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TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Stephen A. Merrill, Editor Committee on Trends in Federal Spending on Scientific and Engineering Research Board on Science, Technology, and Economic Policy Policy and Global Affairs National Research Council NATIONAL ACADEMY PRESS Washington, D.C.
N ATION AL ACADEMY PRESS 2101 Constitution Avenue, N .W. Washington, D.C. 20418 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competencies and with regard for appropriate balance. This study was supported by Contract No. NASW-99037, Task Order 103, between the National Academy of Sciences and the National Aeronautics and Space Administration and by a grant from the New York Community Trust. Any opinions, findings, conclusions, or recommendations ex- pressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. International Standard Book Number 0-309-07589-0 A separately published Executive Summary is available as a pdf file at www.nap.edu and in hard copy from: Board on Science, Technology, and Economic Policy National Research Council 1055 Thomas Jefferson Street, N.W. Washington, D.C. 20007 Phone: 202-334-2200 Fax: 202-334-1505 Copies of this report are available from National Academy Press, 2101 Constitution Avenue, N.W., Lockbox 285, Washington, D.C. 20055; (800) 624-6242 or (202) 334-3313 (in the Washington metropolitan area); Internet, http://www.nap.edu Printed in the United States of America Copyright 2001 by the National Academy of Sciences. All rights reserved. The cover design incorporates medallions from the mosaic ceiling of the Great Hall of the National Academy of Sciences. They represent the disciplines of mathematics, botany, chemistry, and phys- ics.
National Academy of Sciences National Academy of Engineering Institute of Medicine National Research Council The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distin- guished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M. Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and re- search, and recognizes the superior achievements of engineers. Dr. Wm. A. Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth I. Shine is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academyâs purposes of further- ing knowledge and advising the federal government. Functioning in accordance with general poli- cies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is admin- istered jointly by both Academies and the Institute of Medicine. Dr. Bruce M. Alberts and Dr. Wm. A. Wulf are chairman and vice chairman, respectively, of the National Research Council.
COMMITTEE ON TRENDS IN FEDERAL SPENDING ON SCIENTIFIC AND ENGINEERING RESEARCH BOARD ON SCIENCE, TECHNOLOGY, AND ECONOMIC POLICY NATIONAL RESEARCH COUNCIL Chairman David Morgenthaler Founding Partner Dale Jorgenson Morgenthaler Ventures Frederic Eaton Abbe Professor of Economics Harvard University Mark Myers Senior Vice President (retired) Vice Chairman Corporate Research and Technology Xerox Corporation Bill Spencer The Washington Advisory Group Roger Noll Morris M. Doyle Centennial Professor of Economics Committee Director, Public Policy Program Stanford University John Armstrong Vice President, Science and Technology (retired) Edward E. Penhoet IBM Dean, School of Public Health University of California at Berkeley M. Kathy Behrens Managing Partner William Raduchel Robertson Stephens Investment Management Chief Technology Officer AOL TimeWarner Vinton G. Cerf Senior Vice President, Internet Architecture and Warren M. Washington Technology Senior Scientist and head of the Climate Change Research WorldCom Section National Center for Atmospheric Research David Challoner Director Alan Wm. Wolff Institute for Science and Health Policy Managing Partner and Dewey Ballantine, DC Vice President for Health Affairs Emeritus University of Florida Staff Bronwyn Hall Stephen A. Merrill Professor of Economics Project Director University of California, Berkeley Michael McGeary James Heckman Consultant Henry Schultz Distinguished Service Professor of Peter Henderson Economics Senior Staff Officer University of Chicago Camille Collett Ralph Landau Program Associate Senior Fellow Stanford Institute for Economic Policy Research Craig Schultz Stanford University Research Associate Richard Levin Julie Schneider President NRC Intern Yale University
NATIONAL RESEARCH COUNCIL BOARD ON SCIENCE, TECHNOLOGY, AND ECONOMIC POLICY Chairman Edward E. Penhoet Dean, School of Public Health Dale Jorgenson University of California at Berkeley Frederic Eaton Abbe Professor of Economics Harvard University William Raduchel Chief Technology Officer Vice Chairman AOL Time Warner Bill Spencer Alan Wm. Wolff The Washington Advisory Group Managing Partner Dewey Ballantine, DC Committee Ex-Officio Members M. Kathy Behrens Managing Partner Bruce Alberts Robertson Stephens Investment Management President National Academy of Sciences Vinton G. Cerf Senior Vice President, Internet Architecture and Wm. A. Wulf Technology President WorldCom National Academy of Engineering Bronwyn Hall Kenneth I. Shine Professor of Economics President University of California, Berkeley Institute of Medicine James Heckman Staff Henry Schultz Distinguished Service Professor of Economics Stephen A. Merrill University of Chicago Executive Director Ralph Landau Charles Wessner Senior Fellow Deputy Director Stanford Institute for Economic Policy Research Philip Aspden Stanford University Program Officer Richard Levin Craig Schultz President Research Associate Yale University McAlister T. Clabaugh David Morgenthaler Program Associate Founding Partner Morgenthaler Ventures Camille Collett Program Associate Mark Myers Senior Vice President (retired) David E. Dierksheide Corporate Research and Technology Program Associate Xerox Corporation Roger Noll Morris M. Doyle Centennial Professor of Economics and Director, Public Policy Program Stanford University
Preface and Acknowledgments The improved competitive performance of much of U.S. representatives of a range of scientific disciplines, includ- industry in the 1990s derived from a combination of ing the biological, atmospheric, and physical sciences. corporate strategies and supportive public policies, includ- David Challoner, Warren Washington, and John ing steady and conservative fiscal policy, economic de- Armstrong were appointed to the study committee, and we regulation, trade liberalization, relatively lenient antitrust are grateful for their contributions to the report. enforcement, and previous decadesâ research investments. This report has been reviewed in draft form by indi- These were conclusions of an in-depth study of 11 manu- viduals chosen for their diverse perspectives and technical facturing and service industries by the National Acad- expertise, in accordance with procedures approved by the emiesâ Board on Science, Technology, and Economic NRCâs Report Review Committee. The purpose of this Policy (STEP), published in 1999.1 Although cautiously independent review is to provide candid and critical com- optimistic about the future performance of the economy, ments that will assist the institution in making its pub- the STEP Board articulated four concerns that continue to lished report as sound as possible and to ensure that the guide much of its work: the adequacy of measures and report meets institutional standards for objectivity, evi- statistical data to inform policy making; the availability of dence, and responsiveness to the study charge. The review skilled human capital to sustain resurgence; the implica- comments and draft manuscript remain confidential to tions for research and innovation of some aspects of the protect the integrity of the deliberative process. We wish to extension of intellectual property rights; and the adequacy thank the following individuals for their review of this of public and private investment in long-range research, report: especially in the physical sciences and engineering. The Daniel C. Drucker, University of Florida Board included in its report a commissioned analysis Susan M. Fitzpatrick, James S. McDonnell Foundation providing the first detailed picture of changes in the federal Pierre C. Hohenberg, Yale University research portfolio in the 1990s.2 Anita Jones, University of Virginia The present study was undertaken to update and extend Kei Koizumi, American Association for the Advance- the Boardâs 1999 effort. In approving this project the ment of Science National Research Council decided to assemble a study M. Granger Morgan, Carnegie Mellon Univeristy committee that included members of the STEP Board and Georgine M. Pion, Vanderbilt University Paul M. Romer, Hoover Institute, Stanford University 1Board on Science, Technology, and Economic Policy. 1999. Securing Richard N. Zare, Stanford University Americaâs Industrial Strength, Washington, D.C.: National Academy Although the reviewers listed above have provided Press; and Board on Science, Technology, and Economic Policy. 1999. U.S. Industry in 2000: Studies in Competitive Performance, Washington, many constructive comments and suggestions, they were D.C.: National Academy Press. not asked to endorse the conclusions or recommendations 2Michael McGeary and Stephen A. Merrill. 1999. âRecent Trends in nor did they see the final draft of the report before its Federal Spending on Scientific and Engineering Research: Impacts on release. The review of this report was overseen by R. Research Fields and Graduate Training,â in Board on Science, Technol- Stephen Berry, University of Chicago, and Ronald ogy, and Economic Policy, Securing Americaâs Industrial Strength, pp. 53-97. Washington, D.C.: National Academy Press. A version of the Ehrenberg, Cornell University. Appointed by the National analysis was published under the authorsâ names as âWhoâs Balancing Research Council, they were responsible for making the Federal Research Portfolio and How?â Science 285:1679â1680, 1999. certain that an independent examination of this report was vii
viii PREFACE AND ACKNOWLEDGMENTS carried out in accordance with institutional procedures and Engineering (GSPSE) and drafted the section of the report that all review comments were carefully considered. addressing graduate student support. Craig Schultz, STEP Responsibility for the final content of this report rests Research Associate, and Julie Schneider, a National Re- entirely with the authoring committee and the institution. search Council summer 2000 intern and now a research The Board owes a special debt to Stephen Merrill, scientist with Genaissance Corporation in New Haven, STEP Executive Director, and Michael McGeary, consult- Connecticut, provided indispensable help compiling and ant, for repeating and extending the analysis that they deciding how to present the data. Finally, Camille Collett performed in 1999. They were assisted by Peter applied her considerable editorial skills to preparing the Henderson, Director of the Board on Higher Education and manuscript for publication. Rona Briere helped with the the Scientific Workforce, who analyzed data from the editing and design of the publication. Survey of Graduate Students and Postdoctorates in Science Dale Jorgenson, William Spencer, Chairman Vice Chairman
Contents EXECUTIVE SUMMARY 1 INTRODUCTION 9 1 AGGREGATE TRENDS IN FEDERAL RESEARCH 13 General Trends, 13 Agenciesâ Research Budgets, 14 Research Performers, 15 Recent Appropriations, 17 Annex Data Tables, 18 2 FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 21 Historical Trends in Research Funding, 23 Recent Trends in Research Funding, 23 Engineering, 23 Physical Sciences, 27 Mathematics and Computer Science, 30 Life Sciences, 32 Environmental Sciences, 35 Social Sciences, 37 Psychology, 38 Changing Funding Base of Some Fields, 39 Annex Data Tables, 43 3 FIELD TRENDS IN GRADUATE EDUCATION SUPPORT 49 Physical, Environmental, and Mathematical Sciences, 51 Engineering, 53 Computer Science, 55 Life Sciences, 56 Social and Behavioral Sciences, 57 Recent Trends in Doctoral Awards, 57 Trends Across Fields, 59 Annex Data Tables, 61 4 AGENCY TRENDS IN RESEARCH AND GRADUATE EDUCATION SUPPORT 65 Portfolio Changes in Agencies with Reduced Research Funding, 65 Portfolio Changes in Agencies with Increased Research Funding, 67 Annex Data Tables, 71 ix
x CONTENTS 5 TRENDS IN NONFEDERAL SUPPORT OF RESEARCH 79 Nonfederal Support of University Research and Development, 79 Statesâ Support of Research, 80 Philanthropy, 81 Industry Research Investment, 81 Annex Data Tables, 82 6 FINDINGS, CONCLUSIONS, AND RECOMMENDATIONS 85 APPENDIX NOTE ON SOURCES OF DATA 93
List of Figures, Tables, and Boxes FIGURES ES-1 Federal funding of research, by agency, FY 1993 and FY 1999 (constant dollars), 2 ES-2 Changes in federal research obligations for all performers and university/college performers, FY 1993âFY 1999 (constant dollars), 3 ES-3 Percent change in full-time graduate enrollment, by field and primary source of support, 1993â1999, 4 1-1 Federal obligations for research, FY 1990-FY 1999 (in constant dollars), 14 2-1 Federal obligations for research, total and by broad field FY 1970âFY 2000 (in constant dollars), 24 2-2 Federal funding of engineering research, FY 1990âFY 1999 (in constant dollars), 25 2-3 Federal funding of aeronautical engineering research, FY 1990âFY 1999 (in constant dollars), 25 2-4 Federal funding of civil engineering research FY 1990âFY 1999 (in constant dollars), 26 2-5 Federal funding of astronautical engineering research, FY 1990âFY 1999 (in constant dollars), 26 2-6 Federal funding of chemical engineering research, FY 1990âFY 1999 (in constant dollars), 27 2-7 Federal funding of mechanical engineering research, FY 1990âFY 1999 (in constant dollars), 27 2-8 Federal funding of electrical engineering research, FY 1990âFY 1999 (in constant dollars), 28 2-9 Federal funding of metallurgy/materials engineering research, FY 1990âFY 1999 (in constant dollars), 28 2-10 Federal funding of other engineering research FY 1990âFY 1999 (in constant dollars), 29 2-11 Federal funding of physical sciences research, FY 1990âFY 1999 (in constant dollars), 29 2-12 Federal funding of chemistry research, FY 1990âFY 1999 (in constant dollars), 30 2-13 Federal funding of astronomy research, FY 1990âFY 1999 (in constant dollars), 30 2-14 Federal funding of physics research, FY 1990âFY 1999 (in constant dollars), 31 2-15 Federal funding of mathematics research, FY 1990âFY 1999 (in constant dollars), 31 2-16 Federal funding of computer science research, FY 1990âFY 1999 (in constant dollars), 32 2-17 Federal funding of life sciences research, FY 1990âFY 1999 (in constant dollars), 33 2-18 Federal funding of medical sciences research, FY 1990âFY 1999 (in constant dollars), 33 2-19 Federal funding of biological sciences research, FY 1990âFY 1999 (in constant dollars), 34 xi
xii LIST OF FIGURES, TABLES, AND BOXES 2-20 Federal funding of environmental biology research, FY 1990âFY 1999 (in constant dollars), 34 2-21 Federal funding of agricultural sciences research, FY 1990âFY 1999 (in constant dollars), 35 2-22 Federal funding of environmental sciences research, FY 1990âFY 1999 (in constant dollars), 35 2-23 Federal funding of atmospheric sciences research, FY 1990âFY 1999 (in constant dollars), 36 2-24 Federal funding of oceanography research, FY 1990âFY 1999 (in constant dollars), 36 2-25 Federal funding of geology research, FY 1990âFY 1999 (in constant dollars), 37 2-26 Federal funding of social sciences research, FY 1990âFY 1999 (in constant dollars), 37 2-27 Federal funding of psychology research, FY 1990âFY 1999 (in constant dollars), 38 2-28 Agency funding of physics research, FY 1993 and FY 1999 (in constant dollars), 39 2-29 Agency funding of electrical engineering research, FY 1993 and FY 1999 (in constant dollars), 39 2-30 Agency funding of computer science research, FY 1993 and FY 1999 (in constant dollars), 40 2-31 Agency funding of materials/metallurgy research, FY 1993 and FY 1999 (in constant dollars), 40 2-32 Agency funding of medical sciences research, FY 1993 and FY 1999 (in constant dollars), 41 2-33 Agency funding of oceanography research, FY 1993 and FY 1999 (in constant dollars), 41 2-34 Agency funding of mathematical sciences research, FY 1993 and FY 1999 (in constant dollars), 42 2-35 Agency funding of chemical engineering research, FY 1993 and FY 1999 (in constant dollars), 42 3-1 Full-time graduate enrollment in physics, 1993â1999, 51 3-2 Full-time graduate enrollment in chemistry, 1993â1999, 51 3-3 Full-time graduate enrollment in astronomy, 1993â1999, 52 3-4 Full-time graduate enrollment in mathematical sciences, 1993â1999, 52 3-5 Full-time graduate enrollment in geosciences, 1993â1999, 52 3-6 Full-time graduate enrollment in atmospheric sciences, 1993â1999, 52 3-7 Full-time graduate enrollment in ocean sciences, 1993â1999, 53 3-8 Full-time graduate enrollment in aerospace engineering, 1993â1999, 53 3-9 Full-time graduate enrollment in chemical engineering, 1993â1999, 54 3-10 Full-time graduate enrollment in civil engineering, 1993â1999, 54 3-11 Full-time graduate enrollment in electrical engineering, 1993â1999, 55 3-12 Full-time graduate enrollment in mechanical engineering, 1993â1999, 55 3-13 Full-time graduate enrollment in metallurgical and materials engineering, 1993â1999, 56 3-14 Full-time graduate enrollment in computer science, 1993â1999, 56 3-15 Full-time graduate enrollment in agricultural sciences, 1993â1999, 57 3-16 Full-time graduate enrollment in biological sciences, 1993â1999, 57 3-17 Full-time graduate enrollment in health fields, 1993â1999, 58 3-18 Full-time graduate enrollment in social sciences, 1993â1999, 58 3-19 Full-time graduate enrollment in psychology, 1993â1999, 59 4-1 Research funding by field, Department of Defense, FY 1993 vs. FY 1999, 66 4-2 Research funding by field, Department of Energy, FY 1993 vs. FY 1999, 67 4-3 Research funding by field, National Institutes of Health, FY 1993 vs. FY 1999, 68 4-4 Research funding by field, National Science Foundation, FY 1993 vs. FY 1999, 69
LIST OF FIGURES, TABLES, AND BOXES xiii TABLES 1-1 Trends by Agency and Character of Research, 1990â1999 (millions of 1999 dollars), 18 2-1 Percent Change in Federal Funding for Research, by Field, FY 1993â1999 (in constant dollars), 43 2-2 Trends by Field and Character of Research, 1990â1999 (millions of 1999 dollars), 44 3-1 Percent Change in Federal Funding for University Research, Full-time Graduate Enrollment, and Doctorate Degrees Awarded, by Field, 1993â1999, 61 3-2 Full-time Graduate Enrollment in Science and Engineering, by Field and by Selected Source and Mechanism of Support, 1993â1999, 62 4-1 Trends in DOD Support of Research, by Field, 1993 to 1997, 1999 (constant dollars), 71 4-2 Full-time Graduate Students Whose Primary Source of Support is the Department of Defense, by Field, 1993â1999, 72 4-3 Trends in DOE Support of Research, by Field, 1993 to 1997, 1999 (constant dollars), 73 4-4 Trends in NIH Support of Research, by Field, 1993 to 1997, 1999 (constant dollars), 74 4-5 Full-time Graduate Students Whose Primary Source of Support is the National Institutes of Health, by Field, 1993â1999, 75 4-6 Trends in NSF Support of Research, by Field, 1993 to 1997, 1999 (constant dollars), 76 4-7 Full-time Graduate Students Whose Primary Source of Support is the National Science Foundation, by Field, 1993â1999, 77 5-1 Nonfederally Funded Academic R&D in 1999 Dollars, 82 5-2 1995 Recipients of State R&D Support, by Field (Percent), 83 5-3 Foundation Grants for Research in Millions of Current Dollars, 83 5-4 Corporate Funded Industrial Research (Basic and Applied) in Millions of Current Dollars, 83 BOXES 1 Classification of Research, 13 2 Classification of Research Fields, 22