U.S. National Science Foundation: An
Overview
Christine M. Matthews
Specialist in Science and Technology Policy
March 12, 2009
Congressional Research Service
7-5700
www.crs.gov
95-307
CRS Report for Congress
P
repared for Members and Committees of Congress
U.S. National Science Foundation: An Overview
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% ($3,094.8 million) of NSF’s
FY2006 $3,740.6 million research and development (R&D) budget was awarded to U.S. colleges
and universities.
On February 17, 2009, President Obama signed into law the American Recovery and
Reinvestment Act, 2009, P.L. 111-5 (H.R. 1). The legislation provides approximately $3.0 billion
for the NSF—$2.5 billion for R&RA, $400.0 million for MREFC, $100.0 million for EHR, and
$2.0 million for the Office of Inspector General. Language in the conference agreement directs
that within the R&RA, $300.0 million be available solely for the Major Research Instrumentation
program. Additional conference language directs that of the total provided to EHR, $60.0 million
be directed to the Robert Noyce Program, $25.0 million be directed to the MSP, and $15.0 million
used solely for the Professional Science Master’s Program. The House-passed version of H.R. 1
had provided similar funding levels for the selected directorates and programs. The Senate-passed
version of the legislation, however, would have provided slightly more than $1.2 billion for the
NSF—$1.0 billion for R&RA, $150.0 million for MREFC, $50.0 million for EHR, and $2.0
million for the Office of Inspector General.
On March 11, 2009, President Obama signed into law P.L. 111-8 (H.R. 1105), the Omnibus
Appropriations Act, 2009. The act provides a total of $6,490.4 million for the NSF in FY2009.
Included in the total for NSF is $5,183.1 million for R&RA, approximately $410.9 million below
the Bush Administration’s request and $339.1 million above the FY2008 estimate. Other funding
levels for programs in FY2009 include $152.0 million for MREFC and $845.3 million for EHR.
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U.S. National Science Foundation: An Overview
Contents
Background ................................................................................................................................ 1
Organization and FY2009 Request .............................................................................................. 2
Biological Sciences (BIO)..................................................................................................... 3
Computer and Information Science and Engineering (CISE) ................................................. 3
Education and Human Resources (EHR) ............................................................................... 3
Engineering (ENG) ............................................................................................................... 4
Geosciences (GEO)............................................................................................................... 4
Mathematical and Physical Sciences (MPS) .......................................................................... 4
Social, Behavioral, and Economic Sciences (SBE) ................................................................ 4
Other Program Activities and Accounts ....................................................................................... 4
Policy Issues ......................................................................................................................... 5
Figures
Figure 1. NSF R&D Support in FY2008 Constant Dollars FY1999-FY2008............................... 2
Contacts
Author Contact Information ........................................................................................................ 7
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U.S. National Science Foundation: An Overview
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.1 Other federal agencies, in contrast, support mission-specific
research (i.e., health, agriculture, defense).
The NSF provides support for investigator-initiated, merit-reviewed, competitively selected
awards, state-of-the-art tools, instrumentation and facilities. NSF receives approximately 42,000
proposals for research, graduate and postdoctoral fellowships, and science, mathematics, and
engineering projects annually, and makes 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.
The majority of the research supported by the NSF is conducted at U.S. colleges and universities.
Approximately 82.7% ($3,094.8 million) of NSF’s estimated FY2006 $3,740.6 million research
and development (R&D) budget was awarded to U.S. colleges and universities.2 Preliminary data
reveal that in FY2006, NSF provided approximately 59.8% 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
1 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.
2 National Science Foundation, Federal Funds for Research and Development: Fiscal Years 2004-2006, Detailed
Statistical Tables, NSF07-323, Arlington, VA, June 2007, Table 10.
3 While the FY2006 R&D appropriation of $3,740.6 million for NSF was only 3.5% of the total federal R&D budget,
the agency plays a significant role in maintaining the academic research enterprise. Preliminary FY2006 data reveal
that the NSF provided 13.1% of all federally supported basic research and 12.9% of federal academic research. In
addition, NSF was the second largest federal supporter of academic research in FY2006, eclipsed by the Department of
Health and Human Services, which provided 66.3%. The Department of Defense, the third largest supporter of
academic research, provided 7.8%. Federal Funds for Research and Development: Fiscal Years 2004-2006, Tables 10
and 29.
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U.S. National Science Foundation: An Overview
Figure 1. NSF R&D Support in FY2008 Constant Dollars
FY1999-FY2008
7,000
6,000
5,000
s
n
illio 4,000
M
n
s i 3,000
llar
o
D 2,000
1,000
0
1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
R&RA
EHR
Total NSF
Source: National Science Foundation FY2009 Budget Request to Congress, Summary Tables - 18.
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 FY2009 Request
The NSF has witnessed considerable growth during a period of constrained research budgets.
When measured in current dollars, its total appropriation increased approximately 64.3% in 10
years—FY1999, $3,690.3 million; FY2003, $5,369.3 million; and FY2008, $6,065.0 million.
Even when inflation is taken into account, its growth increased 32.3% during this 10-year period.
The FY2009 request for the NSF is $6,854.1 million, a 13% increase ($789.1 million) over the
FY2008 estimate of $6,065.0 million. President Bush has proposed doubling the NSF budget over
10 years, from FY2007 to FY2016, as part of his American Competitiveness Initiative (ACI). The
FY2009 request represents another installment toward that doubling effort. NSF has identified
several strategies in the FY2009 budget request: to maintain a portfolio with “powerful
momentum” across all disciplines; to build a world-class science and engineering workforce; to
perform effectively with the highest standards of accountability; and to support potentially
transformative research. Transformative research is described as “cutting edge” and revolutionary
and several reports have recommended that funds be allocated specifically for this type of
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research.4 NSF contends that in the global environment of science and engineering, support for
transformative, high-risk, high-reward research is critical to U.S. competitiveness.
The FY2009 request provides support for seven major directorates and other programs and
activity accounts. The Research and Related Activities (R&RA) account is funded at $5,594.0
million in the FY2009 request, 15.5% above the FY2008 estimate. R&RA funds research
projects, research facilities, and education and training activities. 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 FY2009 request for IA is
$276.0 million. The Office of Polar Programs (OPP), funded in the R&RA, is proposed at $490.1
million in the FY2009 request. 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 account. The seven major directorates are
described below.
Biological Sciences (BIO)
The FY2009 request of $675.1 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 to be 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 is proposed at $638.8 million in the FY2009 request. Programs in CISE
focus 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 emphasis include parallel processing, automation and robotics, large-scale integrated
electronic systems, scientific computing, and networking.
Education and Human Resources (EHR)
The FY2009 request of $790.4 million for EHR supports science, engineering, mathematics, and
technology education at all educational levels. People receiving funding 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.
4 FY2008 appropriation report language directs NSF to review its polices concerning transformative research.
Appropriators have directed the agency to issue a report suggesting how transformative research can be included in
NSF’s portfolio of research activities.
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U.S. National Science Foundation: An Overview
Engineering (ENG)
The activities of the ENG, at $759.3 million in the FY2009 request, are directed at enhancing the
long-term economic strength and security of the nation by fostering innovation and excellence in
engineering education and research. The ENG is focused on integrating education and research in
interdisciplinary areas such as information and communication technologies, biotechnology, and
environmental research.
Geosciences (GEO)
The FY2009 request of $848.7 million for the GEO Directorate is to support 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.
Mathematical and Physical Sciences (MPS)
The FY2009 request of $1,402.7 million for the MPS is to 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 $233.5 million in FY2009, is to support 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 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
$147.5 million in the FY2009 request, a decrease of $73.2 million from the FY2008 estimate. 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, and second priority is given to new starts. The FY2009 request
supports three ongoing projects: Advanced Laser Interferometer Gravitational Wave Observatory
($51.4 million), Atacama Large Millimeter Array ($82.3 million), and the IceCube Neutrino
Observatory ($11.3 million). The request also provides $2.5 million to support design activities
for a new start, the Advanced Technology Solar Telescope.5
5 For expanded discussion of the MREFC account see CRS Report RS21267, U.S. National Science Foundation: Major
(continued...)
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The FY2009 request for the EHR Directorate is $790.4 million, $64.8 million (8.9%) above the
FY2008 estimate. The EHR portfolio is focused on, among other things, increasing the
technological literacy of all citizens; preparing the next generation of science, engineering, and
mathematics professionals; and closing the achievement gap of underrepresented groups in all
scientific and technical fields. Support at the various educational levels in the FY2009 request is
as follows: research on learning in formal and informal settings (including precollege), $226.5
million; undergraduate, $219.8 million; and graduate, $190.7 million.
Policy Issues
In September 2006, the NSF released the report, Investing in America’s Future- Strategic Plan
FY2006-2011.6 The report addresses the accelerating pace of scientific discoveries that are
occurring in a more competitive international environment. The Strategic Plan lists several
investment priorities that are targeted for increased emphasis or funding over the next five years.
The investments include furthering U.S. economic competitiveness; promoting transformational,
multidisciplinary research; improving K-12 teaching and learning in science and mathematics;
developing a comprehensive, integrated cyberinfrastructure; and strengthening the nation’s
collaborative advantage through unique networks and innovative partnerships.
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 major projects in the upcoming budget cycle. In a
management report on major projects, NSF contends that because of the changing nature of
science and technology, it is necessary to have the flexibility of reconsidering facilities at the
various stages of development.7 In addition, NSF asserts that it must be able to respond,
effectively, to possible changes in interagency participation, international and cooperative
agreements, or co-funding for major facilities. NSF maintains that while some “concepts” may
evolve into major research projects, others may prove infeasible for project support.
In February 2008, NSF released its third annual Facility Plan.8 The 2008 Facility Plan covers
readiness stage projects through those projects that are in the process of completion. The Facility
Plan describes NSF’s goals and strategies for incorporating the existing approaches and practices
into a system for selecting, managing, and overseeing large facility projects to make certain that a
large facility is both constructed properly and is the appropriate facility to build. All projects
seeking funding in the MREFC move through a “progressive sequence of increasingly detailed
development and assessment steps” in order to be considered for construction support.
Several pieces of competitiveness legislation have been introduced in the 110th Congress to
strengthen 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
(...continued)
Research Equipment and Facility Construction, by Christine M. Matthews.
6 National Science Foundation, Investing in America’s Future-Strategic Plan FY2006-2011, NSF06-48, Arlington, VA,
September 2006, 19 pp.
7 National Science Board, Setting Priorities for Large Research Projects Supported by the National Science
Foundation, NSB05-77, Arlington, VA, September 2005, 31 pp.
8 National Science Foundation, 2008 Facility Plan, NSF08-24, Arlington, VA, February 2008, 44 pp.
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U.S. National Science Foundation: An Overview
would ensure economic prosperity and military capability. A priority of the NSF is 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, the FY2009 request proposed reductions
for some science education programs. The America COMPETES Act authorized increased
funding for selected science and mathematics education programs, and the establishment of some
new programs. Several of these programs did not receive the authorized level of funding in the
FY2009 budget request.9 Support for EHR has declined from $849.9 million in FY2004 to $790.4
million in the FY2009 request. Questions are being raised as to whether the NSF can effectively
continue in its explicit mission and responsibility to improve science and mathematics education.
On June 30, 2008, the President signed into law the Supplemental Appropriations Act, 2008 (P.L.
110-252, H.R. 2642). The act provides, among other things, $62.5 million in emergency
supplemental funding for the NSF. Included in the total is $22.5 million for R&RA, of which $5.0
million is to be available solely for the Integrative Graduate Education and Research Traineeship
Program. The supplemental provides $40.0 million for the EHR, of which $20.0 million is
directed toward activities of the Robert Noyce Scholarship Program.
On February 17, 2009, President Obama signed into law P.L. 111-5, the American Recovery and
Reinvestment Act, 2009 (H.R. 1). The legislation provides approximately $3.0 billion for the
NSF—$2.5 billion for R&RA, $400.0 million for MREFC, $100.0 million for EHR, and $2.0
million for the Office of Inspector General. Language in the conference agreement directs that
within the R&RA, $300.0 million be available solely for the Major Research Instrumentation
program. Additional conference language directs that of the total provided to EHR, $60.0 million
be directed to the Robert Noyce Program, $25.0 million be directed to the MSP, and $15.0 million
used solely for the Professional Science Master’s Program. The House-passed version of H.R. 1
had provided similar funding levels for the selected directorates and programs. The Senate-passed
version of the legislation, however, would have provided slightly more than $1.2 billion for the
NSF—$1.0 billion for R&RA, $150.0 million for MREFC, $50.0 million for EHR, and $2.0
million for the Office of Inspector General.
On March 11, 2009, President Obama signed into law P.L. 111-8, the Omnibus Appropriations
Act, 2009 (H.R. 1105). The act provides a total of $6,490.4 million for the NSF in FY2009.
Included in the total for NSF is $5,183.1 million for R&RA, approximately $410.9 million below
the Bush Administration’s request, and $339.1 million above the FY2008 estimate.10 Other
funding levels for programs in FY2009 include $152.0 million for MREFC and $845.3 million
for EHR.
9 See CRS Report RL34396, The America COMPETES Act and the FY2009 Budget, by Deborah D. Stine.
10 Funding levels for the various directorates and programs in the FY2009 appropriations for R&RA have yet to be
made available.
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Author Contact Information
Christine M. Matthews
Specialist in Science and Technology Policy
cmatthews@crs.loc.gov, 7-7055
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