services while they are
examined as part of the ongoing national energy policy review.
For Science, DOE is requesting $3.165 billion for FY2002, 0.1% above FY2001. All
programs except Biological and Environmental Research (BER) would be funded at or
slightly above this year’s levels. The BER program would be reduced by $19.5 million as a
result of not funding any of the activities mandated by Congress for FY2001. DOE is
requesting an increase of $17.4 million for continued construction of the Spallation Neutron
Source. One new Science initiative — the Genome to Life project — is being proposed for
inclusion in the BER program.
For National Security R&D, DOE is requesting $3.399 billion for FY2002, 2.3%
above the FY2001 level. Included in the request are $2.506 billion for nuclear weapons
R&D, $206.1 million for nonproliferation R&D, and $688.0 million for naval reactors. The
weapons R&D program would see an increase of $147.6 million. For the National Ignition
Facility (NIF), DOE is requesting $245 million for construction, $46 million above FY2001.
Nonproliferation R&D would decline by $29.4 million as the Administration reviews this
program in context of a review of Russian nuclear proliferation programs. For Defense
Environmental Management, DOE is requesting $196.0 million, 22.3% below the FY2001
level.
Some of the key issues that may arise during consideration of the DOE FY2002
budget request concern the shift in focus of energy resource R&D and the large reductions
in conservation, renewable energy, and nuclear energy R&D; the contribution of DOE’s
Office of Science to the portfolio of basic research funded by the federal government; the
extent to which the request for weapons R&D will help with rehabilitation of the nation’s
nuclear weapons production infrastructure; and whether the National Ignition Facility can be
completed with no further cost increases.
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Table 2. DOE R&D Budget
($ millions)
FY1999
FY2000
FY2001
FY2002
Appro.
Appro.
Appro.
Request
Energy Resources
1265.5
1325.3
1505.7
1232.4
Clean Coal Technology a
(101.0)
(146.0)
9.0
82.0
Fossil Energy
377.2
396.7
450.5
449.0
Nuclear Energy
83.7
91.0
109.1
85.6
Renewable Energy
331.3
306.1
373.2
276.2
Conservation
473.3
531.5
572.9
421.1
Science
2781.1
2746.1
3160.6
3164.8
High Energy Physics
682.8
683.5
712.0
716.1
Nuclear Physics
338.5
340.9
360.5
360.5
Basic Energy Sciences
791.7
752.0
991.7
1004.7
Adv Scientific Computing
153.5
122.3
165.8
163.0
Biological & Environmental
425.9
416.0
462.5
443.0
Fusion Energy Sciences
220.6
238.3
248.5
248.5
Other
168.2
193.7
199.7
229.0
Defense Programs
2988.1
3073.6
3325.0
3399.8
Nuclear Weapons
2113.1
2182.2
2359.0
2505.7
Nonprolif & Verification
204.8
221.8
244.5
206.1
Naval Reactors
670.2
669.6
687.3
688.0
Adv Accel Apps
0
0
33.9
0
Environmental Quality
236.7
229.4
252.1
196.0
Science and Technology
236.7
229.4
252.1
196.0
TOTAL, DOE
7271.4
7374.4
8243.4
7993.0
a Accounts for previously appropriated funds. The amounts are not included in the totals.
Department of Defense (DOD)
The Bush Administration is requesting $42.4 billion in research and development for
the Department of Defense (DOD) in FY2002. Most of this ($41.8 billion) is for the
Department’s Research, Development, Test and Evaluation (RDT&E) program (see Table
3). Another $578 million is for the Department’s Health Program ($421 million) and for the
Army’s Chemical Agents and Munitions Destruction Program ($157 million). In addition,
the Bush Administration is requesting a $2.6 billion transfer account that would allow the
Secretary of Defense to transfer additional funds into RDT&E programs upon completion of
the Administration’s internal review of military strategy. The Administration has suggested
that this money could go toward supporting programs that would reduce systems costs, to
improve test and evaluation centers, and accelerate ballistic missile defense programs. The
Bush Administration has proposed increasing DOD’s annual research and development by
$20 billion over the next 5 years.
Table 3 below shows the total obligational authority for just the RDT&E program
over the last 3 years plus this year’s request. The request is approximately $700 million over
what was made available for RDT&E in FY2001, which was about $3 billion above the
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Clinton Administration request for FY2001. FY2002 funding for DOD’s Science and
Technology part of the RDT&E program (i.e. basic and applied research and advanced
technology development) would all increase and stay ahead of the goal set by Congress in its
FY1999 authorization bill of annual increases of inflation plus 2% (using the FY1999 budget
request as the baseline).
Table 3. Department of Defense RDT&E
($ millions)
FY1999
FY2000
FY2001
FY2002
est.
request
Accounts
Army
5,031
5,314
6,280
6,415
Navy
8,942
9,063
9,456
9,666
Air Force
13,732
14,527
13,993
14,225
Defense Agencies
10,093
9,552
11,053
11,260
(DARPA)
(1,888)


(BMDOa)
(3,910)


Dir. Test & Eval
258
265
Dir. Op.Test/Eval
47
31
225
230
Total Ob. Auth.
$38,104
$38,752
$41,007
$41,795
Budget Activity
Basic Research
1,063
1,136
1,317
1,342
Applied Res.
3,057
3,409
3,664
3,751
Advanced Dev.
3,453
3,767
3,999
4,076
Demonstr./Valid.
7,364
6,536
7,831
7,983
Engrg/Mftg. Dev.
7,646
8,889
8,736
8,900
Mgmt. Supportb
2,553
3,127
2,639
2,691
Op. Systems Dev.
11,967
11,888
12,822
13,052
Total Ob. Auth.
$38,104
$38,752
$41,007
$41,795
Source: FY2002 Budget of the United States Government. Appendix. pp 291-297. FY1999 figures come
from Department of Defense Budget for Fiscal Year 2000, RDT&E Programs (R-1), February 2000.. Totals
may not add due to rounding.
a. Includes only BMD RDT&E. Does not include procurement and military construction.
b. Includes funds for Developmental and Operational Test and Evaluation.
National Aeronautics and Space Administration
The National Aeronautics and Space Administration (NASA) is requesting $9.773
billion for R&F for FY2002 (see Table 4), which is 1.1% above the FY2001 level.
According to NASA, the budget request emphasizes space exploration and science and
provides “strong” support of the space launch initiative, improving aviation safety, and the
Space and Earth Sciences programs. For FY2002, NASA has made the first step in a multi-
year transition to a full cost accounting budget, assigning all of the mission support activities
to their respective enterprise accounts. The second FY2002 column in Table 4 gives the new
format while the first FY2002 column gives the request in the old format for comparison to
previous years.
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For the International Space Station (ISS) within the Human Space Flight account,
NASA is requesting $2.087 billion, 1.2% below the FY2001 level. In March, NASA
announced that a new cost estimate of the ISS revealed that up to an additional $4 billion
might be needed to complete the station as currently configured. In order to accommodate
this finding, NASA has proposed scaling back the ISS to include just those units already
constructed and awaiting launch. This would carry construction forward through 2004. In
addition, NASA added about $1 billion to the ISS budget over the next five years. Finally,
it proposed cancelling the crew return vehicle (CRV) project. The changes proposed could
have a significant impact on the station’s ultimate use as a research facility.
Table 4. National Aeronautics and Space Administration
($ millions)
FY1999
FY2000
FY2001
FY2002
FY2002
Appro
Appro
Appro
Request
Request
Human Space Flight (R&D only)
2,411.0
2,408.3
2,186.2
2,162.6
2,581.6
Space Station
2,304.7
2,323.1
2,112.9
2,087.4
2,087.4
Eng and Tech Base
106.3
85.2
73.3
75.2
75.2
Mission Support
0.0
0.0
0.0
0.0
429.0
Science, Aeronautics, and Technology
5,273.8
5,174.6
5,655.3
5,695.5
7,191.7
Space Science
2,119.2
2,192.8
2,321.0
2,453.0
2,786.4
Biological & Physical Research
263.5
274.7
312.9
291.3
360.9
Earth Science
1,413.8
1,443.4
1,484.6
1,278.0
1,515.0
Aero-Space Technology.
1,338.9
1,124.9
1,404.1
1,504.1
2,375.7
Academic Programs
138.4
138.8
132.7
132.7
153.7
Mission Support
1,784.7
1,761.2
1,821.3
1,951.2
0.0
Total NASA R&D
9,469.7
9,344.1
9,662.8
9,773.3
9,773.3
For FY2002, NASA is requesting $2.786 billion ($2.453 billion under the old format)
for Space Science, an increase of 5.7% above the FY2001 level. The Mars Exploration
Program has been restructured and expanded following the lost missions in 1999, and now
plans four missions this decade including one launched in April. NASA plans to launch
several space science missions in FY2002 including the last of the great observatories, the
Space InfraRed Telescope Facility. NASA also announced that the Pluto/Kuiper mission will
be placed on indefinite deferral because of cost considerations. Despite the requested
increase, there may be efforts to increase NASA’s Space Science budget even more as part
of attempts to expand federal support of basic research in the physical sciences.
For Aero-Space Technology, NASA is requesting $2.376 billion ($1.504 billion under
the old format) for FY2002, 7.1% above the FY2001 level. Included in the request is a 64%
increase for the 2nd generation reusable launch vehicle program. After removing the CRV
program, this requested increase is close to that projected in the FY2001 budget request,
indicating the Administration has approved continuation of this effort. Although NASA has
stated that it will turn the program over to the private sector when the enabling technology
is developed, it is not certain whether that will happen without continued substantial NASA
subsidies. NASA is also proposing a refocused aeronautics R&D program that is aimed at
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a 21st Century aerospace vehicle. The features of this program are not well defined and some
concern has been raised that it may not be what the commercial aviation industry needs at this
point.
National Institutes of Health (NIH)
The Bush Administration has requested $23.11 billion for NIH for FY2002, an
increase of $2.75 billion or 13.5% over the comparable FY2001 appropriation of $20.36
billion (see Table 5). Both figures include NIH’s main appropriation from the Labor, Health
and Human Services, Education and Related Agencies (L-HHS) appropriations act ($23.04
billion in the request), plus an additional increment ($70 million in the request) from the
appropriations act covering the Departments of Veterans Affairs, Housing and Urban
Development (VA-HUD) and several independent agencies, including the Environmental
Protection Agency (EPA). NIH has responsibility for some hazardous waste research and
worker training programs under the Superfund Act that previously have been funded by
interagency transfer from EPA, and not counted in the NIH budget. Starting with the
FY2001 VA-HUD appropriation, a separate account gives the money directly to NIH.
The President has said he is committed to continuing the path to doubling the NIH
budget over the 5-year period ending in FY2003 (the Superfund money does not count in this
calculation). His request for FY2002 is not quite large enough to be precisely “on track” for
the doubling; the biomedical research advocacy community is calling on Congress to provide
an increase of $3.4 billion or 16.5% to reach a FY2002 total of $23.7 billion. With the lower
amount proposed in the request for FY2002, the Bush budget projects that for FY2003 an
increase of nearly18% would be needed to reach the target total of $27.2 billion. Three
“installments” on the doubling have been provided in L-HHS appropriations since the FY1998
base year budget level of $13.6 billion: the appropriation was increased by $2.0 billion or
14.6% to $15.6 billion in FY1999; by $2.2 billion or 14.2% to $17.8 billion in FY2000; and
by $2.5 billion or 13.9% to $20.3 billion in FY2001.
NIH’s plans for spending these large sums focus around four broad “research themes”
representing opportunities across all institutes and centers for new scientific knowledge and
applications to strategies for diagnosing, treating, and preventing disease. These areas of
research potential include: (1) genetic medicine/exploiting genomic discoveries (DNA
sequencing, identification of disease genes, development of animal models); (2) reinvigorating
clinical research (strengthening clinical research centers, clinical trials, and clinical training,
including support of four new loan repayment programs); (3) infrastructure and enabling
technologies, including interdisciplinary research (advanced instrumentation, biocomputing
and bioinformatics, engaging other scientific disciplines in medical research on drug design,
imaging studies, biomaterials); and (4) eliminating health disparities in minorities and other
medically underserved populations. No specific funding levels are mentioned for these
“theme” areas. Two new entities created by Congress last year, the National Institute of
Biomedical Imaging and Bioengineering (NIBIB) and the National Center on Minority Health
and Health Disparities (NCMHD), would be funded at $40 million and $158 million,
respectively.
The request continues NIH’s emphasis on support of extramural research, particularly
basic research, through independent investigator-initiated research project grants. Over
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36,100 competing and non-competing projects would be supported, a record number, with
the same number of new and competing awards (9,158) as in FY2001. Other funding
mechanisms, including research training, research centers, contracts, intramural research, and
research management would receive increases ranging from 9% to 20%. Intramural
construction would be nearly doubled, including funding for a new Neurosciences Research
Center and a new animal facility, while extramural construction would increase 28% to $100
million.
The request for the fourth year of substantial new resources for NIH raises several
questions for Congress and the agency. In the face of restraints on the growth of
discretionary spending, Congress must decide how to handle the growing disparity between
funding for health research and support of other fields of science, as well as the impact of
large increases for NIH on the other programs funded in the Labor-HHS appropriations act.
NIH itself is struggling with the increasing strain on its research management and support
system, funding for which has not kept pace with its growing responsibilities from large
budget increases. In addition, NIH is making plans for the expected transition from the years
of plentiful resources during the doubling effort to subsequent years of a maintenance level
of effort. The agency is currently analyzing strategies to “maximize budgetary and
management flexibility,” including whether some grants and contracts might be given full
funding in their first year to lessen the burden of commitments in future years. Another
strategy under study is support of more one-time activities such as high-priority construction
and renovation projects that will not require funding commitments in the future. Finally,
potentially contentious issues in several areas of research oversight will likely continue to
draw attention: research on human stem cells, human embryo research, cloning, human
subjects protection, gene therapy, and conflicts of interest on the part of researchers.
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Table 5. National Institutes of Health (NIH)
($ millions)
Institutes and Centers (ICs)
FY1999
FY2000
FY2001
FY2002
actual a,b
comp a,c
comp a,d
request a
Cancer (NCI)
$2,918.0
$3,299.6
$3,737.9
$4,177.2
Heart/Lung/Blood (NHLBI)
1,788.0
2,024.9
2,299.1
2,567.4
Dental/Craniofacial Research (NIDCR)
233.6
268.9
306.2
341.9
Diabetes/Digestive/Kidney Dis. (NIDDK)
991.1
1,141.3
1,303.8
1,457.9
Neurological Disorders/Stroke (NINDS)
900.2
1,029.8
1,177.0
1,316.4
Allergy/Infectious Diseases (NIAID)
1,565.2
1,812.4
2,063.0
2,355.3
General Medical Sciences (NIGMS)
1,203.1
1,371.1
1,540.2
1,720.2
Child Health/Human Developmt (NICHD)
748.6
861.4
978.9
1,096.6
Eye (NEI)
394.6
449.9
510.6
571.1
Environmental Health Sciences (NIEHS)
374.5
443.3
503.1
561.8
Aging (NIA)
594.6
688.0
786.5
880.0
Arthritis/Musculoskeletal/Skin (NIAMS)
307.2
349.2
396.6
443.6
Deafness/Communication Dis. (NIDCD)
229.2
264.1
301.1
336.8
Nursing Research (NINR)
69.6
90.3
105.2
117.7
Alcohol Abuse/Alcoholism (NIAAA)
258.9
293.1
340.6
382.0
Drug Abuse (NIDA)
601.6
686.8
781.0
907.4
Mental Health (NIMH)
858.5
974.1
1,106.7
1,238.3
Human Genome Research (NIHGR)
279.0
335.5
382.1
426.7
Biomedical Imaging/Bioenginrg (NIBIB) e
0
0.2
2.0
40.2
Research Resources (NCRR)
562.1
674.6
817.3
974.0
Complementary/Alt. Medicine (NCCAM)
40.5
78.4
89.1
100.1
Minority Health/Disparities (NCMHD) f
0
97.6
132.1
158.4
Fogarty International Center (FIC)
35.3
43.3
50.5
56.4
Library of Medicine (NLM)
181.0
215.0
246.4
275.7
Office of Director (OD)
255.6
162.2
187.5
232.1
Buildings & Facilities (B&F)
216.9
165.4
153.8
306.6
[AIDS/Off of AIDS Research (non-add)] g
[1,792.7]
[2,004.4]
[2,243.4]
[2,501.4]
Subtotal, NIH Progs (L-HHS Approp)
$15,606.8
$17,820.2
$20,298.3
$23,041.9
Superfund (VA-HUD Approp to NIEHS) h
60.0
60.0
62.9
70.2
Total, NIH Budget Authority
$15,666.8
$17,880.2
$20,361.1
$23,112.1
Source: NIH FY2002 Justification of Estimates for Appropriations Committees.
Note: Columns may not add due to rounding.
a. Does not include these transfers: funds for diabetes research (NIDDK) that were pre-appropriated in the
Balanced Budget Act of 1997 and the Benefits Improvement and Protection Act of 2000 (FY99 and
FY00=$27 million; FY01 and FY02=$93.2 million); and $9.5 million (FY00-02) to NIDA from
Office of National Drug Control Policy ($9.670 million in FY99).
b. FY1999 (actual obligations, not comparable) reflects transfer of $4.967 million to DHHS under the
Secretary’s 1% transfer authority and rescission of $10.230 million in administrative and travel
funds.
c. FY2000 reflects rescission of $99.883 million, transfer of $3.516 million to DHHS under Secretary’s 1%
transfer authority, transfer of $20 million from NIAID to Centers for Disease Control, transfer to
NIAID of $19.883 million for NIH Challenge Grants. Comparable for Central Services formula
adjustments and AREA Awards. Includes $40 million advance appropriation for Buildings and
Facilities from FY1999 appropriation.
d. FY2001 reflects rescission of $8.666 million, $0.139 reduction in Superfund activities, transfer of $5.8
million to DHHS for Office for Human Research Protection, and comparable adjustments for the
AREA Awards from OD to the ICs.
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e. National Institute for Biomedical Imaging and Bioengineering was established Dec. 2000. Activities were
previously funded by the OD Office of Bioengineering, Bioimaging, and Bioinformatics.
f. National Center for Minority Health and Health Disparities was established Nov. 2000. Activities were
previously funded by the OD Office of Research on Minority Health.
g. All AIDS funding is appropriated to the individual institutes and centers. Total AIDS spending, as jointly
determined by the NIH Director and the Director of the Office of AIDS Research, is shown in
brackets.
h. Separate account starting in FY2001. In FY1999 and FY2000, the appropriation was made to the
Environmental Protection Agency, which reimbursed NIEHS for Superfund activities.
The National Science Foundation (NSF)

The FY2002 request for the National Science Foundation (NSF) is $4,472.5 million,
1.3% ($56.1 million)above the FY2001. (see Table 6). The FY2002 request provides support
for several interdependent priority areas: biocomplexity in the environment ($58.1 million,
5.9% above FY2001), information technology research ($272.5 million, 5% above FY2001),
learning for the 21st century ($125.5 million, 3% above FY2001), and nanoscale science and
engineering ($173.7 million, 16% above FY2001). NSF will continue its lead role in the
multi-agency National Nanotechnology Initiative. The request includes $200 million in
support of the President’s New Math and Science Partnerships Initiative (MSPI). The MSPI
will provide funding for states and local school districts to join with colleges and universities
to strengthen K-12 science and mathematics education. The NSF will provide leadership in
the MSPI. In addition to the math and science partnerships, the request highlights increased
funding for graduate students ($26.2 million) and interdisciplinary mathematics research ($20
million). The FY2002 budget provides funding of approximately $25.6 million to initiate a
new cohort of six to eight science and technology centers. The NSF will continue its
support of plant genome research, proposing $65 million in FY2002.
Table 6. National Science Foundation
($ millions)
FY1999
FY2000
FY2001
FY2002
Act.
Act.
Est.
Req.
Res. & Related Act.
Biological Sciences
$392.1
$418.3
$485.4
483.1
Computer & Inform. Sci. & Eng.
298.6
388.6
477.9
470.4
Engineering
370.1
379.8
430.8
431.1
Geosciences
478.0
487.6
562.2
558.5
Math & Physical Sci.
733.7
755.9
850.8
863.6
Social, Behav. & Econ. Sci.
142.0
162.1
164.4
163.2
U.S. Res. Prog.
183.0
190.0
210.8
214.0
U.S. Antarctic Log. Act.
62.6
68.4
62.5
62.6
Integrative Activities
161.6
129.2
97.8
80.6
Subtotal Res. & Rel. Act
2,821.6
2,979.9
3,342.6
3,327.0
Ed. & Hum. Resr.
662.7
683.6
785.6
872.4
Major Res. Equip.
56.7
105.0
121.3
96.3
Salaries & Expenses
144.1
149.3
160.5
170.0
Office of Inspec. Gen.
5.4
5.6
6.3
6.8
Total NSF
$3,690.5
$3,923.4
$4,416.4
$4,472.5
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Included in the FY2002 request is $3,327 million for Research and Related Activities
(R&RA), 0.5% ($15.7 million) below FY2001 estimate of $3,342.6 million. R&RA funds
research projects, research facilities, and education and training activities. In the FY2002
request, the NSF has placed an emphasis on funding rates for new investigators and on
increasing grant size and duration. The R&RA includes Integrative Activities (IA), created
in FY1999, which funds cross-disciplinary research, major research instrumentation,
intellectual infrastructure, and the Science and Technology Policy Institute. The FY2002
request for IA is $80.6 million, a decrease of $17.1 million below FY2001.
Research project support in the FY2002 request totals $2,219.8 million, a decrease of
1.4% below FY2001. Support is provided individuals and small groups conducting
disciplinary and cross-disciplinary research. Included in the total for research projects is
support for centers, proposed at $325 million. NSF supports a variety of individual centers
and center programs. The request provides $45 million for Science and Technology Centers
(STC). Continued support is provided for an additional five new centers initiated in FY1999.
Twelve STCs that explore interdisciplinary research activities are being phased down as
planned. Funding resulting from the phasing down of those STCs will allow for the
establishment of a new cohort of centers in FY2002. The support for Information
Technology Centers, initiated in FY2000, is $53 million. Research facility support in FY2002
is $1,024 million, 3.5% below FY2001.
The Major Research Equipment (MRE) account requested $96.3 million in FY2002,
20.6% ($25 million) below the FY2001 level. The MRE, established in FY1995, supports the
construction of major research facilities that are at the “cutting edge of science and
engineering.” Three projects are supported in this account for FY2002: the Terascale
Computing Systems ($55 million), the Large Hadron Collider ($16.9 million), and the
Network for Earthquake Engineering simulation ($24.4 million). The Atacama Large
Millimeter Array (previously referred to as the Millimeter Array) is provided $9 million from
the R&RA. This support is tentative, pending a review of facilities management issues. No
funds are requested in FY2002 for the High-Performance Instrumented Airborne Platform for
Environmental Research (HIAPER). Funding was completed in FY2001 for the South Pole
Station Modernization.
The FY2002 request for the Education and Human Resources Directorate (EHR) is
$872.4 million, 11% ($86.8 million) above the FY2001 estimate. Support at the various
educational levels in the FY2002 request is as follows: precollege, $357.7 million;
undergraduate, $150.6 million; and graduate, $103.6 million. Support at the precollege level
includes an investment of $200 million to initiate the MSPI. The MSPI addresses such issues
as teacher preparation and training, curriculum construction, and science and mathematics
standards. The MSPI is the centerpiece of EHR’s education activities at this level, resulting
in the redirection of $110 million from other EHR programs. Funding remains constant at
$20.7 million in FY2002 for Centers for Learning and Teaching (CLT). The focus of the
CLTs will be on developing the next generation of professionals to manage and direct the
development of instructional materials, large scale assessments, and education research and
evaluation. Support will continue for the Systemic Reform Initiatives and Instructional
Materials Development.
Major programs at the undergraduate level are Advanced Technological Education,
Louis Stokes Alliances for Minority Participation, Scholarship for Service, Minority-Servicing
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Institutions, and Course Curriculum, and Laboratory Improvement. The increased support
at the graduate level allows NSF to raise the stipend of graduate fellows and to increase the
number of offers to new fellowships. Support at this level is directed at the Graduate
Research Fellowship, Graduate Teaching Fellows in K-12 Education, Integrative Graduate
Education and Research Traineeships, and Alliances for Graduate Education and the
Professoriate (formerly the Minority Graduate Education program). Funding for the
Experimental Program to Stimulate Competitive Research (EPSCoR) is $74.8 million. (An
additional $24.6 million from R&RA will support EPSCoR activities.) It is anticipated that
the H-1B nonimmigrant petitioner fees collected in FY2002 will approximate $144 million.
(The American Competitiveness in the 21st Century Act, P.L. 106-313, increased the funds
available by increasing the petitioner fees).
Department of Commerce (DOC)
National Oceanic and Atmospheric Administration (NOAA)
For FY2002, The President requests $649 million for NOAA R&D (See Table 7),
approximately 21% of the total budget for the agency ($3.1 billion). This amount includes
funding for R&D equipment and R&D facilities construction and maintenance. The FY2002
request is about 2.2% greater than FY2001 appropriations (Budget officials at NOAA
contend that FY2002 request for R&D is actually $751 million. OMB and NOAA officials
are reviewing FY2002 R&D estimates.) NOAA provides R&D funding to its budget line
offices from Operations, Research, and Facilities (ORF); Procurement, Acquisition, and
Construction (PAC); and Other accounts. R&D funding requested for ORF for FY2002
would be divided as follows: National Ocean Service (NOS)-$64 million; National Marine
Fisheries Service (NMFS)-$302 million; Oceanic and Atmospheric Research (OAR)-$279
million; National Weather Service (NWS)-$17 million; National Environmental Satellite Data
and Information Service (NESDIS)-$11million; Program Support (PS)-$52 million; Fleet
Maintenance & Planning (FM&P)-$8 million. Funding for PAC would be $16 million and
Other Accounts $2.4 million (PDAF).
Some 37% of NOAA’s R&D funding request for FY2002 would go to OAR and would
fund 12 environmental research labs which do research that supports NOAA operational
programs in weather, climate, and atmosphere, and Great Lakes and oceanic research. OAR
funds intramural research and also provides grants to states through the National Sea Grant
College and National Underwater Research Programs (NURP). NMFS would receive 40%
of total R&D funding for fisheries research and research on endangered species. Together
OAR and NMFS lines would account for about 77% of all NOAA R&D Funding for FY2002.
Remaining R&D funding is distributed to other ORF budget lines including NOS, NWS and
NESDIS, and would also fund maintenance of research facilities (including non-OAR
laboratories).
In FY2002, the largest increases are slated for NMFS R&D funding, for fisheries
information collection and analysis, and for research grants to States involved in endangered
species conservation and management. The latter includes $29 million for Stellar Sea Lion
research. Other notable increases in R&D funding are for Climate and Observation Services;
NWS Operations and Research for Central Forecast Guidance; U.S. Weather Research
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Program; 2002 Ocean Exploration Initiative; PS Aircraft Services, and PDAF. A decrease is
proposed for R&D for Satellite Observation Systems under NESDIS. However, this decrease
represents a transition from research to operation for NPOESS and GOES satellite systems
funded in the operational budget.
National Institute of Standards and Technology
In his FY2002 budget proposal, President Bush is requesting $487.5 million in funding
for the National Institute of Standards and Technology (NIST), 19% less than the FY2001
appropriation (see Table 7). Support for the Scientific and Technical Research and Services
(STRS) account would be $347.3 million, 11% over the current fiscal year and includes $5.4
million for the Baldrige Quality Program. The Manufacturing Extension Program (MEP)
would be financed at $106.3 million, while the Advanced Technology Program (ATP) would
be suspended pending an evaluation, although $13 million would be provided to support on-
going project commitments. Construction efforts would be funded at $20.9 million.
The FY2001 appropriation for NIST is $598.3 million, a 6% reduction from the previous
fiscal year. Most of this decrease is due to a significantly smaller construction budget
reflecting completion of the new advanced measurement laboratory. Concurrently, there is
an 11% increase in support for the laboratory’s internal R&D activities under the STRS
account. Included in this FY2001 funding figure is $312.6 million for STRS, $105.1 million
for MEP (a 4% increase), $145.7 million for ATP (1.5% above the previous year), and $34.9
million for construction.
Department of the Interior (DOI)
The Department of the Interior’s proposed budget for FY2002 includes $593 million
for R&D, a 6.2% decrease from the $632 million estimate for FY2001 (see Table 7). The
U.S. Geological Survey is the primary science and research arm of the DOI. The USGS is the
nation’s primary provider of earth and life science information related to natural hazards; the
environment; and energy, mineral, water, and biological resources. Other DOI agencies that
perform R&D are the Park Service, the Bureau of Land Management, the Bureau of
Reclamation, and, the Minerals Management Service, whose budget would increase 49% in
FY2002 to $47 million.
Funding for USGS would decline 11% to $491 million, $59 million below the $550
million it receives in FY2001. Of its three major research areas, Water Resources
Investigations activity is scheduled to drop 21%, with the elimination of some programs,
including a significant reduction in the National Water Quality Assessment Program. The
Biological Research Program would decline $11.3 million, or 7% to $ $149.2 million. Most
of the cuts come from the Biological Information Management and Delivery program. The
third area of research, Geological Hazards, Resources and Processes, or earth sciences, is
requesting $213.8 million, $11.5 million less than FY2001 estimated level. Geological
Landscape and Coastal assessments would receive $10 million less than FY2001.
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Department of Transportation (DOT)
The Department of Transportation requests a total of $795 million for R&D during
FY2002 (see Table 7). The total R&D proposal is a 6.9% increase over the estimated total
$743 million for FY2001. Many of DOT’s R&D activities receive funds from transportation
trust funds, rather than discretionary portion of the budget. The Federal Highway
Administration’s R&D programs are estimated to receive $374 million, $81 million, or 27%
above FY2001. The Federal Aviation Administration will receive $276 million, a decrease of
$26 million below FY2001 funding. The National Highway Transportation Safety
Administration’s R&D activities will increase $1 million to $59 million for FY2002.
Environmental Protection Agency (EPA)
The Administration requests $575 million for EPA’s R&D activities in FY2002. This is
a 6% reduction from the FY2001estimated budget of $612 million (see Table 7). According
to the Office of Management and Budget, the majority of the reduction is due to the
Administration’s elimination of numerous congressionally designated research projects, that
will not be continued in FY2002. A major continuing congressional concern is the quality of
science upon which EPA bases its regulations, criteria, and programs. R&D in EPA is also
referred to as the “S&T Account,” which incorporated elements of the former research and
development account (also called extramural research) as well as EPA’s in-house R&D and
technology efforts.
Table 7. R&D Budgets of Preceding Agencies
($ millions)
FY1999
FY2000
FY2001
FY2002
Act.
Act.
Est.
Request
Nat. Oceanic & Atmos. Admin.
577
596
634
649
Nat. Instit. of Stand. & Tech.
641
636
598
488
Dept. of the Interior
532
618
632
593
Dept. of Transportation
500
603
743
795
Envir. Protection Agency
660
559
612
575
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