Research and Development Funding: Fiscal Year 2002
Order Code IB10083
CRS Issue Brief for Congress
Received through the CRS Web
Research and Development Funding:
Fiscal Year 2002
Updated November 14, 2001
John Dimitri Moteff, Coordinator
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress
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
In the President’s Budget released in
search and development for that department,
April, President Bush requested $95.253
changing the percentages noted above.
billion for federal R&D in FY2002, a 5.8%
increase over the estimated $90.010 billion
The Administration highlighted three
appropriated for FY2001. The budget included
multi-agency research initiatives in its FY2002
$48.579 billion for Defense R&D (DOD’s plus
budget submission. Funding for the 12 agency
DOE’s weapons R&D activities), an increase
(up from 6 agencies in FY2001)
of 8.1%. Federal civilian R&D, for FY2002,
Nanotechnology program is scheduled to
would increase to $46.674 billion, 3.6% above
increase 15% to $485 million. Support for the
FY2001 estimated $45.064 billion level. The
Networking and Information Technology
President’s FY2002 budget also proposes to
program would increase $40 million or 2%,
permanently extend the Research and Experi-
reaching $1.969 billion. Funding for the U.S.
mentation (R&E) tax credit.
Global Change Research (USGCR) program
would decline 4% below FY2001, to $1.630
Funding for basic research in the Presi-
billion. A proposed $90 million reduction in
dent’s budget would increase 6.2% to $23.352
NASA’s portion of USGCR (mostly in earth
billion, while applied research is proposed to
sciences) accounts for the entire decrease.
increase 4% to $21.553 billion. Together,
basic and applied research (referred to as the
The President’s FY2002 R&D budget has
“research” portion of the R&D budget) would
raised an issue about the composition of the
account for 47% of total federal R&D spend-
research portion of the federal R&D budget.
ing, up from 34% of total R&D in FY1990.
The Administration’s proposed $23 billion
budget for NIH would increase its share of
Two agencies, DOD and NIH, account
total civilian R&D to 49%, up from 35% in
for the entire growth in the R&D budget. All
1990. Members of Congress and representa-
of the other civilian agencies (except transpor-
tives from the scientific community have
tation, which receives R&D funds from a
voiced concerns about what they believe is a
mandatory trust fund) would see their FY2002
growing funding “imbalance” between health
research budgets’ decline from estimated
related research and other fields such as physi-
FY2001 levels. Absent NIH’s proposed 13.5%
cal sciences, environmental sciences, and
increase ($2.7 billion), funding for the remain-
engineering.
ing civilian R&D programs would decline
around 3%.
To date, both the House and Senate have
voted to increase the agencies’ research and
On June 27, the President released an
development funding above the President’s
amended budget request for the Department of
request. Even so, in some cases, funding
Defense, adding another $5.6 billion for re-
would still be below last year’s appropriations.
Congressional Research Service ˜ The Library of Congress
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MOST RECENT DEVELOPMENTS
Appropriation bills for Interior and Energy and Water have been signed into law (P.L.
107-63 and P.L. 107-66, respectively). In addition, both the House and Senate have agreed
to the conference report on VA/HUD appropriations (H.Rept. 107-272). The bill awaits the
President’s signature. The House approved the Agriculture appropriations conference
report (H.Rept. 107-275). The Commerce/Justice/State appropriations bill was reported
(H.Rept. 107-278) out of conference. The Senate approved its version of the Labor/HHS
appropriations bill (S. 1536). The House Appropriations Committee approved its defense
appropriations bill, but has not yet reported it out.
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 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.
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
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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 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.
On November 9, 2001, the Committee on Conference filed the conference report for
H.R. 2330, Agricultural, Rural Development, Food and Drug Administration and Related
Agencies, 2002 (H. Rept. 107-275). Conferees provided a total of $2,261.1 million for
research and education activities in USDA in FY2002, $117 million above the
Administration’s request, and $57.4 million below the FY2001 estimate. Included in that
total is $1,098.5 million for the ARS, of which $119 million is for the support of buildings and
facilities. CSREES is funded at $981.6 million, the Economic Research Service at $67.2
million, and the NASS at $113.8 million.
Table 1. U.S. Department of Agriculture
($ millions)
FY2000
FY2001
FY2002
FY2002
Act.
Est.
Req.d
Conf.
Agric. Research Service (ARS)
Soil & Water Conservation
88.0
92.1
90.0
Plant Science
296.0
336.4
324.8
Animal Science
135.0
142.8
147.1
Commodity Conversion & Delivery
175.0
185.5
202.3
Human Nutrition
72.0
75.3
75.7
Integration of Agricultural Systems
32.0
37.1
37.6
Information and Library Sciences
18.0
19.5
19.8
Repair and Maintenance
19.0
18.2
18.2
Contingencies & Trust Funds
20.0
23.0
23.0
Subtotal
855.0
938.6
938.6
979.5
Buildings & Facilities
53.0
74.2
30.5
119.0
Total, ARS
908.0
1,012.8
969.1
1,098.5
Coop. St. Res. Ed. & Ext. (CSREES)
Research and Education
Hatch Act Formula
180.5
180.5
180.1
180.1
Cooperative Forestry Research
21.9
21.9
21.9
21.9
1890 Colleges and Tuskegee Univ.
30.7
32.7
32.7
34.6
Special Research Grants
63.2
85.7
2.8
97.0
NRI Competitive Grants
119.3
106.0
106.0
120.5
Animal Health & Disease Res.
5.1
5.1
5.1
5.1
Federal Administration
14.8
18.1
4.5
21.7
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FY2000
FY2001
FY2002
FY2002
Act.
Est.
Req.d
Conf.
Higher Educationb
28.0
34.0
35.0
39.3
Total, Coop. Res. & Educ.c
490.0
506.2
407.3
542.1
Extension Activities
Smith-Lever Sections 3b&c
276.5
276.5
275.9
275.9
Smith-Lever Sections 3d
88.5
100.6
100.5
91.5
Renewable Resources Extension
3.2
3.2
3.2
4.1
1890 Research & Extension
58.0
28.2
28.2
44.7
Federal Admin. & Special Grants
26.0
18.1
5.7
17.6
Total, Extension Activitiesc
424.9
432.0
413.4
439.5
Total, CSREESc
1,074.0
1,138.0
994.0
981.6
Economic Research Service
64.0
67.0
67.2
67.2
National Agric. Statistics Serv.
99.0
100.7
113.8
113.8
TOTAL, Research, Education &
Economics
$2,145.0
$2,318.5
$2,144.1
$2,261.1
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.
Department of Energy (DOE)
For FY2002, DOE requested $8.00 billion (see Table 2), 2.9% below the FY2001 level,
for all R&D activities: Energy Resources, Science, National Security, and Environmental
Quality. DOE stated that its FY2002 request is designed to meet Administration priorities
and to respond to policy reviews currently underway. Congress approved the conference
reports (P.L.107-63/H.Rept.107-234 and H.R.2311/H.Rept.107-258) for the two
appropriations bills responsible for DOE R&D programs, providing $8.77 billion for R&D
for FY2002, 9.6% above the request and 6.3% above the FY2001 level.
For Energy Resources R&D, DOE requested $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
proposed $150 million for a clean coal power initiative. Congress agreed to an increase of
36.8% for Conservation R&D above the request. They also approved the full request for the
clean coal power initiative, although a portion of the funds are to come from funds previously
appropriated for the Clean Coal Technology program.
For Science, DOE requested $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. In the final appropriations bill, Congress approved $3.251
billion for DOE’s science programs. Most of the programs would receive funding at their
requested levels. Funding for the BER program would be well above the request, primarily
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because of the presence of many congressional specified activities. Congress fully funded the
FY2002 construction request for the Spallation Neutron Source within the Basic Energy
Sciences program.
For National Security R&D, DOE requested $3.399 billion for FY2002, 2.3% above
the FY2001 level. The weapons R&D program would see an increase of $147.6 million. For
the National Ignition Facility (NIF), DOE requested $245 million for construction, $46
million above FY2001. In the final appropriations bill, Congress approved $3.611 billion for
national security R&D including the full request for NIF. The act provides an increase over
the request of 4.9% for weapons R&D and 18.4% for nonproliferation R&D.
Congress appears to be focusing on the role of energy R&D in helping to address the
nation’s energy problems. The House stated that there appears to be a disconnect between
the Administration’s National Energy Policy and the DOE budget request, but that DOE
needed to do a better job setting goals and priorities in its renewable energy program.
Congressional support for the Office of Science is strong, but limited budget resources appear
to be constraining any increases. Congressional support for the stockpile stewardship
program remains strong, with some concern that the program is not receiving adequate
resources.
Table 2. DOE R&D Budget
($ millions)
FY2001
FY2002
FY2002
FY2002
FY2002
Appro.
Request
Housec
Senatec
Confc
Energy Resources
1505.7
1242.7
1632.7
1741.1
1675.7
Clean Coal Technology a
9.0
82.0
14.0
33.7b
(6.3)b
Fossil Energy
450.5
449.0
579.0
570.4
582.8
Nuclear Energy
109.1
85.6
93.2
128.6
106.2
Renewable Energy
373.2
276.2
376.8
435.6
396.0
Conservation
572.9
431.4
583.7
606.5
590.7
Science
3160.6
3164.8
3173.3
3273.7
3250.8
High Energy Physics
712.0
716.1
716.1
725.1
716.1
Nuclear Physics
360.5
360.5
361.5
373.0
360.5
Basic Energy Sciences
991.7
1004.7
1006.7
1040.7
1003.7
Adv Scientific Computing
165.8
163.0
163.0
163.0
158.1
Biological & Environmental
462.5
443.0
445.9
490.0
527.4
Fusion Energy Sciences
248.5
248.5
248.5
248.5
248.5
Other
199.7
229.0
231.6
233.4
236.3
Defense Programs
3325.0
3399.8
3342.4
3791.3
3611.3
Nuclear Weapons
2359.0
2505.7
2438.3
2790.1
2629.0
Nonprolif & Verification
244.5
206.1
216.1
258.2
244.3
Naval Reactors
687.3
688.0
688.0
688.0
688.0
Adv Accel Apps
33.9
0
0
55.0
50.0
Environmental Quality
252.1
196.0
226.9
271.7
255.8
Science and Technology
252.1
196.0
226.9
271.7
255.8
TOTAL, DOE
8243.4
8003.3
8375.7
9078.0
8774.3
a Accounts for previously appropriated funds. The amounts are not included in the totals.
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b These include $33.7 million of previously appropriated funds to be applied to the Clean Coal Power
Initiative within Fossil Energy R&D. The Conference agreement defers $40.0 million of such funds to
FY2003.
c The totals and subtotals do not include general reductions or offsets for charges for reimbursable work
because those adjustments have not yet been applied to the individual programs.
Department of Defense (DOD)
In its amended FY2002 budget for the Department of Defense (DOD), the Bush
Administration requested an additional $5.6 billion for DOD’s Research, Development, Test
and Evaluation (RDT&E) account. The total RDT&E request is now $47.4 billion. This
does not include the $578 million in RDT&E funding for the Defense Health Program ($421
million) and the Army’s Chemical Agents and Munitions Destruction Program ($157 million).
The amended RDT&E request is $6.4 billion above the amount appropriated for RDT&E in
FY2001. Much of this increase is directed at ballistic missile defense. The Ballistic Missile
Defense Organizations RDT&E request has risen to $7.0 billion. BMDO’s RDT&E
appropriation for FY2001 was $4.3 billion. It should be noted, however, that the BMDO
program is changed somewhat, with some more mature BMDO programs transferred to the
Services (e.g. Patriot PAC-3) and other less mature ballistic missile defense- related program
managed by the Services transferred back to BMDO (e.g. the Air Force’s Airborne Laser
program). The amended request also gives greater emphasis to programs the Administration
believes to be more suitable to far term threats, including those to counter unconventional
attacks and attacks with weapons of mass destruction, and systems (including unmanned
systems) that can locate, track, and attack targets with greater speed and at greater distances.
While the amended budget raised the total RDT&E request, the Science and Technology
(S&T) part of the RDT&E program was reduced. In its “Blueprint” budget of last April, the
Administration requested $9.1 billion for S&T programs. The amended budget reduces this
to $8.8 billion. This is still over $1.5 billion more that what the Clinton Administration had
proposed to spend on S&T in FY2002, but less than what Congress appropriated for S&T
for FY2001 ($9.0 billion). The Administration notes that the amended S&T request amounts
to 2.7% of the total DOD budget, within the range Under Secretary Pete Aldridge has set as
a target. The $8.8 billion for S&T is still above the target set by Congress in its FY1999
defense authorization bill. That target was to increase S&T by 2% above inflation through
FY2008, using the FY1999 S&T budget request as a baseline. According to that target, S&T
funding for FY2002 should be approximately $8.0 billion.
The House appropriations committee has recommended appropriating $48.6 billion for
RDT&E. The bill establishes a new appropriations title (Tile IX - Counter-Terrorism and
Defense Against Weapons of Mass Destruction). The new title consolidates the funding of
major Defense-wide programs the committee feels targets the new threats the nation faces.
The pace of transitioning the force structure to meet these new threats (terrorism, weapons
of mass destruction, cyber attacks and other asymmetric threats) has been debated for some
time. The Bush Administration expressed its goal of accelerating that transition. The House
appropriations committee felt it would be easier to track and evaluate that transition by
consolidating relevant defense-wide programs into the new title. The new title includes all
of the Ballistic Missile Defense program, all of the procurement and RDT&E associated with
the Chemical and Biological Defense Program (including DARPA’s biological warfare
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defense program), all of the Defense Threat Reduction Program, and the Cooperative Threat
Reduction program.
In addition, the committee recommended an additional $1.7 billion for a Counter-
Terrorism and Operational Response Transfer Fund. This fund would allow the Secretary of
Defense and the Director of Central Intelligence the flexibility to allocate these funds were
needed to accelerate efforts in the war on terrorism. Of this $1.7 billion, $155 million is to
be directed toward RDT&E in chem/bio defense and in information assurance programs.
S&T funding under the bill would increase to $9.7 billion. However, there are
adjustments associated with a Joint DOE Research effort and a waiver for BMDO of P.L.
102-564, which allows for increases in contributions to the Small Business Innovative
Research Program.
Table 3. Department of Defense RDT&E
($ millions)
FY2000
FY2001
FY2002
House
est.
amended
Apprn.
request
Accounts
Army
5,314
6,280
6,694
7,115
Navy
9,065
9,458
11,123
10,896
Air Force
14,527
13,993
14,344
14,884
Defense Agencies
9,551
11,053
15,051
15,438c
(DARPA)
(1,850)
(2,010)
(2,281)
(2,206)
(BMDOa)
(3,457)
(4,204)
(7,036)
(7,054)
Dir. Test & Eval
265
Dir. Op.Test/Eval
31
225
217
245
Total Ob. Auth.
$38,753
$41,009
$47,429
$48,579
Budget Activity
Basic Research
1,139
1,317
1,304
1,358
Applied Res.
3,409
3,676
3,659
3,948
Advanced Dev.
3,789
4,000
3,815
4,383
Demonstr./Valid.
6,514
7,830
11,381
11,341
Engrg/Mftg. Dev.
8,879
8,735
10,249
10,031
Mgmt. Supportb
3,076
2,634
3,003
2,814
Op. Systems Dev.
11,947
12,816
14,235
14,506
Total Ob. Auth.
$38,753
$41,008
$47,429
$48,381d
Source: FY2000 to FY2002 figures based on Department of Defense Amended Budget, Fiscal Year 2002 R-1,
June 2001. 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.
c.This includes funds from both Title IV and the new Title IX, including the additional $155 million for RDT&E in the
Counter-Terrorism and Operational Response Transfer Fund.
d.The total obligational authority broken down by activity does not include the $20 million reduction for the DOE Joint
Research adjustment, does not include the additional $255 million in RDT&E funding for the Chem/Bio and
Information Assurance programs in the Counter-terrorism and Operational Response Transfer Fund in the new Title
IX of the House appropriation bill, and does not include the $39 million reduction associated with waiving P.L. 102-
564 for BMDO, since it is not known which activities these adjustments will affect.
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National Aeronautics and Space Administration
The National Aeronautics and Space Administration (NASA) requested $9,773.3 million
for R&D for FY2002 (see Table 4), 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. On November 8, 2001, Congress approved $9,964.7 million (H.R.2620,
H.Rept.107-272), 2.0% above the request and 3.1% above the FY2001 level.
For the International Space Station (ISS), NASA requested $1,831.3 million, which
included a transfer of $283.6 million for ISS research to the Biological and Physical Research
program. Earlier this year, NASA announced that a new ISS cost estimates revealed that an
additional $4.8 billion over the next several years might be needed to complete the station as
currently configured. In order to accommodate these findings, NASA proposed scaling back
the ISS to include just those units already constructed and awaiting launch, adding about $1
billion to the ISS budget over the next five years, and 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. Congress approved $1,963.6 million for the ISS including
support (civil service) costs. No funding was provided for the CRV. Actual funding for the
ISS would be $75 million below the request. Congress reduced funding in an attempt to get
NASA to do a better job in getting station costs under control.
Table 4. National Aeronautics and Space Administration
($ millions)
FY2001
FY2002
FY2002
FY2002
FY2002
Appro
Request
House
Senate
Conf
Human Space Flight (R&D only)
2,186.2
2,298.0
2,336.0
2,165.5
2,107.6
Space Station
2,112.9
1,831.3
1,831.8
1,681.3
1,756.3
Eng and Tech Base
73.3
75.2
75.2
55.2
75.2
Mission Support
409.7
429.0
429.0
429.0
276.1
Science, Aeronautics, and Technology
7,066.9
7,475.3
7,606.3
7,699.0
7,857.1
Space Science
2,624.7
2,786.4
2,759.4
2,764.9
2,848.9
Biological & Physical Research
378.8
644.5
710.9
694.5
714.4
Earth Science
1,716.2
1,515.0
1,516.7
1,557.6
1,573.4
Aero-Space Technology.
2,214.5
2,375.7
2,430.8
2,469.9
2,489.6
Academic Programs
132.7
153.7
188.5
212.1
230.8
Total NASA R&D
9,662.8
9,773.3
9,942.3
9,864.5
9,964.7
For FY2002, NASA requested $2.786 billion for Space Science, 5.7% above the
FY2001 level. The Mars Exploration Program has been restructured and expanded 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. Congress provided $2,848.9
million for Space Science, 2.2% above the request and 8.5% above the FY2001 level. The
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amount approved included $30 million for the Pluto/Kuiper mission. Congress directed
NASA to proceed with that mission. Congress also directed NASA to provide it with a plan
for the Mars program beyond the missions proposed for 2007.
For Aero-Space Technology, NASA requested $2,375.7 million for FY2002, 7.1%
above the FY2001 level. Included in the request is a 64% increase for the Space Launch
Initiative (SLI). NASA is also proposing a refocused aeronautics R&D program that is aimed
at 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. Congress approved $2,489.6 million for the AST program, 4.8% above the
request and 12.4% above the FY2001 level. The appropriation included a reduction of $10.0
million from the request for the SLI. Congress also directed NASA to provide a separate
accounting of aeronautics research in future budget submissions.
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 did not count in the
original 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,
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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
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,
contentious issues in several areas of research oversight 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.
The House voted on its Labor/HHS/Education bill (H.R.3061). The House
Appropriations Committee had recommended $22.9 billion for NIH. The Senate
appropriations committee reported out its Labor/HHS/Education bill (S.1536), recommending
appropriations of $23.7 billion for NIH.
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Table 5. National Institutes of Health (NIH)
($ 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.
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.
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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, 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)
FY2001
FY2002
FY2002
FY2002
Est.
Req.
House
Senate
Res. & Related Act.
–
–
Biological Sciences
$485.4
483.1
Computer & Inform. Sci. & Eng.
477.9
470.4
–
–
Engineering
430.8
431.1
–
–
Geosciences
562.2
558.5
–
–
Math & Physical Sci.
850.8
863.6
–
–
Social, Behav. & Econ. Sci.
164.4
163.2
–
–
U.S. Res. Prog.
210.8
214.0
–
–
U.S. Antarctic Log. Act.
62.5
62.6
–
–
Integrative Activities
97.8
80.6
–
–
Subtotal Res. & Rel. Act
3,342.6
3,327.0
3,642.3
3,514.5
Ed. & Hum. Resr.
785.6
872.4
885.7
872.4
Major Res. Equip.
121.3
96.3
135.3
108.8
Salaries & Expenses
160.5
170.0
170.0
170.0
Office of Inspec. Gen.
6.3
6.8
6.8
6.8
Total NSF
$4,416.4
$4,472.5
$4,840.2
$4,672.5
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
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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). 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
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
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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.
On July 25, 2001, the House Appropriations Committee reported H.R. 2620 (H.Rept.
107-159), VA, HUD, and Independent Agencies Bill. The bill provides a total of $4,840.2
million for NSF in FY2002, $367.7 million above the President’s request. Included in the
total is $3,642.3 million for R&RA, an increase of $315.3 million over the request. The
Senate reported its version on July 20 (S. 1216, S.Rept. 107-43). The Senate provides a total
of $4,672.5 million for NSF in FY2002, $200 million more than the request and $167.7
million less than the House version. The Senate provides $3,514.5 million for R&RA, $187.5
million above the request, and $127.8 million below the House version.
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).
For FY2002, the largest R&D increases were slated for NMFS fisheries information
collection and analysis, and for research grants to States involved in endangered species
conservation and management. The latter included $29 million for Stellar Sea Lion research.
Other notable increases in R&D funding were for Climate and Observation Services; NWS
Operations and Research for Central Forecast Guidance; U.S. Weather Research Program;
2002 Ocean Exploration Initiative; PS Aircraft Services, and PDAF. A decrease was
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proposed for R&D for Satellite Observation Systems under NESDIS. However, this decrease
represented a transition from research to operation for NPOESS and GOES satellite systems
funded in the operational budget. As of October 2001, the American Association for the
Advancement of Science (AAAS) has estimated FY2002 appropriations for R&D at NOAA
to be $744 million, as approved by the House, and $835 million as approved by the Senate
in H.R. 2500, Commerce appropriations for FY2002.
National Institute of Standards and Technology
In his FY2002 budget proposal, President Bush requested $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 that funds in-house R&D would be $347.3 million, 11% over the current
fiscal year. The Manufacturing Extension Program (MEP) would be financed at $106.3
million, while new grants under the Advanced Technology Program (ATP) would be
suspended pending an additional evaluation pf the activity. However, $13 million would be
provided for on-going project commitments. Construction efforts would be funded at $20.9
million.
As passed by the House, H.R. 2500, the FY2002 appropriations bill would provide $490
million for NIST, an 18% decrease in support primarily due to an absence of funding for
ATP. The STRS account would receive $348.6 million (a 12% increase over FY2001) while
financing for ITS would total $119.5 million. Of this amount, $106.5 million is for the MEP
and $13 million is to cover prior funding agreements under ATP although this program would
be eliminated. The construction budget would be $20.9 million.
The Senate-passed version of H.R. 2500 would fund NIST at $696.5 million, 42% above
the figure contained in the House bill and 16% more than FY2001. Internal R&D under the
STRS account would receive $343.3 million (a 10% increase) while ITS would be financed
at $309.3 million including $105.1 million for MEP and $204.2 million for ATP (40% over
the current fiscal year). The Committee report to accompany S. 1215, the original Senate
appropriations bill, states that the ATP activity should be continued contrary to the
President’s budget proposal. Funding for construction at NIST would total $43.9 million,
more than double that contained in the House bill and the Administration request.
In the conference report (H.Rept. 107-278), the conference committee provided $321
million for STRS, $107 million for ITS, $185 million for ATP (including $61 million for new
projects), and $62 million for construction, with the additional resources directed at specific
projects.
The FY2001 appropriation for NIST was $598.3 million, a 6% reduction from the
previous fiscal year. Most of this decrease was due to a significantly smaller construction
budget reflecting completion of the new advanced measurement laboratory. Concurrently,
there was an 11% increase in support for the laboratory’s internal R&D activities under the
STRS account. Included in this FY2001 funding figure was $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.
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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.
The House passed its appropriations for Interior (H.R. 2217) on June 21. The bill adds
to the President’s request in all of the USGS accounts mentioned above. In the case of both
Water Resources and Biological Research, recommended funding levels exceed last year’s
appropriations by a few million dollars. The Senate passed its version of the Interior
appropriations on July 12. It, too, voted similar increases for the above mentioned research
programs. The conference report, signed into law November 5, provides $914 million for
all USGS activities. The biological research activity was funded at $166 million.
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. The
House passed its appropriation bill for Transportation (H.R. 2299) on June 26.
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Environmental Protection Agency (EPA)
The Administration requested $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. The House approved VA-HUD spending bill H.R.
2620 on July 30, 2001 with an increase for EPA Research of $39 million over the President’s
request, to a total of $680 million, $16 million below FY2001. The Senate approved S. 1216
on August 3, 2001 with an increase for EPA S&T of $25 million above the budget request,
to $666 million, $30 million below the enacted level. S. 1216 also transfers $37 million from
the Superfund account for a total of $702 million for S&T. A major continuing congressional
concern is the quality of science upon which EPA bases its regulations, criteria, and programs.
R&D in EPA is also referred to as the “S&T Account,” which incorporated elements of the
former research and development account (also called extramural research) as well as EPA’s
in-house R&D and technology efforts.
Table 7. R&D Budgets of Preceding Agencies
($ 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
CRS-16
CRS Issue Brief for Congress
Received through the CRS Web
Research and Development Funding:
Fiscal Year 2002
Updated November 14, 2001
John Dimitri Moteff, Coordinator
Resources, Science, and Industry Division
Congressional Research Service ˜ The Library of Congress
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
In the President’s Budget released in
search and development for that department,
April, President Bush requested $95.253
changing the percentages noted above.
billion for federal R&D in FY2002, a 5.8%
increase over the estimated $90.010 billion
The Administration highlighted three
appropriated for FY2001. The budget included
multi-agency research initiatives in its FY2002
$48.579 billion for Defense R&D (DOD’s plus
budget submission. Funding for the 12 agency
DOE’s weapons R&D activities), an increase
(up from 6 agencies in FY2001)
of 8.1%. Federal civilian R&D, for FY2002,
Nanotechnology program is scheduled to
would increase to $46.674 billion, 3.6% above
increase 15% to $485 million. Support for the
FY2001 estimated $45.064 billion level. The
Networking and Information Technology
President’s FY2002 budget also proposes to
program would increase $40 million or 2%,
permanently extend the Research and Experi-
reaching $1.969 billion. Funding for the U.S.
mentation (R&E) tax credit.
Global Change Research (USGCR) program
would decline 4% below FY2001, to $1.630
Funding for basic research in the Presi-
billion. A proposed $90 million reduction in
dent’s budget would increase 6.2% to $23.352
NASA’s portion of USGCR (mostly in earth
billion, while applied research is proposed to
sciences) accounts for the entire decrease.
increase 4% to $21.553 billion. Together,
basic and applied research (referred to as the
The President’s FY2002 R&D budget has
“research” portion of the R&D budget) would
raised an issue about the composition of the
account for 47% of total federal R&D spend-
research portion of the federal R&D budget.
ing, up from 34% of total R&D in FY1990.
The Administration’s proposed $23 billion
budget for NIH would increase its share of
Two agencies, DOD and NIH, account
total civilian R&D to 49%, up from 35% in
for the entire growth in the R&D budget. All
1990. Members of Congress and representa-
of the other civilian agencies (except transpor-
tives from the scientific community have
tation, which receives R&D funds from a
voiced concerns about what they believe is a
mandatory trust fund) would see their FY2002
growing funding “imbalance” between health
research budgets’ decline from estimated
related research and other fields such as physi-
FY2001 levels. Absent NIH’s proposed 13.5%
cal sciences, environmental sciences, and
increase ($2.7 billion), funding for the remain-
engineering.
ing civilian R&D programs would decline
around 3%.
To date, both the House and Senate have
voted to increase the agencies’ research and
On June 27, the President released an
development funding above the President’s
amended budget request for the Department of
request. Even so, in some cases, funding
Defense, adding another $5.6 billion for re-
would still be below last year’s appropriations.
Congressional Research Service ˜ The Library of Congress
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MOST RECENT DEVELOPMENTS
Appropriation bills for Interior and Energy and Water have been signed into law (P.L.
107-63 and P.L. 107-66, respectively). In addition, both the House and Senate have agreed
to the conference report on VA/HUD appropriations (H.Rept. 107-272). The bill awaits the
President’s signature. The House approved the Agriculture appropriations conference
report (H.Rept. 107-275). The Commerce/Justice/State appropriations bill was reported
(H.Rept. 107-278) out of conference. The Senate approved its version of the Labor/HHS
appropriations bill (S. 1536). The House Appropriations Committee approved its defense
appropriations bill, but has not yet reported it out.
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 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.
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
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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 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.
On November 9, 2001, the Committee on Conference filed the conference report for
H.R. 2330, Agricultural, Rural Development, Food and Drug Administration and Related
Agencies, 2002 (H. Rept. 107-275). Conferees provided a total of $2,261.1 million for
research and education activities in USDA in FY2002, $117 million above the
Administration’s request, and $57.4 million below the FY2001 estimate. Included in that
total is $1,098.5 million for the ARS, of which $119 million is for the support of buildings and
facilities. CSREES is funded at $981.6 million, the Economic Research Service at $67.2
million, and the NASS at $113.8 million.
Table 1. U.S. Department of Agriculture
($ millions)
FY2000
FY2001
FY2002
FY2002
Act.
Est.
Req.d
Conf.
Agric. Research Service (ARS)
Soil & Water Conservation
88.0
92.1
90.0
Plant Science
296.0
336.4
324.8
Animal Science
135.0
142.8
147.1
Commodity Conversion & Delivery
175.0
185.5
202.3
Human Nutrition
72.0
75.3
75.7
Integration of Agricultural Systems
32.0
37.1
37.6
Information and Library Sciences
18.0
19.5
19.8
Repair and Maintenance
19.0
18.2
18.2
Contingencies & Trust Funds
20.0
23.0
23.0
Subtotal
855.0
938.6
938.6
979.5
Buildings & Facilities
53.0
74.2
30.5
119.0
Total, ARS
908.0
1,012.8
969.1
1,098.5
Coop. St. Res. Ed. & Ext. (CSREES)
Research and Education
Hatch Act Formula
180.5
180.5
180.1
180.1
Cooperative Forestry Research
21.9
21.9
21.9
21.9
1890 Colleges and Tuskegee Univ.
30.7
32.7
32.7
34.6
Special Research Grants
63.2
85.7
2.8
97.0
NRI Competitive Grants
119.3
106.0
106.0
120.5
Animal Health & Disease Res.
5.1
5.1
5.1
5.1
Federal Administration
14.8
18.1
4.5
21.7
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FY2000
FY2001
FY2002
FY2002
Act.
Est.
Req.d
Conf.
Higher Educationb
28.0
34.0
35.0
39.3
Total, Coop. Res. & Educ.c
490.0
506.2
407.3
542.1
Extension Activities
Smith-Lever Sections 3b&c
276.5
276.5
275.9
275.9
Smith-Lever Sections 3d
88.5
100.6
100.5
91.5
Renewable Resources Extension
3.2
3.2
3.2
4.1
1890 Research & Extension
58.0
28.2
28.2
44.7
Federal Admin. & Special Grants
26.0
18.1
5.7
17.6
Total, Extension Activitiesc
424.9
432.0
413.4
439.5
Total, CSREESc
1,074.0
1,138.0
994.0
981.6
Economic Research Service
64.0
67.0
67.2
67.2
National Agric. Statistics Serv.
99.0
100.7
113.8
113.8
TOTAL, Research, Education &
Economics
$2,145.0
$2,318.5
$2,144.1
$2,261.1
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.
Department of Energy (DOE)
For FY2002, DOE requested $8.00 billion (see Table 2), 2.9% below the FY2001 level,
for all R&D activities: Energy Resources, Science, National Security, and Environmental
Quality. DOE stated that its FY2002 request is designed to meet Administration priorities
and to respond to policy reviews currently underway. Congress approved the conference
reports (P.L.107-63/H.Rept.107-234 and H.R.2311/H.Rept.107-258) for the two
appropriations bills responsible for DOE R&D programs, providing $8.77 billion for R&D
for FY2002, 9.6% above the request and 6.3% above the FY2001 level.
For Energy Resources R&D, DOE requested $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
proposed $150 million for a clean coal power initiative. Congress agreed to an increase of
36.8% for Conservation R&D above the request. They also approved the full request for the
clean coal power initiative, although a portion of the funds are to come from funds previously
appropriated for the Clean Coal Technology program.
For Science, DOE requested $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. In the final appropriations bill, Congress approved $3.251
billion for DOE’s science programs. Most of the programs would receive funding at their
requested levels. Funding for the BER program would be well above the request, primarily
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because of the presence of many congressional specified activities. Congress fully funded the
FY2002 construction request for the Spallation Neutron Source within the Basic Energy
Sciences program.
For National Security R&D, DOE requested $3.399 billion for FY2002, 2.3% above
the FY2001 level. The weapons R&D program would see an increase of $147.6 million. For
the National Ignition Facility (NIF), DOE requested $245 million for construction, $46
million above FY2001. In the final appropriations bill, Congress approved $3.611 billion for
national security R&D including the full request for NIF. The act provides an increase over
the request of 4.9% for weapons R&D and 18.4% for nonproliferation R&D.
Congress appears to be focusing on the role of energy R&D in helping to address the
nation’s energy problems. The House stated that there appears to be a disconnect between
the Administration’s National Energy Policy and the DOE budget request, but that DOE
needed to do a better job setting goals and priorities in its renewable energy program.
Congressional support for the Office of Science is strong, but limited budget resources appear
to be constraining any increases. Congressional support for the stockpile stewardship
program remains strong, with some concern that the program is not receiving adequate
resources.
Table 2. DOE R&D Budget
($ millions)
FY2001
FY2002
FY2002
FY2002
FY2002
Appro.
Request
Housec
Senatec
Confc
Energy Resources
1505.7
1242.7
1632.7
1741.1
1675.7
Clean Coal Technology a
9.0
82.0
14.0
33.7b
(6.3)b
Fossil Energy
450.5
449.0
579.0
570.4
582.8
Nuclear Energy
109.1
85.6
93.2
128.6
106.2
Renewable Energy
373.2
276.2
376.8
435.6
396.0
Conservation
572.9
431.4
583.7
606.5
590.7
Science
3160.6
3164.8
3173.3
3273.7
3250.8
High Energy Physics
712.0
716.1
716.1
725.1
716.1
Nuclear Physics
360.5
360.5
361.5
373.0
360.5
Basic Energy Sciences
991.7
1004.7
1006.7
1040.7
1003.7
Adv Scientific Computing
165.8
163.0
163.0
163.0
158.1
Biological & Environmental
462.5
443.0
445.9
490.0
527.4
Fusion Energy Sciences
248.5
248.5
248.5
248.5
248.5
Other
199.7
229.0
231.6
233.4
236.3
Defense Programs
3325.0
3399.8
3342.4
3791.3
3611.3
Nuclear Weapons
2359.0
2505.7
2438.3
2790.1
2629.0
Nonprolif & Verification
244.5
206.1
216.1
258.2
244.3
Naval Reactors
687.3
688.0
688.0
688.0
688.0
Adv Accel Apps
33.9
0
0
55.0
50.0
Environmental Quality
252.1
196.0
226.9
271.7
255.8
Science and Technology
252.1
196.0
226.9
271.7
255.8
TOTAL, DOE
8243.4
8003.3
8375.7
9078.0
8774.3
a Accounts for previously appropriated funds. The amounts are not included in the totals.
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b These include $33.7 million of previously appropriated funds to be applied to the Clean Coal Power
Initiative within Fossil Energy R&D. The Conference agreement defers $40.0 million of such funds to
FY2003.
c The totals and subtotals do not include general reductions or offsets for charges for reimbursable work
because those adjustments have not yet been applied to the individual programs.
Department of Defense (DOD)
In its amended FY2002 budget for the Department of Defense (DOD), the Bush
Administration requested an additional $5.6 billion for DOD’s Research, Development, Test
and Evaluation (RDT&E) account. The total RDT&E request is now $47.4 billion. This
does not include the $578 million in RDT&E funding for the Defense Health Program ($421
million) and the Army’s Chemical Agents and Munitions Destruction Program ($157 million).
The amended RDT&E request is $6.4 billion above the amount appropriated for RDT&E in
FY2001. Much of this increase is directed at ballistic missile defense. The Ballistic Missile
Defense Organizations RDT&E request has risen to $7.0 billion. BMDO’s RDT&E
appropriation for FY2001 was $4.3 billion. It should be noted, however, that the BMDO
program is changed somewhat, with some more mature BMDO programs transferred to the
Services (e.g. Patriot PAC-3) and other less mature ballistic missile defense- related program
managed by the Services transferred back to BMDO (e.g. the Air Force’s Airborne Laser
program). The amended request also gives greater emphasis to programs the Administration
believes to be more suitable to far term threats, including those to counter unconventional
attacks and attacks with weapons of mass destruction, and systems (including unmanned
systems) that can locate, track, and attack targets with greater speed and at greater distances.
While the amended budget raised the total RDT&E request, the Science and Technology
(S&T) part of the RDT&E program was reduced. In its “Blueprint” budget of last April, the
Administration requested $9.1 billion for S&T programs. The amended budget reduces this
to $8.8 billion. This is still over $1.5 billion more that what the Clinton Administration had
proposed to spend on S&T in FY2002, but less than what Congress appropriated for S&T
for FY2001 ($9.0 billion). The Administration notes that the amended S&T request amounts
to 2.7% of the total DOD budget, within the range Under Secretary Pete Aldridge has set as
a target. The $8.8 billion for S&T is still above the target set by Congress in its FY1999
defense authorization bill. That target was to increase S&T by 2% above inflation through
FY2008, using the FY1999 S&T budget request as a baseline. According to that target, S&T
funding for FY2002 should be approximately $8.0 billion.
The House appropriations committee has recommended appropriating $48.6 billion for
RDT&E. The bill establishes a new appropriations title (Tile IX - Counter-Terrorism and
Defense Against Weapons of Mass Destruction). The new title consolidates the funding of
major Defense-wide programs the committee feels targets the new threats the nation faces.
The pace of transitioning the force structure to meet these new threats (terrorism, weapons
of mass destruction, cyber attacks and other asymmetric threats) has been debated for some
time. The Bush Administration expressed its goal of accelerating that transition. The House
appropriations committee felt it would be easier to track and evaluate that transition by
consolidating relevant defense-wide programs into the new title. The new title includes all
of the Ballistic Missile Defense program, all of the procurement and RDT&E associated with
the Chemical and Biological Defense Program (including DARPA’s biological warfare
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defense program), all of the Defense Threat Reduction Program, and the Cooperative Threat
Reduction program.
In addition, the committee recommended an additional $1.7 billion for a Counter-
Terrorism and Operational Response Transfer Fund. This fund would allow the Secretary of
Defense and the Director of Central Intelligence the flexibility to allocate these funds were
needed to accelerate efforts in the war on terrorism. Of this $1.7 billion, $155 million is to
be directed toward RDT&E in chem/bio defense and in information assurance programs.
S&T funding under the bill would increase to $9.7 billion. However, there are
adjustments associated with a Joint DOE Research effort and a waiver for BMDO of P.L.
102-564, which allows for increases in contributions to the Small Business Innovative
Research Program.
Table 3. Department of Defense RDT&E
($ millions)
FY2000
FY2001
FY2002
House
est.
amended
Apprn.
request
Accounts
Army
5,314
6,280
6,694
7,115
Navy
9,065
9,458
11,123
10,896
Air Force
14,527
13,993
14,344
14,884
Defense Agencies
9,551
11,053
15,051
15,438c
(DARPA)
(1,850)
(2,010)
(2,281)
(2,206)
(BMDOa)
(3,457)
(4,204)
(7,036)
(7,054)
Dir. Test & Eval
265
Dir. Op.Test/Eval
31
225
217
245
Total Ob. Auth.
$38,753
$41,009
$47,429
$48,579
Budget Activity
Basic Research
1,139
1,317
1,304
1,358
Applied Res.
3,409
3,676
3,659
3,948
Advanced Dev.
3,789
4,000
3,815
4,383
Demonstr./Valid.
6,514
7,830
11,381
11,341
Engrg/Mftg. Dev.
8,879
8,735
10,249
10,031
Mgmt. Supportb
3,076
2,634
3,003
2,814
Op. Systems Dev.
11,947
12,816
14,235
14,506
Total Ob. Auth.
$38,753
$41,008
$47,429
$48,381d
Source: FY2000 to FY2002 figures based on Department of Defense Amended Budget, Fiscal Year 2002 R-1,
June 2001. 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.
c.This includes funds from both Title IV and the new Title IX, including the additional $155 million for RDT&E in the
Counter-Terrorism and Operational Response Transfer Fund.
d.The total obligational authority broken down by activity does not include the $20 million reduction for the DOE Joint
Research adjustment, does not include the additional $255 million in RDT&E funding for the Chem/Bio and
Information Assurance programs in the Counter-terrorism and Operational Response Transfer Fund in the new Title
IX of the House appropriation bill, and does not include the $39 million reduction associated with waiving P.L. 102-
564 for BMDO, since it is not known which activities these adjustments will affect.
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National Aeronautics and Space Administration
The National Aeronautics and Space Administration (NASA) requested $9,773.3 million
for R&D for FY2002 (see Table 4), 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. On November 8, 2001, Congress approved $9,964.7 million (H.R.2620,
H.Rept.107-272), 2.0% above the request and 3.1% above the FY2001 level.
For the International Space Station (ISS), NASA requested $1,831.3 million, which
included a transfer of $283.6 million for ISS research to the Biological and Physical Research
program. Earlier this year, NASA announced that a new ISS cost estimates revealed that an
additional $4.8 billion over the next several years might be needed to complete the station as
currently configured. In order to accommodate these findings, NASA proposed scaling back
the ISS to include just those units already constructed and awaiting launch, adding about $1
billion to the ISS budget over the next five years, and 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. Congress approved $1,963.6 million for the ISS including
support (civil service) costs. No funding was provided for the CRV. Actual funding for the
ISS would be $75 million below the request. Congress reduced funding in an attempt to get
NASA to do a better job in getting station costs under control.
Table 4. National Aeronautics and Space Administration
($ millions)
FY2001
FY2002
FY2002
FY2002
FY2002
Appro
Request
House
Senate
Conf
Human Space Flight (R&D only)
2,186.2
2,298.0
2,336.0
2,165.5
2,107.6
Space Station
2,112.9
1,831.3
1,831.8
1,681.3
1,756.3
Eng and Tech Base
73.3
75.2
75.2
55.2
75.2
Mission Support
409.7
429.0
429.0
429.0
276.1
Science, Aeronautics, and Technology
7,066.9
7,475.3
7,606.3
7,699.0
7,857.1
Space Science
2,624.7
2,786.4
2,759.4
2,764.9
2,848.9
Biological & Physical Research
378.8
644.5
710.9
694.5
714.4
Earth Science
1,716.2
1,515.0
1,516.7
1,557.6
1,573.4
Aero-Space Technology.
2,214.5
2,375.7
2,430.8
2,469.9
2,489.6
Academic Programs
132.7
153.7
188.5
212.1
230.8
Total NASA R&D
9,662.8
9,773.3
9,942.3
9,864.5
9,964.7
For FY2002, NASA requested $2.786 billion for Space Science, 5.7% above the
FY2001 level. The Mars Exploration Program has been restructured and expanded 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. Congress provided $2,848.9
million for Space Science, 2.2% above the request and 8.5% above the FY2001 level. The
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amount approved included $30 million for the Pluto/Kuiper mission. Congress directed
NASA to proceed with that mission. Congress also directed NASA to provide it with a plan
for the Mars program beyond the missions proposed for 2007.
For Aero-Space Technology, NASA requested $2,375.7 million for FY2002, 7.1%
above the FY2001 level. Included in the request is a 64% increase for the Space Launch
Initiative (SLI). NASA is also proposing a refocused aeronautics R&D program that is aimed
at 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. Congress approved $2,489.6 million for the AST program, 4.8% above the
request and 12.4% above the FY2001 level. The appropriation included a reduction of $10.0
million from the request for the SLI. Congress also directed NASA to provide a separate
accounting of aeronautics research in future budget submissions.
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 did not count in the
original 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,
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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
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,
contentious issues in several areas of research oversight 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.
The House voted on its Labor/HHS/Education bill (H.R.3061). The House
Appropriations Committee had recommended $22.9 billion for NIH. The Senate
appropriations committee reported out its Labor/HHS/Education bill (S.1536), recommending
appropriations of $23.7 billion for NIH.
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Table 5. National Institutes of Health (NIH)
($ 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.
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.
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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, 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)
FY2001
FY2002
FY2002
FY2002
Est.
Req.
House
Senate
Res. & Related Act.
–
–
Biological Sciences
$485.4
483.1
Computer & Inform. Sci. & Eng.
477.9
470.4
–
–
Engineering
430.8
431.1
–
–
Geosciences
562.2
558.5
–
–
Math & Physical Sci.
850.8
863.6
–
–
Social, Behav. & Econ. Sci.
164.4
163.2
–
–
U.S. Res. Prog.
210.8
214.0
–
–
U.S. Antarctic Log. Act.
62.5
62.6
–
–
Integrative Activities
97.8
80.6
–
–
Subtotal Res. & Rel. Act
3,342.6
3,327.0
3,642.3
3,514.5
Ed. & Hum. Resr.
785.6
872.4
885.7
872.4
Major Res. Equip.
121.3
96.3
135.3
108.8
Salaries & Expenses
160.5
170.0
170.0
170.0
Office of Inspec. Gen.
6.3
6.8
6.8
6.8
Total NSF
$4,416.4
$4,472.5
$4,840.2
$4,672.5
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
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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). 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
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
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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.
On July 25, 2001, the House Appropriations Committee reported H.R. 2620 (H.Rept.
107-159), VA, HUD, and Independent Agencies Bill. The bill provides a total of $4,840.2
million for NSF in FY2002, $367.7 million above the President’s request. Included in the
total is $3,642.3 million for R&RA, an increase of $315.3 million over the request. The
Senate reported its version on July 20 (S. 1216, S.Rept. 107-43). The Senate provides a total
of $4,672.5 million for NSF in FY2002, $200 million more than the request and $167.7
million less than the House version. The Senate provides $3,514.5 million for R&RA, $187.5
million above the request, and $127.8 million below the House version.
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).
For FY2002, the largest R&D increases were slated for NMFS fisheries information
collection and analysis, and for research grants to States involved in endangered species
conservation and management. The latter included $29 million for Stellar Sea Lion research.
Other notable increases in R&D funding were for Climate and Observation Services; NWS
Operations and Research for Central Forecast Guidance; U.S. Weather Research Program;
2002 Ocean Exploration Initiative; PS Aircraft Services, and PDAF. A decrease was
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proposed for R&D for Satellite Observation Systems under NESDIS. However, this decrease
represented a transition from research to operation for NPOESS and GOES satellite systems
funded in the operational budget. As of October 2001, the American Association for the
Advancement of Science (AAAS) has estimated FY2002 appropriations for R&D at NOAA
to be $744 million, as approved by the House, and $835 million as approved by the Senate
in H.R. 2500, Commerce appropriations for FY2002.
National Institute of Standards and Technology
In his FY2002 budget proposal, President Bush requested $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 that funds in-house R&D would be $347.3 million, 11% over the current
fiscal year. The Manufacturing Extension Program (MEP) would be financed at $106.3
million, while new grants under the Advanced Technology Program (ATP) would be
suspended pending an additional evaluation pf the activity. However, $13 million would be
provided for on-going project commitments. Construction efforts would be funded at $20.9
million.
As passed by the House, H.R. 2500, the FY2002 appropriations bill would provide $490
million for NIST, an 18% decrease in support primarily due to an absence of funding for
ATP. The STRS account would receive $348.6 million (a 12% increase over FY2001) while
financing for ITS would total $119.5 million. Of this amount, $106.5 million is for the MEP
and $13 million is to cover prior funding agreements under ATP although this program would
be eliminated. The construction budget would be $20.9 million.
The Senate-passed version of H.R. 2500 would fund NIST at $696.5 million, 42% above
the figure contained in the House bill and 16% more than FY2001. Internal R&D under the
STRS account would receive $343.3 million (a 10% increase) while ITS would be financed
at $309.3 million including $105.1 million for MEP and $204.2 million for ATP (40% over
the current fiscal year). The Committee report to accompany S. 1215, the original Senate
appropriations bill, states that the ATP activity should be continued contrary to the
President’s budget proposal. Funding for construction at NIST would total $43.9 million,
more than double that contained in the House bill and the Administration request.
In the conference report (H.Rept. 107-278), the conference committee provided $321
million for STRS, $107 million for ITS, $185 million for ATP (including $61 million for new
projects), and $62 million for construction, with the additional resources directed at specific
projects.
The FY2001 appropriation for NIST was $598.3 million, a 6% reduction from the
previous fiscal year. Most of this decrease was due to a significantly smaller construction
budget reflecting completion of the new advanced measurement laboratory. Concurrently,
there was an 11% increase in support for the laboratory’s internal R&D activities under the
STRS account. Included in this FY2001 funding figure was $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.
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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.
The House passed its appropriations for Interior (H.R. 2217) on June 21. The bill adds
to the President’s request in all of the USGS accounts mentioned above. In the case of both
Water Resources and Biological Research, recommended funding levels exceed last year’s
appropriations by a few million dollars. The Senate passed its version of the Interior
appropriations on July 12. It, too, voted similar increases for the above mentioned research
programs. The conference report, signed into law November 5, provides $914 million for
all USGS activities. The biological research activity was funded at $166 million.
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. The
House passed its appropriation bill for Transportation (H.R. 2299) on June 26.
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Environmental Protection Agency (EPA)
The Administration requested $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. The House approved VA-HUD spending bill H.R.
2620 on July 30, 2001 with an increase for EPA Research of $39 million over the President’s
request, to a total of $680 million, $16 million below FY2001. The Senate approved S. 1216
on August 3, 2001 with an increase for EPA S&T of $25 million above the budget request,
to $666 million, $30 million below the enacted level. S. 1216 also transfers $37 million from
the Superfund account for a total of $702 million for S&T. A major continuing congressional
concern is the quality of science upon which EPA bases its regulations, criteria, and programs.
R&D in EPA is also referred to as the “S&T Account,” which incorporated elements of the
former research and development account (also called extramural research) as well as EPA’s
in-house R&D and technology efforts.
Table 7. R&D Budgets of Preceding Agencies
($ 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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