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Trends in Federal Support of Research and Graduate Education (2001)

Chapter: 2 Field Trends in Federal Research Support

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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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Suggested Citation:"2 Field Trends in Federal Research Support." National Research Council. 2001. Trends in Federal Support of Research and Graduate Education. Washington, DC: The National Academies Press. doi: 10.17226/10162.
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2 Field Trends in Federal Research Support In recent years, concern has grown about the shifting • the extent to which some fields have shifted focus allocation, or “balance,” of federal research funding among and approach—for example, the predominance of biologi- fields, with continuing reductions in most fields of engi- cally-based chemistry relative to physical chemistry; neering and the physical sciences on the one hand, and • the integration of related fields—for example, electri- accelerating growth in funding for biomedical research. FY cal engineering and computer science and molecular 1999 marked the first year of a campaign to double NIH’s biology and biochemistry; and budget in 5 years with annual increases of 15 percent • the emergence of new fields and subfields—for through FY 2003, which promises to increase the gap example, materials science, computational biology, and between fields unless there are substantial funding in- biophysics—and the decline of others. creases for the other fields.1 To characterize the nation’s research portfolio in a The field taxonomy used by the NSF to obtain data on reasonably comprehensive and quantitative way, we have federal and university research expenditures (see Box 2) only two taxonomies: classification by field or discipline has other limitations. It may be difficult for non-academic for research performed or supported by government and institutions to use,2 it is not uniform across surveys,3 and it nonprofit institutions, and classification by industrial is not very detailed. All of these are valid concerns recog- sector for research supported by and performed in private nized by the NSF. Since its introduction in 1970, the industry (see Chapter 5). survey of federal R&D obligations has been modified by Disciplinary classifications generally reflect long- the addition of the fields of computer science in 1976 and standing academic organization of faculty and graduate environmental biology and agricultural sciences in 1978. training. In other words, they correspond relatively closely The Foundation nevertheless approaches changes cau- to university departments and degree programs. A rela- tiously to minimize discontinuities in the time series. In tively static disciplinary taxonomy is subject to legitimate view of the increased concern about the overall and indi- criticism for obscuring, among other phenomena vidual agency research portfolios, the field taxonomy in the Federal Funds Survey deserves even more attention. In • the diversity of some research fields such as physics, the meantime, we are dependent on the classification encompassing nuclear, particle, and solid state among currently in use to characterize what changes have oc- many sub-disciplines; curred in the federal research portfolio. To assess the • the growing importance of inter- and multidisciplin- implications of those changes for the health of the research ary research; enterprise requires recognition that certain parts of some fields such as physics, astronomy, and oceanography are 1The funding balance issue has been raised by Donald Kennedy, editor of Science, and D. Allan Bromley, science advisor to former-President 2Michael E. Davey and Richard E. Rowberg. January 31, 2000. George Bush, and the House Committee on Science among others. See Challenges in Collecting and Reporting Federal Research and Develop- Donald Kennedy, “A Budget Out of Balance,” Science, 291(23 March ment Data. Report RL30413. Washington, D.C.: Congressional Research 2001):2337; D. Allan Bromley, “Science and Surpluses,” New York Service. Times, March 9, 2001; House Committee on Science, “Views and 3See National Research Council, Measuring the Science and Engineer- Estimates of the Committee on Science for Fiscal Year 2002,” March 16, ing Enterprise, pp. 48-49, esp. Table 3-1, showing the differences among 2001. scientific and engineering personnel surveys. 21

22 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION BOX 2 Classification of Research Fields Engineering Aeronautical: aerodynamics Astronautical: aerospace; space technology Chemical: petroleum; petroleum refining; process Civil: architectural; hydraulic; hydrologic; marine; sanitary and environmental; structural; transportation Electrical: communication; electronic; power Mechanical: engineering mechanics Metallurgy and materials: ceramic; mining; textile; welding Engineering, other: agricultural; bioengineering; biomedical; industrial and management; nuclear; ocean; systems Physical Sciences Astronomy: laboratory astrophysics; optical astronomy; radio astronomy; theoretical astrophysics; X-ray, gamma-ray, and neutrino astronomy Chemistry: inorganic; organic; organometallic; physical Physics: acoustics; atomic and molecular; condensed matter; elementary particle; nuclear structure; optics; plasma Mathematics and computer science Mathematics: algebra; analysis; applied mathematics; foundations and logic; geometry; numerical analysis; statistics; topology Computer science: computer and information sciences (general); design, development, and application of computer capabilities to data storage and manipulation; information sciences and systems; programming languages; systems analysis Life Sciences Biological: anatomy; biochemistry; biology; biometry and biostatistics; biophysics; botany; cell biology; entomology and parasitology; genetics; microbiology; neuroscience (biological); nutrition; physiology; zoology Environmental biology: ecosystem sciences; evolutionary biology; limnology; physiological ecology; population and biotic community ecology; population biology; systematics Agricultural: agronomy; animal sciences; food science and technology; fish and wildlife; forestry; horticulture; phytopathology; phytoproduction; plant sciences; soils and soil science; general agriculture Medical: dentistry; internal medicine; neurology; obstetrics and gynecology; ophthalmology; otolaryngology; pathology; pediatrics; pharmacology; pharmacy; preventive medicine; psychiatry; radiology; surgery; veterinary medicine Environmental Sciences Atmospheric sciences: aeronomy; extraterrestrial atmospheres; meteorology; solar; weather modification Geological sciences: engineering geophysics; general geology; geodesy and gravity; geomagnetism; hydrology; inorganic geochemistry; isotopic geochemistry; laboratory geophysics; organic geochemistry; paleomagnetism; paleontology; physical geography and cartography; seismology; soil sciences Oceanography: biological oceanography; chemical oceanography; marine geophysics; physical oceanography Social Sciences include anthropology; economics; political science; and sociology. Psychology comprises biological aspects (animal behavior; clinical psychology; comparative psychology; ethology; experimental psychology) and social aspects (development and personality; educational, personnel, and vocational psychology and testing; industrial and engineering psychology; social psychology).

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 23 dependent on high cost facilities and that funding trends in Taken as a whole, the quarter century from 1970 to the agencies that support construction exhibit fluctuations early 1990s saw relatively sustained growth of the life accordingly. The assessment also necessarily entails an sciences, with the exception of a slight and brief downturn appreciation for and articulation of how the character and in the early 1980s (and more fluctuation in support of other orientation of research are changing. fields.) The U.S. emphasis on health-related research Also, from time to time, agencies responding to the (nearly 20 percent of the nation’s entire R&D investment) NSF survey of federal funds for research and development is of course a distinguishing characteristic in international change their procedures for classifying research obliga- comparisons.4 tions by field of research. In 1996, for example, NSF changed its classification of engineering and the environ- RECENT TRENDS IN RESEARCH FUNDING mental sciences research activities so that its support of mechanical engineering appeared to be much less and its As the STEP Board observed in its previous report, funding of oceanography much greater. Mechanical although the overall level of federal research funding in engineering funding went from about $60 million in 1995 1997 was about the same as in 1993, there were markedly to $6 million in 1996; oceanography funding went from divergent trends among fields of research, with 12 of the about $85 million to $209 million at the same time. If 22 fields experiencing a decline in federal funding (four of NSF did not actually change what it was funding, the drop them by margins of 20 percent or more) while other fields in overall federal funding of mechanical engineering was prospered (one—computer science—by more than 20 somewhat less than reported, and the apparent increase in percent). As noted above, the funding level of most federal federal support of oceanography may not be real. The agencies’ research programs increased after 1997. This impact of NSF changes is addressed in the discussion of broad improvement in the budget picture raises the ques- these two fields (below). Most fine fields were not af- tion of what has happened to funding by field in 1998 and fected by such changes during the 1993-1999 period, and 1999 and beyond. Was the decline in funding in some the broad trends documented in this report—expansion of fields through the mid-1990s, particularly in some fields of life sciences funding relative to funding of the physical the physical sciences and engineering, halted or even sciences and engineering—are not affected. reversed? The answer is yes in a few, but by no means all, cases. Funding was greater in 1999 than in 1993 in 15 of the 22 fields, six of them by more than 20 percent (aero- HISTORICAL TRENDS IN RESEARCH FUNDING nautical engineering, other engineering, biological sci- The point of departure for our analysis is 1993, the year ences, medical sciences, computer science, and oceanogra- in which research funding in most fields peaked before the phy). But seven fields were still below their 1993 funding effect of the end of the Cold War and consensus to reduce levels, five of them by more than 20 percent. The seven the budget deficit took hold. Because this or any other fields with less funding included three fields of engineer- point of departure influences the findings regarding trends ing (chemical, electrical, and mechanical), three fields in in subsequent years, we briefly examine previous funding the physical sciences (astronomy, chemistry, and physics), trends in major fields of research. The NSF Federal Funds and one in the environmental sciences (geology). Survey began to ask federal agencies about their research allocations in 1970, early in a 5-year period of flat re- ENGINEERING search funding following the lunar landing and coinciding with the budget pressures of the Vietnam War. Within the Total Research. Overall, engineering experienced a total, however, there were major shifts in shares (Figure 2- modest turnaround after 1997, from a 4.7 percent deficit in 1). Engineering and the physical sciences (mainly physics) FY 1997 to an increase of 2.0 percent in FY 1999, but experienced reductions of 18 and 15 percent while support within engineering, the picture is exceedingly mixed of the life sciences increased 26 percent and the environ- (Figure 2-2). Aeronautical (Figure 2-3) and civil engineer- mental sciences increased 10 percent. ing (Figure 2-4) went from little or negligible growth to Following a 5-year period of growth in most fields, increases of 20.9 and 16.8 percent, respectively. Astronau- research funding overall went down in the early 1980s, a tical engineering (Figure 2-5) also experienced modest period of recession, but the drop was of shorter duration growth through 1999 (12.6 percent).5 On the other hand, and affected fewer fields—mainly the environmental and funding of chemical (Figure 2-6) and mechanical engineer- social sciences that were less popular with a conservative ing (Figure 2-7) research was even less in 1999 than in administration. Support of the physical sciences actually increased 16 percent from 1980 to 1985, as did support of 4National Science Board. 2001. Science and Engineering Indicators the life sciences. Engineering support dropped slightly. 2000, pp. 2-51 and Figure 2-34. Arlington, National Science Foundation. The next 7 years, 1986 to 1993, were another period of 5But astronautical and other engineering fields including chemical and across-the-board growth in support for the most part. civil engineering had higher levels of funding before 1993.

24 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION All fields Engineering, total Physical Sciences, total Life Sciences, total 40,000 Math/Computer Sciences, total Environmental Sciences, total Social Sciences, total 35,000 Psychology, total 30,000 Millions of 1999 dollars 25,000 20,000 15,000 10,000 5,000 0 70 72 74 76 78 80 82 84 86 88 90 94 96 98 92 19 19 19 19 19 19 19 19 19 19 19 19 19 19 19 Fiscal year FIGURE 2-1 Federal obligations for research, total and by broad field FY 1970–FY 2000 (in constant dollars). 1997. They were down by –25.9 and –53.9 percent from (Figure 2-10) also increased substantially from 1998 to 1993 to 1999, in contrast with –11.8 and –49.8 percent 1999, by 25.1 percent.7 The increases came at DOE, where from 1993 to 1997, respectively.6 Another losing field in other engineering went from $365.2 million in 1998 to the mid-1990s, electrical engineering (Figure 2-8), showed 567.9 million in 1999, and DOD, where it went from little improvement after 1997. In 1999, its support was still $346.7 to $465.9 million, reduced by a decrease at EPA, 29.0 percent less than its 1993 peak. Surprisingly, one of from $138.0 million to $28.1 million. the mid-1990s “success stories,” metallurgy/materials engineering (Figure 2-9), suffered a reversal in 1998. Its Basic Research. Basic engineering research fared well 14.0 percent increase in 1997 was shaved to a mere 1.5 compared with overall research in engineering. While total percent in 1999, compared with 1993. Other engineering engineering research was just 2.0 percent more in 1999 than in 1993 in real terms, basic engineering research was 21.7 percent more. This increase took place, of course, at 6Mechanical engineering was substantially affected by a change in the expense of applied engineering research, which had 3.5 NSF’s criteria for classifying research in 1996. See Appendix A. NSF funding of the field dropped from $54.5 million in 1995 to $6.1 million in 1996. If NSF support is held constant at the 1995 level, assuming that only the classification of the research changed and not the nature of the 7“Other engineering” includes agricultural, bioengineering, biomedical, research funded, then the overall decrease in federal funding is less, 44.3 industrial and management, nuclear, ocean, and systems engineering (see instead of 53.9 percent. Box 2).

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 25 percent less funding in 1999 than in 1993. The same fields Total Research Total Basic Research that had increases in total research also experienced in- University Research 7,000 Total Applied Research creases in basic research from 1993 to 1999: aeronautical, astronautical, civil, metallurgy/materials, and other engi- 6,000 neering. Those that had less total research funding also had less basic research funding: chemical, electrical, and 5,000 mechanical engineering. Millions of 1999 dollars In some fields, the increase or decrease in basic re- 4,000 search funding was about the same for total and basic re- search (e.g., aeronautical, astronautical, and chemical engi- neering). Most of the increase took place in a few fields. In 3,000 metallurgy/materials engineering, total federal research 2,000 funding increased 1.5 percent (from $776.5 to $788.0 mil- lion), but basic research funding increased by 78.6 percent (from $269.4 to $481.2 million). This increase of $211.8 1,000 million accounted for nearly three-quarters of the net over- all increase in basic engineering research during the 1993 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 to 1999 period. Other fields in which basic research in- Fiscal year creased substantially more than total research included FIGURE 2-2 Federal funding of engineering research, FY 1990– civil engineering (59.5 vs. 16.8 percent) and other engi- FY 1999 (in constant dollars). neering (50.5 vs. 25.1 percent). In several fields, federal funding of basic research dropped less than total research funding. In electrical engineering, for example, research funding fell 29.0 percent, while basic research funding fell 18.1 percent. In mechanical engineering, support for basic research dropped 37.4 percent, less than the drop in support for total research of 53.9 percent. If we assume that the amount of total and basic research that NSF defined as mechanical engineering in 1993 has stayed at the same funding level in real terms, then support for basic research fell 24.4 per- cent, less than the drop of 44.3 percent in total research. University-Performed Research. Federal obligations for engineering research at universities were $1,046 million in 1999, 5.5 percent more than the $991 million they obli- gated in 1993 in 1999 dollars. That increase was larger Total Research Total Basic Research than the 2.0 percent increase in agency obligations for total University Research Total Applied Research engineering research during the same 6-year period. As a 1,800.0 result, the share of federally funded engineering research 1,600.0 performed by universities increased slightly, from 16.1 to 1,400.0 16.7 percent.8 Millions of 1999 dollars From 1993 to 1999, federal funding of university 1,200.0 research increased by a larger percentage than federal 1,000.0 funding of total research or decreased by a smaller percent- age in most fields of engineering: aeronautical (24.5 vs. 800.0 20.9 percent), astronautical (79.5 vs. 12.6 percent), chemi- 600.0 cal (+2.2 vs. –25.9 percent), electrical (–12.0 vs. –29.0 400.0 200.0 8Federal support of university engineering research increased to 0.0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 slightly more than 19 percent in 1995 and 1996, because overall funding Fiscal year of engineering research was stagnant. Subsequently, federal support of university engineering fell in real terms while overall federal funding FIGURE 2-3 Federal funding of aeronautical engineering research, began to increase again. FY 1990–FY 1999 (in constant dollars).

26 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research percent), mechanical (–40.5 vs. –53.9 percent),9 and University Research metallurgy/materials (7.7 vs 1.5 percent). Civil engineering 900 Total Applied Research was the only engineering field in which university research 800 had a smaller increase than total research. Because of relatively higher increases in funding (or 700 smaller decreases) from 1993 to 1999, universities now 600 perform a substantially higher share of federally funded Millions of 1999 dollars engineering research in several fields. In chemical engi- 500 neering, for example, federal funding of university re- search held steady (+2.2 percent) while overall federal 400 funding fell (–25.9 percent), and universities increased 300 their share of federal funding from 26.6 percent to 36.7 percent. In mechanical engineering, funding of university 200 research was cut less than funding of total research (–40.5 100 vs. –53.9 percent), and universities increased their share of mechanical engineering research from 25.1 to 32.4 percent. 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 The university share in 1999 was larger—37.6 percent—if Fiscal year we assume that NSF changes are a function of the 1996 reclassification and the agency supported mechanical FIGURE 2-4 Federal funding of civil engineering research FY 1990–FY 1999 (in constant dollars). engineering to the same extent in 1999 as in 1993. Federal funding of basic engineering research at univer- sities also increased, from $647.4 million in 1993 to $725.2 million in 1999, although that increase of 12.0 percent was less than the increase of 21.7 percent in overall federal funding of basic engineering. Basic re- search funding was larger in 1999 than in 1993 in five of the seven fields of engineering: aeronautical (2.6 percent), astronautical (114.4 percent), chemical (5.4 percent), civil (9.7 percent), metallurgy/materials (43.6 percent), and other engineering (58.9 percent). Only electrical and mechanical engineering had less funding in 1999 than in 1993 in real terms (–15.4 and –36.8 percent, respec- tively).10 Universities were responsible for performing much more federally funded basic research than total research in Total Research Total Basic Research engineering in 1993 (48.0 vs. 16.1 percent in 1993). This University Research role had not changed much by 1999, when universities 400 Total Applied Research accounted for 44.2 percent of federally funded basic 350 engineering research vs. 16.7 percent of total engineering research. There were more complex shifts at the fine field 300 level, however. The university share of federal funding of Millions of 1999 dollars basic research increased sharply in two fields—astronauti- 250 cal and chemical engineering (from 22.1 to 42.9 percent and from 51.8 to 80.4 percent, respectively). It fell in two 200 other fields—civil and metallurgy/materials engineering 150 (from 67.8 to 46.7 percent and from 53.0 to 42.6 percent, respectively). 100 There were substantial shifts in emphasis on basic 50 0 9If NSF funding is held constant on the assumption that the reported 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year decline in mechanical engineering reflected a reclassification of obliga- tions, the overall declines are –6.9 percent vs. –44.3 percent. FIGURE 2-5 Federal funding of astronautical engineering re- 10If NSF funding is held constant, the decrease in mechanical engi- search, FY 1990–FY 1999 (in constant dollars). neering was less: 24.3 percent.

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 27 versus applied research in a few fields. In astronautical and Total Research Total Basic Research metallurgy/materials engineering, basic research expanded University Research 450 Total Applied Research relative to applied research. In 1999, for example, 85.0 percent of research in metallurgy/materials engineering 400 was basic, compared with 63.7 percent in 1993. In aero- nautical research performed at universities, however, 62.8 350 percent was basic in 1999, compared with 76.3 percent in Millions of 1999 dollars 300 1993. In summary, universities, which play a relatively small 250 role in performing federally funded engineering research, 200 fared relatively well compared with other performers in most fields during the period of budget cuts and recovery, 150 and within universities, basic research did better than 100 applied research in most fields. Nevertheless, there is less funding in two of the seven fields in 1999 than there was 50 in 1993 (electrical and mechanical engineering), and several other fields experienced modest growth—chemical, 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 civil, and metallurgy/materials (2.2, 6.4, and 7.7 percent, Fiscal year respectively). Only two fields had substantial increases— FIGURE 2-6 Federal funding of chemical engineering research, aeronautical and astronautical engineering (24.5 percent FY 1990–FY 1999 (in constant dollars). and 79.5 percent, respectively). Other engineering also experienced substantial growth. Federally funded engineering research in universities in this category grew 36.1 percent from 1993 to 1999 (from $221.8 million to $301.9 million, in 1999 dollars), and basic research support in this category increased by 58.9 percent (from $101.7 million to $161.6 million). If this category of funding had not increased, federal support of engineering research at universities would have been 4.9 percent less in 1999 than in 1993, rather than 5.5 percent more. PHYSICAL SCIENCES Total Research. The physical sciences overall continued Total Research to experience a decline in funding (Figure 2-11). Down by Total Basic Research University Research 13.6 percent from 1993 in 1997, they were down by 17.7 1,200 Total Applied Research percent in 1999. That trend was reflected in the support of chemistry research, which was off by 13.4 percent from 1993 in contrast to a 7.6 percent decline from 1993 to 1997 1,000 (Figure 2-12). Astronomy, which had been up by 4.0 percent in 1997 compared with 1993, had 1.1 percent less Millions of 1999 dollars 800 funding in 1999 than in 1993 (Figure 2-13). Like electrical engineering, physics experienced a slight improvement in 600 funding from 1997 to 1999, although the total federal research support of the field was still nearly one-quarter below its 1993 level (Figure 2-14). 400 Federal funding of research in the physical sciences was $4.1 billion in 1999, compared with $4.9 billion in 1993 200 (measured in 1999 dollars). The bulk of the decline oc- curred in physics research. Federal funding was $2.2 0 billion, compared with $2.9 billion in 1993. Astronomy 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year also had less funding in 1999 than in 1993 ($757.9 vs. $766.0 million), as did chemistry ($814.9 vs. $941.1 FIGURE 2-7 Federal funding of mechanical engineering research, million). FY 1990–FY 1999 (in constant dollars).

28 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research The major cuts in physics research were made by DOE University Research and DOD. DOE reduced its support by $461.7 million 600 Total Applied Research (–25.3 percent) and DOD by $308.3 million (–57.8 per- cent), compared with the 1993 funding level. NSF also 500 reduced its level of support, by 8.6 million (–4.7 percent). Some agencies (NIH, DOC, NASA, and others) increased funding, but the total of $75.4 million did little to offset Millions of 1999 dollars 400 the large cuts at DOE and DOD. In astronomy, where federal funding fell slightly, from 300 $766.0 to $757.9 million, the major factor was DOE, which dropped funding of astronomy in 1995. Although 200 more than half that cut of $14.0 million was offset by other agencies by 1999, astronomy was still down from 1993. 100 In chemistry, funding declined rather than improved after 1997. Federal funding in 1999 was $814.9 million, compared with $941.1 million in 1993 (13.4 percent less). 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 In 1997, the funding level was $869.9 million (7.6 percent Fiscal year less than in 1993). The major factors were cuts of $85.4 FIGURE 2-8 Federal funding of electrical engineering research, million by DOE (–31.0 percent) and $50.5 million by FY 1990–FY 1999 (in constant dollars). DOD (–32.3 percent). The Interior Department reduced its funding by $28.7 million (–98.3 percent) and USDA by $10.3 million (–10.8 percent). Small increases at DOC, NIH, Department of the Interior, EPA, and NSF offset the cuts by $55.1 million. It should be noted that Interior’s level of funding of approximately $35 million a year in 1994 through 1997 fell sharply to less then $1 million in 1998 and to half a million dollars in 1999. Basic Research. Basic research fared better than total research in the physical sciences as it did in engineering. Basic research funding was 4.8 percent less in 1999 than in 1993, while total research funding was 17.7 percent less. This was mostly due to substantial cuts in applied physics research (–54.4 percent) and to a lesser extent, in applied Total Research Total Basic Research chemistry research (–22.1 percent). University Research Total Applied Research In physics, federal agencies obligated 5.2 percent less 1,200 for basic research in 1999 than they had in 1993, compared with a decrease in 24.6 percent in total research. Similarly, 1,000 in chemistry, the decrease in funding for basic research was less than the decrease for total research, although the differential was not as great as in physics (–8.6 vs. –13.4 Millions of 1999 dollars 800 percent). In astronomy, however, the decrease in basic 600 research was greater than that for total research (–3.0 vs. –1.1 percent), because DOD and NASA cut support of 400 basic astronomy and increased support of applied as- tronomy. 200 University-Performed Research. Federal obligations for university research in the physical sciences increased by 0 $14 million (1.1 percent) from 1993 to 1999 (from $1,309 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year million to $1,323 million, in 1999 dollars). This was much better than overall federal support of the physical sciences, FIGURE 2-9 Federal funding of metallurgy/materials engineering which was 17.7 percent less in 1999 than in 1993. Federal research, FY 1990–FY 1999 (in constant dollars). support of basic research performed by universities was 6.9 percent larger in 1999, again better than overall federal

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 29 support of basic research in the physical sciences, which Total Research Total Basic Research dropped by 4.8 percent. University Research 2,000 Total Applied Research The funding situation for university research in the physical sciences has improved since 1997, when federal 1,800 funding was $181 million, 8.5 percent less than in 1993. In 1,600 1998, it was $1,197 million, 6.7 percent less. Millions of 1999 dollars Two of the three fields had less federal funding for 1,400 university research in 1999 than in 1993. Federal funding 1,200 of university physics research decreased by 7.4 percent (from $678.6 to $628.7 million). In chemistry, funding 1,000 decreased by 2.0 percent (from $388.4 to $380.7 million). 800 These decreases were more than offset by the increase in 600 funding of university astronomy research during the 1993- 1999 period. Federal funding of astronomy research at 400 universities increased from $134.1 to $197.0 million, or by 200 46.9 percent. Because federal funding of total research decreased 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 more than federal funding of university research in each Fiscal year field, universities performed a larger share of federal FIGURE 2-10 Federal funding of other engineering research, FY research in each field in 1999 compared with 1993. The 1990–FY 1999 (in constant dollars). university role in astronomy research increased the most, because federal funding of astronomy research at universi- ties had increased substantially despite an overall decrease in federal support for astronomy research. Universities conducted 26.0 percent of all federally funded astronomy research in 1999, compared with 17.5 percent in 1993. In the other two fields, universities increased their share of federal support even though federal funding decreased, because federal support fell even more for other perform- ers. In 1999, universities accounted for 46.7 percent of federal funding for chemistry research, and 28.3 percent of physics research, compared with 41.3 and 23.0 percent in 1993, respectively. In astronomy, NASA increased support of university Total Research research by 77.6 percent. DOD reduced its support by 69.6 Total Basic Research percent, and NSF’s support stayed about the same (+1.2 University Research Total Applied Research 6,000 percent). The same pattern held for basic research (70.5, –69.6, and 1.3 percent, respectively). NASA support was 12 times larger than DOD’s to begin with, so the increase 5,000 in NASA support drove the large increase in federal support of astronomy research. Millions of 1999 dollars 4,000 In chemistry, NIH, NSF, and NASA provided more funding for university research in 1999 than in 1993 (9.8, 6.5, and 115.0 percent, respectively), but this increase was 3,000 offset by decreased funding levels at DOE, USDA, and DOD (–9.6 percent, –21.2 percent, and –38.7 percent, 2,000 respectively). Basic research did less well. USDA and DOD reduced support by 28.8 and 37.6 percent. Although DOE increased its funding by 7.1 percent, NIH reduced its 1,000 level of support by 10.5 percent and NSF and NASA increases were modest (3.8 and 5.6 percent, respectively). 0 In physics, all the major agencies except NASA and 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year USDA cut the level of funding in 1999 from 1993, espe- cially DOD and NIH (by 31.8 and 47.1 percent, respec- FIGURE 2-11 Federal funding of physical sciences research, FY tively). DOE, the largest funder, and NSF, the second 1990–FY 1999 (in constant dollars).

30 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research largest funder, imposed relatively small decreases (–3.3 University Research and –6.2 percent, respectively), so overall funding was Total Applied Research 900 reduced by only 7.4 percent. Basic research in physics at universities increased despite the cut in total university 800 funding for physics. This occurred because DOE’s contri- 700 bution was 40.6 percent larger ($77.6 million), which more than offset the decreased funding by most of the other Millions of 1999 dollars 600 agencies, especially DOD (–28.7 percent) and NSF (–6.6 500 percent). In summary, universities were less affected than other 400 performers by the steep decrease in federal funding for research in the physical sciences in the 1993 to 1996 300 period. Since 1996, funding for university research in- 200 creased each year while overall funding stayed flat. Thus in 1999, federal funding of university research in the 100 physical sciences was larger than in 1993 by 1.1 percent, 0 while overall federal funding of the physical sciences 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 remained 17.7 percent less. The increase was not across Fiscal year the board, however. University research in astronomy FIGURE 2-12 Federal funding of chemistry research, FY 1990– actually increased in the 1993 to 1996 period before FY 1999 (in constant dollars). leveling off. Meanwhile, federal support of chemistry and physics declined after 1993 and has only recovered re- cently. Funding of chemistry research at universities, 2.0 percent less in 1999 than in 1993, was 13.5 percent less just a year earlier. MATHEMATICS AND COMPUTER SCIENCE Total Research. Mathematics funding, like that of some engineering and biological fields, experienced a modest turnaround after 1997 (Figure 2-15). By 1999, its support was up by 6.4 percent over 1993 levels whereas in 1997 it had been down by 4.4 percent from the peak year. Com- puter science funding continued to accelerate (Figure Total Research Total Basic Research 2-16). By 1999, it was up 64.4 percent from the 1993 University Research level, compared with 41.1 percent in 1997. Total Applied Research 1,200 Federal funding of computer science research was $1.5 billion in 1999, up from $0.9 billion in 1993. The main forces in this large percentage increase were DOE, which 1,000 increased its support by $390.9 million (338.7 percent), and NSF, which increased support by $155.3 million Millions of 1999 dollars 800 (109.5 percent). Several other agencies also increased their support, including DOD despite the substantial cut in its 600 funding of research overall. DOD support was up by $10.0 million over 1993 (1.9 percent). There were relatively small cuts at USDA, NASA, and Department of the Inte- 400 rior, and among other agencies. In 1997, federal funding of mathematics research was 200 $310.2 million, $14.4 million less than in 1993. By 1999, it was up to $345.3 million, $20.7 million more than in 1993. In dollar terms, the main factors were a large cut at 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 DOD and substantial increases at NIH and DOE. In 1997, Fiscal year DOD funding was $43.7 million less than in 1993, offset FIGURE 2-13 Federal funding of astronomy research, FY 1990– by increases at NIH, DOE, and NSF. DOD funding in- FY 1999 (in constant dollars). creased after 1997 (although it was still down by $31.3

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 31 million), as did support by NIH and DOE (NSF funding Total Research Total Basic Research decreased to less than the 1993 level). University Research 3,500 Total Applied Research Basic Research. In these fields, basic research did not 3,000 increase as much as total research funding. Overall, federal obligations for basic research in mathematics were 2.6 Millions of 1999 dollars 2,500 percent larger in 1999 than in 1993, while the increase in total research was 6.4 percent. Basic research in computer 2,000 science was up 38.1 percent, compared with an increase of 64.4 percent in total research funding. 1,500 Federal agencies made relatively larger investments in applied research than in basic research in both mathemat- 1,000 ics and computer science in 1999, compared with 1993. This occurred mostly because, although cutting its overall 500 level of support, DOD increased support of applied math- ematics, while other agencies increased support of basic 0 and applied research about the same. 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Although federal funding of basic computer science Fiscal year research increased by 38.1 percent from 1993 to 1999 FIGURE 2-14 Federal funding of physics research, FY 1990–FY (from $317.4 million to $438.3 million), federal funding of 1999 (in constant dollars). total research in computer science increased much more: 64.4 percent (from $922.1 million to $1,516.1 million). Most of this was the result of increased investment in applied computer science research by DOD. There were substantial increases in basic computer science by NSF (119.5 percent) and, from a small base, NIH (408.4 per- cent), but these were offset by reductions in funding of basic computer science by DOD (–47.8 percent). University-Performed Research. The fact that federal funding of basic research did not increase as much as total federal funding of research in math/computer science affected university research, because universities conduct a higher percentage of basic research than total research in this area. Although overall federal support of math/com- puter research was 44.8 percent larger in 1999 than in Total Research Total Basic Research 1993, federal support of such research at universities was University Research Total Applied Research 400 21.2 percent larger. In 1999, federal agencies obligated $663.0 million, compared with $547.1 million in 1993. 350 Most of this was basic research ($484.0 million, or 73 percent, in 1999). Of the two fields, however, computer 300 Millions of 1999 dollars science experienced a large increase and mathematics a decrease. 250 Federally funded computer science research at universi- 200 ties increased by 34.3 percent from 1993 to 1999 (from $377.1 million to $506.3 million). Mathematics research at 150 universities decreased by 13.5 percent (from $151.7 mil- lion to $131.3 million). The divergence was even greater in 100 basic research. Federal support of basic research in com- 50 puter science in 1999 was 38.1 percent more than in 1993 ($337.9 million vs. $242.6 million), while support of basic 0 mathematics research was 16.5 percent less ($121.5 mil- 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 lion vs. $145.5 million). As a result, funding for computer Fiscal year science research went from 2.8 percent of federal funding FIGURE 2-15 Federal funding of mathematics research, FY 1990– of all research conducted at universities in 1993 to 4.0 FY 1999 (in constant dollars).

32 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research or 38.3 percent. Most of the net increase of $1.9 billion Total Basic Research University Research was accounted for by NIH and other parts of the Depart- 1,600 Total Applied Research ment of Health and Human Services. Most other agencies, in fact, scaled back support of medical research, but the 1,400 amounts were comparatively small. DOD reduced its 1,200 support by $24.0 million (–9.7 percent), EPA by $18.9 million (–98.7 percent), USDA by $8.2 million (–24.8 Millions of 1999 dollars 1,000 percent), DOE by $1.6 million (–2.9 percent), and other agencies (primarily VA) by $54.4 million (–16.2 percent). 800 Accordingly, NIH’s share of federal funding of medical research increased from 78.8 percent in 1993 to 82.0 600 percent. 400 The pattern in biological research was similar. Federal funding increased from $5.2 billion in 1993 to $6.5 billion 200 in 1999, with 86.1 percent of the net increase accounted for by NIH. In contrast to medical sciences, most other 0 agencies also increased support, including DOD by $65.4 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year million (67.7 percent), NSF, by 62.9 million (26.3 per- cent), and Department of the Interior, by $29.2 million FIGURE 2-16 Federal funding of computer science research, FY 1990–FY 1999 (in constant dollars). (55.4 percent). The level of federal funding of biological sciences did not increase as much as for medical sciences (21.2 vs. 38.3 percent), primarily because NIH expanded the medical research part of its portfolio more than the biological sciences. percent in 1999, a large increase but still a small share of The reversal of fortune for agriculture research in 1999, overall federal investment in academic research. after a period of little or no growth, resulted from a large increase in support by USDA that year. Federal funding of the field was $849.4 million in 1999, compared with LIFE SCIENCES $773.5 million in 1998. The increase of $75.9 million Total Research. In the 1990s, the life sciences as a came from USDA, which jumped its funding by $91.7 whole experienced faster growth then other major fields million [offset by decreases elsewhere, primarily the AID]. (Figure 2-17). This is primarily because after 1993, when The environmental biology story is more complicated many federal agency research budgets were flat or decreas- because it has a more diverse base of support. Like agri- ing, NIH’s budget authority for R&D increased about 6 cultural sciences, federal funding increased sharply in 1999 percent a year until 1999, when the increase was 14.0 to $720.6 million, from $612.9 million in 1998, but the percent.11 The sustained growth in the NIH budget is increased levels of support came from several agencies. reflected in the higher level of funding of the medical EPA, USDA, NSF, and Department of the Interior each sciences in 1999 (up by 38.3 percent from 1993) (Figure 2- increased funding by amounts ranging from $53.3 to $22.3 18) as well as in substantial growth in biological science million (61.5 to 23.3 percent) and other agencies contrib- support (up by 21.2 percent from 1993), although the latter uted smaller increases. In the longer run, from 1993 to had been relatively flat through 1997 (Figure 2-19). The 1999, increased support from these same agencies far other biological subfields, which draw most of their sup- outweighed reductions in funding at DOD, NIH, and other port from agencies other than NIH, have reversed down- agencies (primarily AID and Smithsonian Institution). ward trends in funding in the past 2 years. Environmental DOD support was $24.4 million in 1999, compared with biology is up by 16.0 percent, in contrast to a decline of $56.7 million in 1993, a reduction of 56.9 percent. 3.5 percent through 1997 (Figure 2-20), and funding of agricultural biology is 6.7 percent more in 1999 than in Basic Research. Basic research increased a little more 1993, compared with being 17.1 percent less in 1997 than total research in the life sciences (31.0 vs. 28.3 per- (Figure 2-21). cent), although both increased substantially. The pattern at Federal obligations for medical sciences research the fine field level was a little more complicated. In the increased from $4.9 billion in 1993 to $6.8 billion in 1999, biological sciences and environmental biology, basic research did not increase quite as much as total research. This was due to relatively larger increases in applied biological research by NIH and applied environmental 11Most NIH R&D—87 percent in 1999—is research, not development. research by EPA and, to a lesser extent, USDA. The trend

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 33 in the medical sciences and agricultural sciences was Total Research Total Basic Research toward basic research and away from applied research. University Research 18,000 Total Applied Research This was the result of a shift toward basic medical sciences research by VA and toward basic agricultural sciences 16,000 research by USDA. 14,000 Millions of 1999 dollars University-Performed Research. Federal obligations for 12,000 life sciences research at universities increased by $2.0 billion (31.8 percent) from 1993 to 1999 (from $6.1 to 10,000 $8.1 billion). This percentage increase was a little more 8,000 than the 28.3 percent increase in total federal funding of life sciences research in the same period. Federally funded 6,000 basic research at universities was 28.5 percent more in 4,000 1999, not quite as much of an increase as the 31.0 percent increase in total basic research. 2,000 Federal funding of life sciences research was flat for 0 several years after 1993 but began to grow again after 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 1995, with the largest increases occurring in the last Fiscal year several years (from $6.8 billion in 1997 to $7.1 billion in FIGURE 2-17 Federal funding of life sciences research, FY 1990– 1998 to $8.1 billion in 1999). The funding of basic life FY 1999 (in constant dollars). sciences research at universities has followed a similar trend. Universities are the largest performers of federally funded life sciences research. They received 52.5 percent of the research funding and 58.9 percent of basic research funding in 1999. These percentages had not changed much since 1993, when they were 51.1 percent and 60.0 percent, respectively. There was some shifting at the fine field level, however. The percentage of federal funding going to universities for biology research increased from 57.3 percent in 1993 to 66.2 percent in 1999; in basic research, the increase was from 62.8 to 70.7 percent. Federal fund- ing of medical sciences at universities decreased in the same time period, from 53.0 to 46.2 percent; federal funding of research in the basic medical sciences de- creased more, from 62.7 to 51.0 percent. The role of Total Research Total Basic Research universities in performing environmental research and University Research 7,000 Total Applied Research agricultural research did not change appreciably. Federal obligations for research and basic research at 6,000 universities increased in every field of the life sciences from 1993 to 1999, more in some than others. In two 5,000 cases, university funding increased by a greater percentage Millions of 1999 dollars than total research funding for all performers. Research in 4,000 biological sciences increased by 39.9 percent (from $3.1 to $4.3 billion), although total research funding for biological 3,000 sciences increased only 21.2 percent. Similarly, in agricul- tural sciences, funding for research performed at universi- 2,000 ties increased by 21.7 percent (from $166.6 to $202.7 million), compared with a total increase of 6.7 percent. In 1,000 the other two fields, university research funding increased, but less than for total research. In medical sciences, for 0 example, federal funding increased by 20.5 percent (from 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 $2.6 to $3.1 billion), compared with an overall increase of Fiscal year 38.3 percent. In environmental biology, the increase was FIGURE 2-18 Federal funding of medical sciences research, FY 8.7 percent (from $179.1 to $194.7 million, less than the 1990–FY 1999 (in constant dollars).

34 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research overall increase of 16.0 percent. The same pattern held in University Research basic research funding. 1,000 Total Applied Research In biological sciences, funding provided by NIH for 900 research at universities increased by 44.7 percent and 800 accounted for 95.2 percent of the net increase of $1.2 billion in 1999 over 1993. USDA and DOE provided less Millions of 1999 dollars 700 funding (–15.7 percent and –17.8 percent, respectively), 600 but the amounts were relatively small (–$28.8 million 500 together). NSF increased its funding of universities by 24.4 percent ($52.5 million) and DOD by 70.0 percent ($25.7 400 million). The latter increase occurred at Washington 300 headquarters (expanded research programs on breast, 200 prostate, and uterine cancer) and DARPA (research related to defense against biological terrorism). Basic biological 100 research did a little less well, mostly because NIH did not 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 provide as large a percentage increase for basic research Fiscal year relative to its overall increase. NIH increased its funding of universities by 38.2 percent, which accounted for 96.8 FIGURE 2-19 Federal funding of biological sciences research, FY percent of the net increase of $738.6 million. DOD pro- 1990–FY 1999 (in constant dollars). vided less funding for basic biological research in 1999 than in 1993 despite the larger overall increase it provided for total biological research at universities. Thus both NIH and DOD shifted support from basic to applied research at universities. In agricultural sciences, USDA is the dominant funder, providing more than 99 percent of the federal funding in 1993 and 1999. Its increase of 22.0 percent ($36.5 million) accounted for the entire increase in federal funding. DOD and DOE zeroed out funding for agricultural research in 1999, although the amounts were very small, and NASA funding was about the same. The pattern was similar for basic research. In medical sciences, NIH is the largest funder, account- Total Research ing for 92.1 percent of all federal funding at universities. Total Basic Research University Research NIH funding increased by 18.1 percent ($442.2 million) 900 Total Applied Research from 1993 to 1999. This determined most of the increase in federal funding of 20.5 percent. Other DHHS agencies 800 [Agency for Healthcare Research and Quality (AHRQ), 700 Centers for Disease Control and Prevention (CDC), and Health Resources and Services Administration (HRSA)] Millions of 1999 dollars 600 provided an increase of 85.5 percent ($66.2 million). 500 Funding from DOD and DOE was also larger by about 50 percent ($31.1 million), offset slightly by small decreases 400 from USDA and NASA. The basic research picture was a little more complicated. DOE and DHHS agencies other 300 than NIH do not support basic medical research. NIH’s 200 increase of 22.4 percent ($362.8 million) accounted for the entire federal increase. DOD cut its support of basic 100 medical research by 20.6 percent ($7.1 million) although 0 DOD funding of total medical research at universities was 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 up. Fiscal year In environmental biology, NSF and USDA provided FIGURE 2-20 Federal funding of environmental biology research, more funding for university research in 1999 than in 1993 FY 1990–FY 1999 (in constant dollars). (26.0 percent and 19.7 percent, respectively), but DOD

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 35 offset half the increase with a reduction of 68.0 percent. Total Research Total Basic Research Other agencies also provided less funding although the University Research 8,000 Total Applied Research amounts were small. It was the same pattern for basic research. 7,000 ENVIRONMENTAL SCIENCES 6,000 Millions of 1999 dollars Total Research. The 1993 to 1997 pattern in the envi- 5,000 ronmental sciences more or less continued in the subse- 4,000 quent two fiscal years (Figure 2-22). Atmospheric research held its single-digit growth (Figure 2-23) and oceanogra- 3,000 phy its double-digit growth (Figure 2-24), while geology continued its steep decline (down by 25.9 percent in FY 2,000 1999 in contrast to 20.1 percent in 1997) (Figure 2-25). In atmospheric sciences, EPA reduced its level of 1,000 support from $113.2 million in 1993 to $56.5 million in 0 1999 (–50.1 percent), and there were smaller cuts at DOD, 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 DOE, USDA, and DOI totaling $29.2 million. But the Fiscal year majority funder, NASA, increased its support from $574.1 FIGURE 2-21 Federal funding of agricultural sciences research, million in 1993 to $657.9 million in 1999, joined by DOC, FY 1990–FY 1999 (in constant dollars). NSF, and smaller agencies, and federal funding of the field increased by $78.0 million (7.1 percent). In fact, unlike most other fields of research, funding of atmospheric sciences has declined somewhat in the past few years. In 1997, funding was 9.0 percent more than in 1993; in 1998, it was 8.4 percent more. This trend results from declining support by NASA during those years. Oceanography appears to have done well compared with most other fields. Federal obligations increased from $521.7 million in 1993 to $656.6 million in 1999. Much of the increase of $134.9 million came from NSF, which obligated $126.4 million more in 1999 than in 1993. DOD also increased its level of support by $86 million (to $182.8 million), despite the substantial overall reduction in Total Research Total Basic Research its annual budget for research. These increases, along with University Research a smaller increase at EPA, overcame cuts at DOC, DOI, 3,500 Total Applied Research and NASA by a wide margin, making oceanography one of the six fields to register an increase of 20 percent or 3,000 more from 1993 to 1999. However, oceanography is another field substantially affected by a change in NSF’s 2,500 criteria for classifying research in 1996.12 NSF funding of Millions of 1999 dollars the field increased from $84.5 million in 1995 to $209.4 2,000 million in 1996. If NSF support is held constant at the 1995 level, assuming that only the classification of the 1,500 research changed and not the nature of the research funded, there was no change in the overall level of federal 1,000 funding (+0.1 percent). Geology did not fare as well as the other environmental 500 sciences. It lost support by most agencies and went from $890.6 million in 1993 to $660.2 million in 1999, making 0 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 it one of the five fields with a loss of funding of 20 percent Fiscal year FIGURE 2-22 Federal funding of environmental sciences research, 12See Appendix. FY 1990–FY 1999 (in constant dollars).

36 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research or more. The largest reduction was at DOD ($87.4 mil- University Research lion), which cut its funding by more than 90 percent, but Total Applied Research 1,400 there were also substantial cuts at DOI (–$50.1 million), NSF (–$43.4 million), and DOE (–$43.1 million). These 1,200 were cuts of 17.1, 28.4, and 33.1 percent, respectively. It should be noted that geology was one of the fields affected 1,000 by NSF’s decision to reclassify the research fields of some Millions of 1999 dollars of its activities in 1996. NSF funding of geology went 800 from $160.0 million in 1995 to $98.5 million in 1996, a level it has maintained since. If we assume that NSF only 600 changed its definition of geology and not the actual types of projects it funds, and we therefore hold NSF funding 400 constant at the 1995 level, then the cut in geology was closer to 21.4 percent than 25.9 percent. 200 Basic Research. Federal obligations for basic research 0 in the environmental sciences totaled 5.6 percent less in 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year 1999 than in 1993 even though obligations for total re- search increased by 6.3 percent. That is, federal agencies FIGURE 2-23 Federal funding of atmospheric sciences research, FY 1990–FY 1999 (in constant dollars). spent $96.0 million less on basic research but $279.6 million more on applied research in the environmental sciences. Most ($204.1 million) of the increase in applied research came in the unclassified environmental sciences category. The rest came from increases in federal funding of applied atmospheric research. Oceanography was the only field in which support for basic research was larger in 1999 than in 1993 (but see below). In basic atmospheric research, federal funding decreased by 5.3 percent ($37.9 million). Although NSF increased its support by $15.0 million (10.4 percent), EPA and DOD reduced support by $27.9 million (–100.0 per- cent) and $24.3 million (–61.8 percent), respectively. In basic geological research, federal funding decreased by 33.5 percent ($207.7 million). Most agencies reduced funding, with Interior making the largest cut in absolute Total Research Total Basic Research terms (–$125.9 million). DOD and NSF also reduced University Research 1,000 Total Applied Research support substantially, by $57.2 million (–94.7 percent) and $40.8 million (–27.2 percent), respectively. Only DOE 900 increased funding of basic geology, by $25.1 million (40.4 800 percent). Oceanography was a different story. Federal agencies 700 obligated 25.9 percent more in total research dollars but Millions of 1999 dollars 600 66.0 percent more in basic research. The main driver was 500 NSF, which increased funding of basic oceanography by 149.0 percent ($127.6 million) from 1993 to 1999. DOD 400 also increased its investment in basic oceanography in 300 1999 (47.2 percent more than in 1993 and 105.4 percent more than in 1998). However, oceanography is another 200 field affected by the change in NSF field definitions in 100 1996. NSF funding of basic oceanography research jumped 0 from $83.1 million in 1995 to $207.5 million in 1996. At 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 the same time, NSF funding of basic geology research Fiscal year dropped by $60.7 million and basic atmospheric research FIGURE 2-24 Federal funding of oceanography research, FY by $8.6 million. If we assume that NSF changed its classi- 1990–FY 1999 (in constant dollars). fication criteria rather than what it funded, and hold its

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 37 investment constant at the 1995 level, then the increase in Total Research Total Basic Research funding of basic oceanography research since 1993 is a University Research 700 Total Applied Research much more modest 7.4 percent. 600 University-Performed Research. Federal funding of university research in the environmental sciences presents 500 a very mixed picture. Overall, funding of university re- Millions of 1999 dollars search from 1993 to 1999 did not increase by quite as 400 much as total research (5.6 percent vs. 6.3 percent), but the increase in funding of basic research at universities was 300 much larger than that for basic research overall. In fact, overall basic research was 5.6 percent less while university 200 basic research was 5.6 percent more. These trends, how- ever, mask very different situations at the detailed field 100 level. Federal support for university research in atmo- spheric sciences is up moderately, for oceanography it is 0 up substantially, and for geological sciences it is much less 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 than in 1993. The trends in university basic research were Fiscal year basically the same in each detailed subfield. FIGURE 2-25 Federal funding of geology research, FY 1990–FY In 1999, federal funding of atmospheric research at 1999 (in constant dollars). universities increased by 13.7 percent over 1993 ($202.6 compared with $178.1 million). Basic research was 11.1 percent more ($188.0 compared with $169.1 million). In the same time period, federal funding of oceanography research at universities increased by 46.9 percent (from $163.8 to $240.6 million). Since this was almost all basic research, funding of basic research increased by nearly the same percentage: 44.1 percent. The gains in atmospheric and, especially, oceanography research funding at universi- ties were offset by a large decrease in geology research at universities of 31.6 percent (from $210.4 to $143.9 mil- lion). Similarly, basic geology research was 26.5 percent less. The trends in funding of university research in geol- ogy and oceanography are affected not only by NSF’s change in classification procedures in 1996 but also by the Total Research fact that only the six largest R&D agencies are included in Total Basic Research the survey of federal funding of university research. That University Research Total Applied Research 900 excludes funding from agencies that are large supporters of geology (U.S. Geological Survey in the Department of the 800 Interior) and oceanography (National Oceanographic and 700 Atmospheric Administration in the Department of Com- merce). Millions of 1999 dollars 600 500 SOCIAL SCIENCES 400 Total Research. For most of the period after 1993, federal funding of social sciences was reduced (Figure 2- 300 26). As recently as 1997, it was 4.9 percent less than in 200 1993 ($716.2 million vs. $753.3 million). Federal support increased in 1998 and again in 1999, when it was $854.9 100 million, 13.5 percent larger than in 1993. The increases 0 came from NSF and a number of smaller agencies (primar- 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 ily the Social Security Administration, Department of Fiscal year Justice, and the Agency of International Development). FIGURE 2-26 Federal funding of social sciences research, FY Funding was 15.1 percent less from USDA (–$20.7 mil- 1990–FY 1999 (in constant dollars).

38 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION Total Research Total Basic Research applied research and did not go to universities. Basic University Research research in the social sciences did better than total re- 700 Total Applied Research search. Although USDA and DOD reduced support of basic research, DHHS maintained its support while NSF 600 increased its by 89.6 percent. As a result, university basic research funding increased by 15.7 percent. Like total 500 university research in the social sciences, however, basic Millions of 1999 dollars research was in negative territory until 1999, although not 400 down as much as total university research. 300 PSYCHOLOGY 200 Total Research. Funding of psychology research was $632.6 million in 1999, 2.9 percent more than in 1993 100 (Figure 2-27). The low point in funding was 1996. Al- though funding resumed growth after 1996, it was still 8.7 0 percent less in 1997 than in 1993, and 2.5 percent less in 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 Fiscal year 1998. DOD, which provided $111.2 million for psychol- ogy research in 1993, had reduced its investment by 58.8 FIGURE 2-27 Federal funding of psychology research, FY 1990– percent in 1999 (–$45.8 million). NSF also reduced its FY 1999 (in constant dollars). funding by 73.3 percent (–11.7 million). But NIH main- tained its support from 1993 to 1997, then increased it in 1998 and 1999. NIH funding was $479.1 million in 1999, 18.6 percent more than in 1993. The Department of Veter- lion), 100 percent less from DOD (–$22.3 million), and ans Affairs (in the “All Others” category) almost doubled 11.1 percent less from DHHS (–$23.0 million) despite an its funding of psychology, from $17.4 to $32.9 million, increase from NIH.13 which also helped put psychology in positive territory in 1999. Basic Research. The increase in support of the social sciences in 1999 over 1993 was about the same for basic Basic Research. The increase in federal obligations for as for total research (13.8 percent vs. 13.5 percent). This basic psychology research was much larger than the increase resulted from increased investment in basic increase in total psychology research in 1999 compared research by NSF (by 82.5 percent) and DHHS (all from with 1993, because federal agencies not only increased NIH) (by 29.7 percent). These increases, which totaled their support of basic research (by 26.1 percent) but also $62.2 million, were offset in part by reduced support by reduced their funding of applied research substantially (by DOD (–100.0 percent) and USDA (–38.8 percent), which –15.9 percent). NIH stepped up funding of psychology by totaled $32.7 million. The large increase in total research 41.6 percent ($94.4 million), which more than offset the from small agencies was mostly for applied research, as decreases by DOD of $25.8 million (–81.9 percent) and was the cut in total research by NIH. NSF of $6.5 million (–60.5 percent). There was also an increase of $8.9 million in the “Other Agency” category, University-Performed Research. Although federal mostly due to increases in basic psychology research by funding of social sciences research at universities in- VA. creased substantially from 1998 to 1999, it was still 4.0 University-Performed Research. The trends were percent less than in 1993. It had been 20.3 percent less in similar in federal support of university research in psychol- 1998. As with overall federal funding, USDA, DOD, and ogy. Although DOD and NSF provided less funding in DHHS reduced their support, in DOD’s case to zero. NSF 1999 than in 1993 (86.8 percent and 70.4 percent, respec- was the only agency that provided more funding in 1999 tively), NIH increased its support enough in 1999 to give than 1993 (79.9 percent more). The increased funding of psychology a net increase over 1993 of 1.5 percent. The total research by SSA, IRS, and AID was mostly for trend was more favorable in basic research, largely be- cause DOD was not a major funder in 1993, so a reduction 13The apparent decrease in social sciences funding by DHS occurred of 84.6 percent by DOD did not have a large impact on the because the Social Security Administration (SSA) became independent in total. With the major funder, NIH, increasing its funding 1995. If SSA were counted with DHHS in 1993 and 1999, then funding by DHHS would have increased by 14.6 percent instead of declining by by 40.2 percent, federal funding of university basic re- 11.1 percent and funding by “all other” agencies would have increased by search in psychology increased from $186.0 million in 17.8 percent, not 35.6 percent. 1993 to $223.8 million in 1999, or 20.3 percent.

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 39 CHANGING FUNDING BASE OF SOME FIELDS 3,500 In addition to the changing distribution of funding All Others among fields, there were major changes in the funding 3,000 DHHS base or support structure of some fields but virtually no change in the funding base of other fields. By funding 2,500 Commerce Millions of 1999 dollars base, we mean the set of agencies that are major supporters NSF of a field. In 1993, for example, some fields had a single 2,000 NASA dominant support agency. DOD provided most of the funding for research in electrical engineering (82 percent), DOD mechanical engineering (75 percent), and metallurgy/ 1,500 materials engineering (73 percent). DOE funded most research in physics (62 percent) and NASA was the princi- 1,000 pal supporter of research in aeronautical engineering (81 percent), astronautical engineering (79 percent), and DOE astronomy (76 percent). NIH was the dominant funder of 500 research in biological sciences (82 percent) and medical sciences (84 percent), and USDA funded most agricultural 0 research (82 percent).14 1993 1999 Several patterns emerged in the post-1993 period. Some Fiscal year fields primarily funded by an agency that had flat or FIGURE 2-28 Agency funding of physics research, FY 1993 and decreased research budgets in the 1993-1997 period or FY 1999 (in constant dollars). after have experienced substantial cuts. These include DOE physics support and DOD electrical engineering support. But other fields whose dominant funder had less research funding overall nevertheless have enjoyed in- creased funding, e.g., DOD computer science support and DOD metallurgy/materials engineering support. Unlike physics and electrical engineering, these fields also pros- pered by diversifying their base of support. Having a major funder with a growing budget did not guarantee increases, however. Although both biological and medical sciences research receive most of their funding from NIH, NIH’s funding increases in the 1993-1997 period went mostly to medical sciences. Some fields had a broad base of support in 1993. In some cases such as oceanography that worked to their advantage, but in other cases such as chemical 1,200 engineering it did not insulate them from budget cuts. All Others 1,000 NASA Fields With a Shrinking Dominant Funder That Experienced Cuts Commerce Millions of 1999 dollars 800 DOE In 1993, physics research received 62 percent of its NSF funding from DOE and 18 percent from DOD (Figure 2- 600 28). Both DOE and DOD reduced funding, by 28 and 63 percent ($506 and $335 million), respectively, in 1997 compared with 1993. The next largest funder, NSF, also 400 cut funding of physics research, by 27 percent ($49 mil- DOD 200 14Michael 0 McGeary and Stephen A. Merrill. 1999. “Recent Trends in 1993 1999 Federal Spending on Scientific and Engineering Research: Impacts on Fiscal year Research Fields and Graduate Training,” Appendix A, Table A-2, National Research Council, Securing America’s Industrial Strength, FIGURE 2-29 Agency funding of electrical engineering research, Washington, D.C.: National Academy Press. FY 1993 and FY 1999 (in constant dollars).

40 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION 1,600 lion). There were small increases from NASA, DOC, NIH, and other agencies, but overall there was 28 percent less 1,400 funding ($818 million) in 1997 compared with 1993. DOE, All Others DOD, and NSF increased their support some after 1997, 1,200 EPA but physics research funding was still 25 percent less in Interior 1999 than in 1993. DOE still accounted for most of the Millions of 1999 dollars 1,000 DHHS federal funding of physics research (61 percent in 1999 Commerce compared with 62 percent in 1993), indicating that physics 800 NASA was not able to change its base of support. Electrical engineering was another field whose base did DOE 600 not change as its principal source of funds, DOD, was NSF reducing its support (Figure 2-29). DOD support of electri- cal engineering was 31 percent ($252 million) less in 1999 400 than in 1993 in real terms. Support by most other agencies, DOD notably DOE, NSF, and NASA, also fell. Only the Depart- 200 ment of Commerce increased its level of funding, by 55 percent, but only $15 million. The percentage distribution 0 1993 1999 of funding by agency thus barely changed between 1993 Fiscal year and 1999. DOD accounted for 82 percent of the federal support of electrical engineering research in 1993, 80 FIGURE 2-30 Agency funding of computer science research, FY percent in 1999. 1993 and FY 1999 (in constant dollars). Fields With a Shrinking Dominant Funder That Experienced Growth In computer science DOD was the majority federal funder of research in 1993, accounting for 57 percent (Figure 2-30). Despite funding cuts, DOD maintained its support of computer science research (2 percent more in 1999 than in 1993 in real terms); but more important, a number of other agencies increased their support substan- tially. In 1999, federal funding of the field was 64 percent larger than in 1993. As a result, DOD’s share of federal funding fell to 36 percent in 1999 ($538 million), while 900 DOE’s stake increased from 13 percent to 33 percent and NSF’s from 15 percent to 20 percent. 800 All Others Materials/metallurgy engineering research was another Commerce 700 field that was able to change its base of support even NSF though DOD funding dropped by half from 1993 to 1999 DOE in real terms (Figure 2-31). NASA reduced its funding by Millions of 1999 dollars 600 Interior 61 percent, and Interior almost eliminated its support. As a 500 NASA result, the DOD percentage of federal funding of materials research went from 73 percent in 1993 to 36 percent in 400 1999 and NASA’s from 6 percent to 2 percent. But these reductions were more than offset by increases at DOE (343 300 DOD percent) and NSF (370 percent). The Department of Com- merce also increased its support (by 33 percent), although 200 the amount was relatively small. DOE accounted for 42 percent of federal support of materials engineering re- 100 search in 1999, compared with 10 percent in 1993. The comparable percentages for NSF were 14 percent, com- 0 1993 1999 pared with 3 percent. As a result, the field, which was 73 Fiscal year percent funded by DOD in 1993, now has a different and FIGURE 2-31 Agency funding of materials/metallurgy research, more distributed funding base: 36 percent DOD but also 42 FY 1993 and FY 1999 (in constant dollars). percent DOE and 14 percent NSF.

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 41 Fields With a Growing Dominant Funder 8,000 Despite the sustained increases in its research budget, 7,000 NIH’s shares of federal funding of research in the biologi- cal sciences and medical sciences (Figure 2-32) have not 6,000 All Others changed much, in large part because other agencies also EPA Millions of 1999 dollars have tended to maintain and even increase their support of USDA 5,000 those fields. NIH provided 81 percent of the federal fund- DOE NASA ing of biology research in 1999, compared with 80 percent DOD in 1993. It did increase somewhat its share of federal 4,000 funding of research in medical sciences, to 82 percent in 1999, compared with 79 percent in 1993. Although both 3,000 fields received most of their support from NIH, it should DHHS be noted that the two fields did not prosper equally from 2,000 NIH’s substantial budget growth. From 1993 to 1999, NIH increased its support of medical science research more 1,000 than of biological sciences research (43.8 vs. 22.9 percent), which explained nearly all of the change in federal funding 0 of these fields (increases of 38.3 and 21.2 percent, respec- 1993 1999 Fiscal year tively). FIGURE 2-32 Agency funding of medical sciences research, FY 1993 and FY 1999 (in constant dollars). Fields With a Diversified Base of Support Funding of oceanography research was more distributed at the outset of the 1990s (Figure 2-33). In 1993, the Department of Commerce accounted for one-third, NASA for nearly one-quarter, DOD for one-fifth, and NSF for a slightly smaller fraction. By 1999, Commerce had reduced its level of support by 35 percent, but other agencies had increased their support. NSF increased its funding by 145 percent and DOD by 89 percent. Funding of oceanography research was 26 percent larger in 1999 than in 1993. As a result, NSF became the largest federal funder of oceanog- raphy (33 percent), followed by DOD (28 percent) and NASA (17 percent). Commerce (16 percent) ended up just 700 behind NASA. If the NASA increase was an artifact of a change in classification procedures the agency distribution 600 would be different, still diversified but with Commerce EPA still displaced as the primary funder. DOD would be the DOE largest funder (35 percent), followed by NASA (21 per- 500 Interior Millions of 1999 dollars cent), Commerce (21 percent), and NSF (15 percent). Mathematics is another field with diversified support NSF 400 that was able to increase its level of funding (Figure 2-34). From 1993 to 1999, DOD support fell substantially (by 35 300 DOD percent) and there were small reductions by a number of other agencies (USDA, Interior, NSF, Commerce, and NASA), but several other agencies increased funding, 200 NASA which offset the DOD loss. Federal funding of research in mathematics was 6 percent more in 1999 than in 1993, 100 because of substantial increases in support by NIH (120 Commerce percent), DOE (33 percent), and EPA, which did not fund mathematics research in 1993. Accordingly, DOD’s share 0 1993 1999 of federal support went from 28 percent to 17 percent, Fiscal year while DOE went from 24 percent to 30 percent, NIH from FIGURE 2-33 Agency funding of oceanography research, FY 1993 and FY 1999 (in constant dollars).

42 TRENDS IN FEDERAL SUPPORT OF RESEARCH AND GRADUATE EDUCATION 400 8 percent to 16 percent, and EPA from 0 percent to 3 All Others percent. 350 EPA Interior Not all fields with a broad base of support were able to NASA weather funding reductions, however. Chemical engineer- 300 Commerce ing, for example, received funding from a number of USDA agencies in 1993, including DOE (42 percent), DOD (28 Millions of 1999 dollars DHHS 250 percent), NSF (16 percent), DOI (4 percent), DOC (3 percent), and smaller amounts from other agencies DOE 200 (USDA, EPA, NASA) (Figure 2-35). Although the per- centages did not change much in 1999, overall research 150 funding was 26 percent less in 1999 than in 1993 because DOD all the funders but EPA and USDA reduced their support, including DOD (–55 percent), DOE (–19 percent), DOI 100 (–50 percent), DOC (–34 percent), NASA (–6 percent), and NSF (–4 percent). 50 NSF In summary, there were major shifts in the funding base of some fields. They included some but not all of the 0 1993 1999 fields whose principal source of support was DOD or Fiscal year another agency, such as DOE or DOI, that cut research funding in the mid-1990s. The fields that grew despite FIGURE 2-34 Agency funding of mathematical sciences research, reliance on a shrinking agency—e.g., computer science, FY 1993 and FY 1999 (in constant dollars). metallurgy/materials engineering—diversification of support explains their success in large part. For the fields such as electrical engineering and physics that were depen- dent mainly on an agency with a shrinking budget and that were not able to diversify saw their funding decline sig- nificantly. 300 All Others EPA NASA 250 Commerce Interior USDA NSF Millions of 1999 dollars 200 150 DOD 100 50 DOE 0 1993 1999 Fiscal year FIGURE 2-35 Agency funding of chemical engineering research, FY 1993 and FY 1999 (in constant dollars).

FIELD TRENDS IN FEDERAL RESEARCH SUPPORT 43 ANNEX TABLE 2-1 Percent Change in Federal Funding for Research, by Field, FY 1993–1999 (in constant dollars) All Performers Universities Total Total Basic Applied Total Basic Applied All fields 11.7% 16.6% 6.8% 19.9% 19.8% 20.2% Engineering, total 2.0% 21.7% –3.5% 5.5% 12.0% –6.6% Aeronautical 20.9% 20.7% 20.9% 24.5% 2.6% 94.8% Astronautical 12.6% 10.6% 12.8% 79.5% 114.4% 31.3% Chemical –25.9% –32.1% –23.2% 2.2% 5.4% –2.2% Civil 16.8% 59.5% 9.1% 6.4% 9.7% –1.2% Electrical –29.0% –18.1% –32.2% –12.0% –15.4% –2.0% Mechanical* –53.9% –37.4% –61.1% –40.5% –36.8% –60.8% Metallurgy/materials 1.5% 78.6% –39.5% 7.7% 43.6% –55.3% Engineering other 25.1% 50.5% 20.1% 36.1% 58.9% 16.8% Physical Sciences, total –17.7% –4.8% –42.4% 1.1% 6.9% –22.9% Astronomy –1.1% –3.0% 54.7% 46.9% 39.9% 126.8% Chemistry –13.4% –8.6% –22.1% –2.0% –7.5% 33.1% Physics –24.6% –5.2% –54.4% –7.4% 8.4% –50.4% Life Sciences, total 28.3% 31.0% 24.4% 31.8% 28.5% 39.0% Biological Sciences 21.2% 17.8% 28.1% 39.9% 32.7% 60.2% Environmental Biology 16.0% 12.5% 18.4% 8.7% 4.7% 17.0% Agricultural Sciences 6.7% 11.1% 2.7% 21.7% 18.7% 24.6% Medical Sciences 38.3% 48.9% 25.9% 20.5% 21.0% 19.5% Math/Computer science, total 44.8% 28.8% 56.3% 21.2% 23.2% 16.1% Mathematics 6.4% 2.6% 18.6% –13.5% –16.5% 58.9% Computer science 64.4% 38.1% 78.2% 34.3% 39.3% 25.2% Environmental Sciences, total 6.3% –5.6% 23.3% 5.6% 4.6% 23.5% Atmospheric 7.1% –5.3% 29.8% 13.7% 11.1% 62.7% Geological –25.9% –33.5% –8.4% –31.6% –26.5% –95.1% Oceanography* 25.9% 66.0% –6.1% 46.9% 44.1% 238.4% Social Sciences, total 13.5% 13.8% 13.4% –4.0% 15.7% –24.3% Psychology, total 2.9% 26.1% –15.9% 1.5% 20.3% –24.6% NOTE: Constant dollar conversions were made using the GDP deflators in OMB, Historical Tables: Budget of the United States Government, FY 2002, Table 10.1. Washington, D.C.: U.S. Government Printing Office, 2001. *Mechanical engineering and oceanography are among the fields for which NSF changed the classification criteria in reporting funding for FY 1996. In these cases, NSF was a principal funding agency, and therefore the amounts reported in 1993 and 1999 are not strictly comparable. SOURCE: National Science Foundation/SRS, Survey of Federal Funds for Research and Development, Fiscal Years 1999, 2000, and 2001.

44 TABLE 2-2 Trends by Field and Character of Research, 1990–1999 (millions of 1999 dollars) 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 1993–1997 1993–1999 All Fields Total Research 26,346.2 28,112.1 27,989.3 30,015.1 29,951.1 30,407.9 29,631.7 30,201.9 31,355.0 33,527.5 0.6% 11.7% Total Basic Research 13,751.2 14,274.9 14,274.1 14,956.0 14,776.5 14,840.2 15,166.2 15,367.6 15,831.5 17,443.7 2.8% 16.6% Total Applied Research 12,595.1 13,837.2 13,715.1 15,059.0 15,174.5 15,567.7 14,465.5 14,834.3 15,523.5 16,083.9 –1.5% 6.8% University Research 9,488.2 10,008.4 9,880.8 10,653.3 10,836.8 10,648.1 10,845.5 11,087.1 11,471.0 12,776.1 4.1% 19.9% Engineering, total Total Research 5,150.0 5,799.3 5,688.0 6,138.4 5,987.1 6,104.6 5,956.7 5,852.4 5,977.9 6,263.4 –4.7% 2.0% Total Basic Research 1,342.2 1,447.0 1,428.4 1,347.7 1,410.0 1,549.5 1,690.3 1,628.1 1,616.8 1,639.7 20.8% 21.7% Total Applied Research 3,807.9 4,352.3 4,259.6 4,790.7 4,577.1 4,555.1 4,266.4 4,224.3 4,361.2 4,623.7 –11.8% –3.5% University Research 868.4 972.1 955.5 991.2 1,043.0 1,166.5 1,132.0 1,016.2 1,007.6 1,046.1 2.5% 5.5% Aeronautical engineering Total Research 1,129.6 1,191.9 999.5 1,331.7 1,336.0 1,334.9 1,310.0 1,391.3 1,618.8 1,609.7 4.5% 20.9% Total Basic Research 328.6 300.5 280.1 274.8 301.4 289.9 274.4 276.7 289.2 331.7 0.7% 20.7% Total Applied Research 801.1 891.4 719.5 1,056.9 1,034.6 1,045.0 1,035.6 1,114.5 1,329.5 1,278.0 5.5% 20.9% University Research 102.4 68.3 65.1 58.2 69.1 56.2 48.8 50.7 63.0 72.5 –12.8% 24.5% Astronautical engineering Total Research 707.7 766.0 720.5 551.4 545.3 584.5 552.1 613.3 639.9 620.6 11.2% 12.6% Total Basic Research 75.9 81.7 107.9 59.8 65.4 70.9 75.3 71.8 68.9 66.2 20.0% 10.6% Total Applied Research 631.8 684.3 612.6 491.6 480.0 513.5 476.8 541.5 571.0 554.4 10.2% 12.8% University Research 24.6 25.7 28.7 22.8 22.6 21.1 18.8 18.1 8.9 41.0 –20.8% 79.5% Chemical engineering Total Research 294.7 356.9 340.0 274.1 260.3 263.2 225.6 241.7 192.8 203.2 –11.8% –25.9% Total Basic Research 92.4 119.2 119.9 81.2 77.5 71.4 62.7 70.0 53.0 55.2 –13.9% –32.1% Total Applied Research 202.3 237.7 220.0 192.8 182.8 191.8 162.9 171.7 139.8 148.0 –11.0% –23.2% University Research 71.3 88.6 79.7 73.0 66.0 75.5 63.6 64.5 74.4 74.6 –11.6% 2.2% Civil engineering Total Research 387.1 357.7 377.4 281.3 303.7 363.0 314.7 283.5 247.5 328.5 0.8% 16.8% Total Basic Research 57.6 69.5 61.0 43.2 41.7 75.0 55.4 46.7 36.4 68.8 8.2% 59.5% Total Applied Research 329.5 288.2 316.4 238.1 262.0 288.0 259.3 236.8 211.2 259.7 –0.6% 9.1% University Research 52.3 56.5 45.5 42.1 40.8 55.3 47.1 46.4 48.1 44.8 10.1% 6.4% Electrical engineering Total Research 779.9 856.1 867.4 983.9 810.5 808.8 702.2 639.9 648.3 698.7 –35.0% –29.0% Total Basic Research 179.0 167.1 189.0 226.7 224.8 218.8 211.2 177.8 216.9 185.6 –21.6% –18.1% Total Applied Research 600.8 689.0 678.4 757.2 585.8 590.0 491.0 462.1 431.4 513.1 –39.0% –32.2% University Research 168.3 167.5 169.8 218.4 207.7 185.7 171.8 150.5 179.8 192.2 –31.1% –12.0% Mechanical engineering Total Research 327.0 393.5 385.4 521.1 413.1 441.1 308.3 261.8 253.0 240.4 –49.8% –53.9% Total Basic Research 111.4 135.5 130.1 159.2 154.7 176.1 118.7 107.8 108.2 99.6 –32.3% –37.4% Total Applied Research 215.6 258.0 255.3 361.9 258.4 265.0 189.6 154.0 144.9 140.8 –57.4% –61.1% University Research 94.4 115.5 113.2 131.0 137.4 143.7 95.0 78.4 77.5 78.0 –40.2% –40.5%

Metallurgy and materials engineering Total Research 675.7 833.5 831.1 776.5 930.3 871.9 1,037.0 885.2 800.1 788.0 14.0% 1.5% Total Basic Research 317.0 345.5 312.7 269.4 360.7 394.0 526.2 475.8 484.9 481.2 76.6% 78.6% Total Applied Research 358.6 488.0 518.4 507.1 569.5 477.9 510.8 409.4 315.2 306.9 –19.3% –39.5% University Research 201.7 250.7 209.6 223.9 298.1 340.0 318.5 268.6 250.1 241.2 20.0% 7.7% Other engineering Total Research 848.4 1,043.6 1,166.6 1,418.6 1,387.9 1,437.3 1,506.8 1,535.7 1,577.4 1,774.3 8.3% 25.1% Total Basic Research 180.2 227.9 227.7 233.4 183.9 253.3 366.4 401.5 359.3 351.4 72.0% 50.6% Total Applied Research 668.2 815.6 939.0 1,185.1 1,204.1 1,183.9 1,140.4 1,134.2 1,218.1 1,422.9 –4.3% 20.1% University Research 153.4 199.4 244.0 221.8 201.5 288.8 367.5 339.0 305.9 301.9 52.8% 36.1% Physical sciences, total Total Research 4,640.8 4,967.6 5,073.3 4,941.4 4,647.6 4,575.3 4,113.4 4,267.4 4,268.6 4,066.2 –13.6% –17.7% Total Basic Research 3,243.0 3,379.6 3,373.1 3,244.9 3,088.9 3,063.6 3,001.5 3,061.2 2,982.5 3,089.8 –5.7% –4.8% Total Applied Research 1,397.8 1,587.9 1,700.3 1,696.4 1,558.7 1,511.6 1,111.9 1,206.2 1,286.0 976.4 –28.9% –42.4% University Research 1,220.3 1,255.9 1,315.0 1,308.9 1,276.7 1,276.8 1,181.4 1,197.0 1,221.0 1,322.8 –8.5% 1.1% Astronomy Total Research 727.6 740.9 844.6 766.0 816.9 817.5 764.3 796.8 742.4 757.9 4.0% –1.1% Total Basic Research 706.6 718.2 833.9 740.5 792.0 782.3 743.2 775.7 716.8 718.4 4.7% –3.0% Total Applied Research 21.0 22.7 10.7 25.5 24.9 35.2 21.1 21.1 25.6 39.4 –17.1% 54.7% University Research 100.1 122.4 225.2 134.1 144.9 178.5 201.9 172.8 175.8 197.0 28.9% 46.9% Chemistry Total Research 928.1 971.6 1,024.2 941.1 955.5 923.4 923.9 869.9 830.5 814.9 –7.6% –13.4% Total Basic Research 611.8 631.9 636.1 606.9 590.3 598.2 577.5 532.6 524.8 554.6 –12.2% –8.6% Total Applied Research 316.3 339.8 388.1 334.3 365.2 325.2 346.4 337.3 305.7 260.3 0.9% –22.1% University Research 386.7 398.3 402.1 388.4 411.6 388.2 381.7 350.6 336.0 380.7 –9.7% –2.0% Physics Total Research 2,747.6 2,886.4 2,946.5 2,944.9 2,669.5 2,621.3 2,088.0 2,126.5 2,161.6 2,221.9 –27.8% –24.6% Total Basic Research 1,796.4 1,929.3 1,837.1 1,786.6 1,641.5 1,612.0 1,620.7 1,606.2 1,601.9 1,693.8 –10.1% –5.2% Total Applied Research 951.1 957.1 1,109.4 1,158.3 1,028.1 1,009.3 467.3 520.3 559.7 528.1 –55.1% –54.4% University Research 665.6 693.1 655.5 678.6 656.5 630.8 536.5 536.9 585.2 628.7 –20.9% –7.4% Life sciences, total Total Research 10,758.9 11,285.5 11,326.3 12,023.8 12,329.9 12,630.8 12,650.0 13,022.0 13,747.3 15,422.5 8.3% 28.3% Total Basic Research 6,308.7 6,372.9 6,676.2 7,019.5 7,071.8 7,059.4 7,213.0 7,409.0 7,963.3 9,197.1 5.5% 31.0% Total Applied Research 4,450.2 4,912.5 4,650.0 5,004.2 5,258.1 5,571.3 5,437.1 5,613.1 5,784.0 6,225.3 12.2% 24.4% University Research 5,521.8 5,826.1 5,727.0 6,139.6 6,275.9 6,034.1 6,310.8 6,753.1 7,103.4 8,091.1 10.0% 31.8% Biological sciences Total Research 5,050.1 5,228.5 5,068.6 5,346.5 5,185.5 5,267.2 5,567.7 5,471.8 5,786.4 6,477.6 2.3% 21.2% Total Basic Research 3,341.2 3,364.4 3,407.8 3,596.9 3,430.1 3,473.8 3,551.6 3,487.6 3,704.1 4,236.9 –3.0% 17.8% Total Applied Research 1,708.9 1,864.1 1,660.8 1,749.6 1,755.5 1,793.5 2,016.1 1,984.2 2,082.3 2,240.7 13.4% 28.1% University Research 2,932.7 3,061.9 2,945.7 3,064.5 3,076.5 2,862.0 3,096.9 3,600.3 3,791.4 4,288.3 17.5% 39.9% continues 45

46 TABLE 2-2 Continued 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 1993–1997 1993–1999 Environmental Biology Total Research 417.1 539.2 584.0 621.2 688.3 862.8 738.1 599.1 612.9 720.6 –3.5% 16.0% Total Basic Research 205.1 219.3 230.4 249.1 264.6 236.0 215.7 211.9 199.6 280.2 –14.9% 12.5% Total Applied Research 212.0 320.0 353.6 372.1 423.7 626.9 522.5 387.2 413.3 440.4 4.1% 18.4% University Research 155.9 175.1 185.2 179.1 182.3 178.3 155.2 150.8 160.5 194.7 –15.8% 8.7% Agricultural sciences Total Research 842.5 797.9 785.8 795.8 794.6 716.8 645.9 659.6 773.5 849.4 –17.1% 6.7% Total Basic Research 375.9 374.6 381.9 381.9 404.9 393.0 345.5 358.0 377.7 424.5 –6.3% 11.1% Total Applied Research 466.5 423.3 403.9 413.8 389.7 323.8 300.4 301.6 395.7 424.9 –27.1% 2.7% University Research 163.3 173.1 187.6 166.6 176.9 167.2 145.8 178.0 174.4 202.7 6.9% 21.7% Medical sciences Total Research 4,121.3 4,058.5 4,468.5 4,916.2 5,312.6 5,317.3 5,214.8 5,690.4 6,080.2 6,801.2 15.7% 38.3% Total Basic Research 2,253.7 2,178.9 2,435.5 2,657.5 2,852.2 2,797.4 2,873.8 3,121.6 3,439.9 3,956.5 17.5% 48.9% Total Applied Research 1,867.6 1,879.6 2,033.0 2,258.7 2,460.5 2,519.9 2,341.0 2,568.7 2,640.3 2,844.7 13.7% 25.9% University Research 2,106.3 2,263.3 2,312.9 2,607.9 2,740.2 2,640.3 2,708.7 2,609.6 2,752.4 3,141.6 0.1% 20.5% Math/Computer science, total Total Research 1,024.4 1,059.9 1,326.1 1,367.8 1,422.2 1,688.6 1,647.9 1,719.5 1,862.5 1,980.6 25.7% 44.8% Total Basic Research 495.8 499.8 550.2 570.7 570.1 644.8 670.6 680.2 715.4 734.9 19.2% 28.8% Total Applied Research 528.6 560.2 775.9 797.1 852.1 1,043.8 977.3 1,039.3 1,147.2 1,245.7 30.4% 56.3% University Research 505.6 467.6 545.9 547.1 590.2 572.3 682.2 587.9 632.8 663.0 7.5% 21.2% Mathematics Total Research 294.1 267.0 364.2 324.6 374.0 276.6 266.8 310.2 338.7 345.3 –4.4% 6.4% Total Basic Research 214.9 192.8 260.8 247.6 270.6 175.3 170.5 245.0 254.2 254.0 –1.0% 2.6% Total Applied Research 79.2 74.2 103.4 77.0 103.4 101.2 96.3 65.2 84.5 91.3 –15.3% 18.6% University Research 157.4 143.0 171.9 151.7 154.1 142.4 142.6 121.5 134.4 131.3 –19.9% –13.5% Computer science Total Research 684.9 686.1 882.0 922.1 907.1 1,084.2 1,174.2 1,300.7 1,418.3 1,516.1 41.1% 64.4% Total Basic Research 274.4 262.2 283.1 317.4 286.6 339.1 395.1 400.6 425.0 438.3 26.2% 38.1% Total Applied Research 410.5 423.9 598.9 604.7 620.5 745.1 779.1 900.1 993.3 1,077.8 48.8% 78.2% University Research 343.5 295.2 365.6 377.1 415.6 402.3 512.0 441.6 477.0 506.3 17.1% 34.3% Environmental sciences, total Total Research 2,649.1 2,521.4 2,523.0 2,911.6 3,101.2 3,052.5 3,166.3 3,132.4 3,104.8 3,095.3 7.6% 6.3% Total Basic Research 1,553.3 1,482.0 1,489.9 1,711.7 1,657.0 1,569.3 1,629.5 1,587.5 1,550.1 1,615.7 –7.3% –5.6% Total Applied Research 1,095.7 1,039.5 1,033.1 1,199.9 1,444.2 1,483.2 1,536.8 1,545.0 1,554.7 1,479.5 28.8% 23.3% University Research 595.5 655.2 668.2 659.0 696.3 657.7 688.7 691.2 662.0 696.1 4.9% 5.6% Atmospheric sciences Total Research 942.4 941.5 876.9 1,098.5 1,196.5 1,214.4 1,138.4 1,197.5 1,190.9 1,176.5 9.0% 7.1% Total Basic Research 540.7 526.6 497.4 708.9 763.0 736.0 703.7 698.9 664.4 671.0 –1.4% –5.3% Total Applied Research 401.7 414.9 379.5 389.5 433.5 478.4 434.7 498.6 526.5 505.5 28.0% 29.8% University Research 158.3 172.5 189.7 178.1 190.2 223.4 165.8 211.6 167.9 202.6 18.8% 13.7%

Geological sciences Total Research 805.5 854.7 840.8 890.6 915.6 907.2 822.3 711.5 611.8 660.2 –20.1% –25.9% Total Basic Research 535.8 585.3 601.7 619.8 533.0 483.1 408.9 399.3 396.6 412.1 –35.6% –33.5% Total Applied Research 269.8 269.5 239.1 270.7 382.6 424.1 413.4 312.2 215.1 248.1 15.3% –8.4% University Research 168.5 207.2 195.3 210.4 224.5 183.1 143.3 127.7 173.8 143.9 –39.3% –31.6% Oceanography Total Research 633.8 467.5 524.5 521.7 542.8 435.6 602.2 614.7 567.6 656.6 17.8% 25.9% Total Basic Research 365.2 231.7 240.0 231.2 207.8 201.3 324.1 312.2 290.0 383.9 35.0% 66.0% Total Applied Research 268.5 235.8 284.5 290.4 335.0 234.3 278.0 302.6 277.6 272.7 4.2% –6.1% University Research 221.7 159.0 170.6 163.8 161.6 118.7 220.0 221.5 200.0 240.6 35.3% 46.9% Social sciences, total Total Research 767.6 853.0 788.2 753.3 707.4 725.8 686.3 716.2 817.4 854.9 –4.9% 13.5% Total Basic Research 177.9 189.2 159.8 216.7 201.1 221.0 222.8 227.3 227.9 246.5 4.9% 13.8% Total Applied Research 589.7 663.9 628.4 536.7 506.3 504.8 463.5 488.8 589.5 608.3 –8.9% 13.4% University Research 213.6 250.6 199.6 241.1 219.1 218.7 193.6 203.1 192.2 231.4 –15.8% –4.0% Psychology, total Total Research 546.6 565.8 340.7 614.7 599.2 665.8 550.5 560.9 599.2 632.6 –8.7% 2.9% Total Basic Research 262.0 264.5 140.1 275.5 268.9 297.3 305.7 302.2 316.4 347.3 9.7% 26.1% Total Applied Research 284.6 301.3 200.7 339.2 330.3 368.5 244.8 258.7 282.9 285.3 –23.7% –15.9% University Research 289.4 300.4 147.5 320.9 344.0 301.1 270.0 291.5 301.5 325.6 –9.2% 1.5% NOTE: Constant dollar conversions were made using the fiscal year GDP deflators used by OMB in preparing the FY 2002 budget request. FY1990=.8207, FY1991=.8526, FY1992=.8750, FY1993=.8959, FY1994=.9152, FY1995=.9351, FY1996=.9537, FY1997=.9723, FY1998=.9862, FY1999=1.0000. See Budget of the United States Government, Fiscal Year 2002. Washington, D.C.: U.S. Government. SOURCE: National Science Foundation/SRS, Survey of Federal Funds for Research and Development, Fiscal Years 1999, 2000, and 2001. 47

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The Board on Science, Technology and Economic Policy updated its 1999 analysis (Appendix A, Securing America's Industrial Strength, 1999) of changes since 1990 in the distribution of federal research funding by field of science and engineering) by incorporating FY 1998 and FY 1999 obligations from the NSF Federal Funds survey, with particular attention to the trends in basic research support, changes in research fields' relative dependence on research-sponsoring agencies, and the relationship between changes in research support and changes in enrollment in graduate training in selected fields of research. The Board did not recommend funding levels for any discipline but addressed procedural aspects of R&D budgeting.

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