Order Code 95-307 SPR
Updated July 5, 2006
CRS Report for Congress
Received through the CRS Web
U.S. National Science Foundation: An
Overview
Christine M. Matthews
Specialist in Science and Technology Policy
Resources, Science, and Industry Division
Summary
The National Science Foundation (NSF) was created by the National Science
Foundation Act of 1950, as amended (P.L. 81-507). The NSF has the broad mission of
supporting science and engineering in general and funding basic research across many
disciplines. The agency provides support for investigator-initiated, merit-reviewed,
competitively selected awards, state-of-the-art tools, and instrumentation and facilities.
The majority of the research supported by the NSF is conducted at U.S. colleges and
universities. Approximately 82.7% ($3,052.5 million) of NSF’s FY2004 $3,689.9
million research and development (R&D) budget was awarded to U.S. colleges and
universities.1 Preliminary data reveal that for FY2004 the NSF provided approximately
58.7% of all federally funded basic research conducted at the nation’s colleges and
universities, with the exclusion of biomedical research sponsored by the National
Institutes of Health. In addition, NSF provides more than 30% of the total federal
support for science and mathematics education. This report will be updated periodically.
Background. The NSF’s primary responsibility is to maintain the health and
vitality of the U.S. academic science and engineering enterprise. In addition to ensuring
the nation’s supply of scientific and engineering personnel, the NSF promotes academic
basic research and science and engineering education across many disciplines.2 Other
federal agencies, in contrast, support mission-specific research (i.e., health, agriculture,
defense).
1 National Science Foundation, Federal Funds for Research and Development: Fiscal Years
2002, 2003,and 2004, Detailed Statistical Tables, NSF05-307, Arlington, VA, February 2005,
Table C-10.
2 The NSF does not provide funding for research in clinical medicine, commerce, social work,
or the arts and humanities. However, its investments in basic research contribute to scientific
advances in drug delivery, regenerative medicine, and the design and manufacturing of
pharmaceuticals.
Congressional Research Service ˜ The Library of Congress

---

CRS-2
The NSF provides support for investigator-initiated, merit-reviewed, competitively
selected awards, state-of-the-art tools, instrumentation and facilities. In FY2005, the
agency received approximately 41,700 proposals for research, graduate and postdoctoral
fellowships, and science, mathematics, and engineering projects, and made about 10,000
new funding awards. Support is provided to academic institutions, industrial laboratories,
private research firms, and major research facilities and centers. While NSF does not
operate any laboratories, it does support Antarctic research stations, selected
oceanographic vessels, and national research centers. Additionally, NSF supports
university-industry relationships and U.S. participation in international scientific ventures.
Most of the research supported by the NSF is conducted at U.S. colleges and
universities. Approximately 82.7% ($3,052.5 million) of NSF’s estimated FY2004
$3,689.9 million research and development (R&D) budget was awarded to U.S. colleges
and universities. Preliminary data reveal that in FY2004, NSF provided approximately
58.7% of all federally funded basic research conducted at the nation’s colleges and
universities, with the exclusion of biomedical research sponsored by the National
Institutes of Health.3
Figure 1. NSF R&D Support in FY2005 Constant Dollars,
FY1997 - FY2006
7,000
6,000
s 5,000
n
illio 4,000
M
in 3,000
rs
lla
o 2,000
D
1,000
0
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
R&RA
EHR
Total NSF
Source: National Science Foundation FY2007 Budget Request to Congress, p.32
3 While the FY2004 R&D appropriation of $3,689.9 million for NSF was only 3.7% of the total
federal R&D budget, the agency plays a significant role in maintaining the academic research
enterprise. Preliminary FY2004 data reveal that the NSF provided 13.1% of all federally
supported basic research and 13.7% of federal academic research. In addition, NSF was the
second largest federal supporter of academic research in FY2004, eclipsed by the Department of
Health and Human Services, which provided 71.0%. The Department of Defense, the third largest
supporter of academic research, provided 5.0%. Federal Funds for Research and Development:
Fiscal Years 2002, 2003, and 2004, Tables C-10, and C-59.

---

CRS-3
The NSF is an independent agency in the executive branch and under the leadership
of a presidentially appointed Director and a National Science Board (NSB) composed of
24 scientists, engineers, and university and industry officials involved in research and
education. The NSB and the Director make policy for the NSF.
Organization and Fiscal Year 2007 Request. The NSF has witnessed
considerable growth during a period of constrained research budgets. When measured in
current dollars, its total appropriation increased more than 69.2% in 10 years — FY1997,
$3,298.8 million; FY2001, $4,459.9 million; and FY2006, $5,581.2 million. Even when
inflation is taken into account, its growth increased (in constant FY2005 dollars) by 42%
during this 10-year period. The FY2007 request for the NSF is $6,020 million, a 7.9%
increase ($439 million) over the FY2006 level of $5,472.8 million. The President’s
American Competitiveness Initiative proposes to double the NSF budget over the next 10
years. The FY2007 request is to be the first installment toward that doubling effort. The
FY2007 request for NSF provides support for several interdependent priority areas:
broadening participation in the science and engineering enterprise, providing world-class
facilities and infrastructure, advancing research at the frontier, and bolstering K-12
education. NSF will invest approximately $640 million in programs targeted at those
groups underrepresented in the science and engineering workforce. NSF asserts that
international research partnerships are critical to the nation in maintaining a competitive
edge, addressing global issues, and capitalizing on global economic opportunities. To
address these particular needs, the FY2007 request proposes $40.6 million for the Office
of International Science and Engineering. Also, NSF will continue in its leadership role
in planning U.S. participation in observance of the International Polar Year which spans
2007 and 2008. A first-year investment of $62 million is provided to address major
challenges in polar research. Other FY2007 highlights include funding for the National
Nanotechnology Initiative ($373.2 million), investments in Climate Change Science
Program ($205.3 million), continued support for homeland security ($384.2 million), and
funding for Networking and Information Technology Research and Development ($903.7
million). Also, a new effort in the FY2007 request will be a $20 million program of
fundamental research on new technologies for sensor systems that detect explosives.
Included in the FY2007 request is $4,666 million for Research and Related Activities
(R&RA), a 7.7% increase ($334.5 million) over the FY2006 level of $4,331.5 million.
R&RA funds research projects, research facilities, and education and training activities.
Partly in response to concerns in the scientific community about the imbalance between
support for the life sciences and the physical sciences, the FY2007 request provides
increased funding for the physical sciences—$248.5 million, a 6.6% increase ($15.4
million) over the FY2006 estimate. R&RA includes Integrative Activities (IA), and is a
source of funding for the acquisition and development of research instrumentation at U.S.
colleges and universities, disaster research teams, Partnerships for Innovation, and the
Science and Technology Policy Institute. The FY2007 request for IA is $131.4 million,
a 4.2% decrease ($5.8 million) from the FY2006 estimate. The Office of Polar Programs
(OPP), funded in the R&RA, is proposed at $438.1 million in the FY2007 request, 12.5%
above FY2006. Significant increases in OPP for FY2007 have been directed at the
programs for arctic and antarctic sciences. In FY2006, responsibility for funding the costs
of icebreakers that support scientific research in polar regions was transferred from the

---

CRS-4
U.S. Coast Guard to NSF.4 The NSF will continue to operate and maintain the three
icebreakers.
The FY2007 request supports seven major directorates and other programs and
activity accounts. The directorates are the Biological Sciences; Computer and Information
Science and Engineering; Education and Human Resources; Engineering; Geosciences;
Mathematical and Physical Sciences; and Social, Behavioral, and Economic Sciences.
Six of the seven directorates are in the R&RA. In addition to the directorates, the R&RA
includes the OPP and IA. The seven major directorates are described below.
Biological Sciences (BIO). The FY2007 request of $607.9 million for the BIO
Directorate supports programs structured to improve scientific understanding of biological
phenomena, ranging from the study of fundamental molecules of living organisms to the
complexity of biological systems. Types of support provided include research workshops,
symposia, conferences, the improvement of research collections, purchase of scientific
equipment, and operation of research facilities.
Computer and Information Science and Engineering (CISE). The CISE
Directorate, proposed at $526.7 million in FY2007, supports programs focused on the
fundamental understanding of computing and information processing, and the use of state-
of-the-art computational techniques in scientific and engineering research. Currently,
areas of research emphasized are parallel processing, automation and robotics, large-scale
integrated electronic systems, scientific computing, and networking.
Education and Human Resources (EHR). The FY2007 request of $816.2
million for EHR supports science, engineering, mathematics, and technology education.
People receiving support from the EHR include senior researchers, postdoctoral
associates, graduate and undergraduate students, and teachers and students at the
precollege level. Additional support is provided to individuals through informal science
activities.
Engineering (ENG). The ENG, with a request of $628.6 million in FY2007, is
directed at enhancing the long-term economic strength and security of the Nation by
fostering innovation and excellence in engineering education and research. It focuses on
integrating education and research in interdisciplinary areas such as information and
communication technologies, biotechnology, and environmental research.
Geosciences (GEO). The FY2007 request of $744.9 million for the GEO
Directorate provides support to programs that promote knowledge and discussions
concerning earth, including the sun, atmosphere, continents, oceans, and interior, and the
linkages among them. One of the objectives of the GEO is to expand the knowledge of
the biological, chemical, geological, and physical processes in the ocean, and at its
boundaries, with the atmosphere and the earth’s crust.
4 While the NSF does not own the ships, it is responsible for the operation, maintenance, and
staffing of the vessels. The United States has maintained a presence in the Antarctic for almost
40 years, and 90% of the icebreakers duties are devoted to polar research. NSF has been directed
to pursue alternative sources of funding for the icebreaking fleet beyond 2006.

---

CRS-5
Mathematical and Physical Sciences (MPS). The FY2007 request of
$1,150.3 million for the MPS would fund programs designed to increase the knowledge
base in the relevant sciences; improve the quality of educational programs, with emphasis
at the undergraduate level; improve the rate at which research efforts are translated into
societal benefits; and increase the diversity of approaches and individuals in the
mathematical and physical sciences.
Social, Behavioral, and Economic Sciences (SBE.) The SBE Directorate,
proposed at $213.8 million in FY2007, supports programs directed at developing basic
scientific knowledge about human behavior, culture, interaction, and decisionmaking, and
about social, political, and economic systems, organizations, and institutions. The SBE
also serves as the nation’s primary data source on science and engineering human,
institutional, and financial resources.
Other Program Activities and Accounts. The Major Research Equipment and
Facilities Construction (MREFC) account is funded at $240.5 million in the FY2007
request, a 26% increase over FY2006. The MREFC supports the acquisition and
construction of major research facilities and equipment that extend the boundaries of
science, engineering, and technology. First priority for funding is directed at ongoing
projects. Second priority is given to projects that have been approved by the NSB for new
starts. NSF requires that in order for a project to receive support, it must have “the
potential to shift the paradigm in scientific understanding and/or infrastructure
technology.” Five ongoing projects and two new starts are funded in the FY2007 request.
Projects receiving support are the Atacama Large Millimeter Array Construction ($47.9
million), EarthScope ($27.4 million), IceCube Neutrino Observatory ($28.7 million),
National Ecological Observatory Network ($12 million), Scientific Ocean Drilling Vessel
($42.9 million), Alaskan Region Research Vessel ($56 million), and Ocean Observatories
Initiative ($13.5 million).
The EHR is proposed at $816.2 million in FY2007, a 2.5% increase ($19.5 million)
over FY2006. The EHR portfolio is focused on increasing the technological literacy of
all citizens, preparing the next generation of science, engineering, and mathematics
professionals, and closing the achievement gap in all scientific fields. Support at the
educational levels is: precollege, $215 million; undergraduate, $196.8 million; and
graduate, $160.6 million. The Math and Science Partnership Program (MSP) is funded
at $46 million, 27.2% below FY2006. Funding will support ongoing awards (no new
partnerships are proposed), data collection, evaluation, and dissemination. Added support
is given to programs directed at increasing the number of underrepresented minorities in
science, mathematics, and engineering. Among these targeted programs in the FY2007
request are the Historically Black Colleges and Universities Programs ($29.7 million),
Tribal Colleges and Universities Program ($12.4 million), Louis Stokes Alliances for
Minority Participation ($39.7 million), and Centers of Research Excellence in Science and
Technology ($24.9 million). Funding for the Experimental Program to Stimulate
Competitive Research (EPSCoR) is $100 million in the FY2007 request, a slight increase
of $1.3 million over the FY2006 estimate.
Policy Issues. There has been considerable debate in the academic and scientific
community and in Congress about the management and oversight of major projects
selected for construction and the need for prioritization of potential projects funded in the
MREFC account. One continuing question has focused on the process for including

---

CRS-6
major projects in the upcoming budget cycle. Appropriation language directed the NSF
to improve its oversight of large projects by developing an implementation plan that
included comprehensive guidelines and project oversight review. In September 2005, the
NSB released its management report on the new guidelines for the development, review,
and approval of major projects — Setting Priorities for Large Research Facility Projects
Supported by the National Science Foundation.5 The report describes facilities under
construction and those being considered for future funding. Because of the changing
nature of science and technology, NSF finds it necessary to have the flexibility of
reconsidering facilities at the various stages of development. Also, the NSF states that
it must be able to respond, effectively, to possible changes in interagency participation,
international and cooperative agreements, or co-funding for major research facilities.
NSF encourages project planning from disciplines and fields in which scientists and
engineers have not traditionally partnered or collaborated. The report notes that while
some “concepts” may evolve into MREFC candidates, others may prove infeasible for
major project support. The facility plan will be updated as needed.
Several pieces of competitiveness legislation have been introduced in the 109th
Congress that have as a key provision, funding and strengthening science and
mathematics education. There are concerns about the nation’s continued ability to
compete in world markets and to produce a scientific and technical workforce that would
ensure economic prosperity and military capability. The Administration’s American
Competitiveness Initiative contends that there are several “gaps” in the educational system
that need to be addressed in order to better prepare U.S. students for a workforce that is
increasingly more scientifically and technically proficient.6 The priorities of the NSF are
to advance the productivity of research for students and teachers and to increase the
number of U.S. students pursuing scientific and technical disciplines. However, there are
proposed cuts and level funding for several science education programs in NSF’s FY2007
budget request. Also, there are reported efforts to shift support for some programs to the
Department of Education. Overall, support for EHR has declined from $944.1 million in
FY2004 to $816.2 million in the FY2007 request. Questions are being raised as to
whether the NSF can address the “gaps” and effectively continue in its explicit mission
and responsibility to improve science and mathematics education with the current level
of funding.7 In March 2006, the NSB approved a commission to prepare a national action
plan for improving science and mathematics education. A report is expected in one year.
On June 29, 2006, the House passed H.R. 5672, Science-State-Justice-Commence
Appropriation Bill, FY2007 (H.Rept. 109-520). The bill provides $6,020 million for the
NSF in FY2007, the amount requested by the Administration. Included in the funding is
$4,666 million for R&RA, again, the same as the request. The MREFC is funded at
$237.3 million, $3 million below the Administration’s request. The EHR is funded at
$832.4 million, approximately $16.2 million above the request. Included in the amount
for the EHR is $105 for EPSCoR, $5 million above the amount requested.
5 National Science Board, Setting Priorities for Large Research Projects Supported by the
National Science Foundation, NSB05-77, Arlington, VA, September 2005, 31 pp.
6 Office of Science and Technology Policy, Domestic Policy Council, American Competitiveness
Initiative - Leading the World In Innovation, February 2006, Washington, DC, 23 pp.
7 Mervis, Jeffrey, “National Science Foundation: Is the Education Directorate Headed for a
Failing Grade?,” Science, v. 311, February 24, 2006, pp. 1092-1093.

---