Appendixes



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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Appendixes

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis This page in the original is blank.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis A Sources Of Data And Method Of Development This appendix summarizes the various sources of data used by the Task Group on Research and Analysis Programs to build a database on detailed National Aeronautics and Space Administration (NASA) procurement awards made during the 1980s and 1990s, and it describes the coding structure and analytical categories and techniques used to develop the data for the study reported on in Chapters 1 through 6 of this volume. A primary objective of this activity was to estimate the net space research1 component of awards made by NASA to universities. Any necessary caveats that should be observed in using the data in the context of this particular study are also noted. NASA BUDGET HISTORY-THE BROAD CONTEXT NASA presents a very extensive budget submission to Congress each year in support of the president's overall budget request. These budget justifications include a great deal of financial information, as well as supporting narrative about goals, objectives, schedules, and accomplishments of the various program elements that constitute NASA's program budget. Obtaining a consistent picture of the budget over a long span of time can be quite difficult because of changes in NASA's program structure and even more importantly because of changes in the NASA organizational elements responsible for the advocacy and management of these programs. The task group's best efforts at developing a consistent long-term history of the NASA budget are presented in Tables A.1 and A.2. Table A.1 summarizes the ground-based elements of the NASA budget—the principal focus of this study. Table A.2 summarizes the budget history for major NASA l   ''Net space research" is a term used by the task group to indicate the research funded from an R&DA source as opposed to technology development, instrument development, and academic training that may be funded by other accounts.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis TABLE A.1 FY 1981-1998 NASA Budgets: Ground-based Programs Major Science-related Programs and Activities Fiscal Year Obligations (in millions of current dollars) 1981 1982 1983 1984 1985 1986 Total Research and Analysis 231.4 208.4 236.8 246.9 260.5 268.7 P&A 37.7 22.9 28.5 35.9 39.9 49.0 Planetary 50.7 46.7 50.3 59.5 61.5 59.5 OSS subtotal 88.4 69.6 78.8 95.4 101.4 108.5 Life sciences 29.5 25.5 31.7 35.0 35.2 34.0 Microgravity science 9.5 12.0 13.1 11.0 11.7 12.1 OLMSA subtotal 39.0 37.5 44.8 46.0 46.9 46.1 Earth science 104.0 101.3 113.2 105.5 112.2 114.1 OES subtotal 104.0 101.3 113.2 105.5 112.2 114.1 Total Other Science Support             OLMSA—aerospace medicine             EOS science             EOS mission science teams and guest investigators             OES—Globe program             Total Suborbital Program 39.9 43.8 48.1 52.5 58.7 59.9 P&A—suborbital 39.9 43.8 48.1 52.5 58.7 59.9 SOFIA             Sounding rockets 25.0 24.4 27.0 27.8 25.7 23.1 Airborne research 4.5 17.5 17.6 18.9 22.0 25.0 Balloon program 1.4 1.9 3.5 5.8 6.8 6.1 Spartan program         4.3 5.7 OES—airborne science and applications           (25.0) OES—UAVs             Total MO&DA (adjusted) 100.7 87.9 99.9 111.5 165.2 213.7 P&A—excluding HST operations and servicing             P&A—in budget books 38.9 45.3 61.4 68.1 109.1 111.7 HST operations and servicing included             Planetary 61.8 42.6 38.5 43.4 56.1 67.0 OSS—adjusted for HST operations and servicing             OSS—combined             OSS—in budget book             Earth science           35.0 Total EOS Data and Information System (EOSDIS)             Total Supporting Infrastructure 4.5 4.3 7.5 8.9 16.2 17.6 OSSA Information Systems Office 4.5 4.3 7.5 8.9 16.2 17.6 P&A information systems             CIESIN             OES information systems             High-performance computing and communications             Socio-Economic Data Applications Center             Landsat             Data purchases             Commercial remote sensing             Advanced geostationary studies            

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Programs and Activities Fiscal Year Obligations (in millions of current dollars) 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 Approp. 1998 Total Research and Analysis 301.9 307.9 357.0 398.9 409.0 395.6 410.4 427.1 429.5 426.4 405.4 378.7 P&A 53.4 829 85.1 104.9 98.3 69.9 71.6 71.1 75.4 62.8     Planetary 69.5 67.3 76.9 70.7 67.8 76.6 101.7 107.6 108.4 93.4     FI:0OSS subtotal 122.9 150.2 162.0 175.6 166.1 146.5 173.3 178.7 183.8 156.2 166.8 130.5 Life sciences 41.8 38.4 38.2 44.4 56.3 62.9 52.9 55.1 50.7 55.2 58.0 53.7 Microgravity science 13.9 12.9 19.2 17.6 13.7 16.6 17.9 18.4 30.4 30.2 31.9 30.8 FI:0OLMSA subtotal 55.7 51.3 57.4 62.0 70.0 79.5 70.8 73.5 81.1 85.4 89.9 84.5 Earth science 123.3 106.4 137.6 161.3 172.9 169.6 166.3 174.9 164.6 184.8 148.7 163.7 FI:0OES subtotal 123.3 106.4 137.6 161.3 172.9 169.6 166.3 174.9 164.6 184.8 148.7 163.7 Total Other Science Support                 63.9 47.5 84.3 88.3 OLMSA—aerospace medicine                     3.8 7.5 EOS science                 37.3 16.7 37.5 37.4 EOS mission science teams and guest investigators                 26.6 30.8 41.8 45.9 OES—Globe program                     5.0 5.0 Total Suborbital Program 79.1 66.5 68.4 72.1 75.2 80.4 85.5 94.7 93.2 115.3 79.2 105.9 P&A—suborbital 79.1 44.7 45.4 52.7 55.0 60.1 64.8 69.5 67.2 88.0 59.9 83.3 SOFIA                     21.3 45.8 Sounding rockets 30.4 27.5 27.0 30.1 31.3 34.2 36.4 39.5 38.0 38.6 24.6 23.8 Airborne research 35.6 7.3 9.8 10.7 11.5 12.0 13.0 13.6 13.2 33.4     Balloon program 7.9 9.9 8.6 11.9 12.2 13.9 15.4 16.4 16.0 16.0 14.0 13.7 Spartan program 4.7                       OES—airborne science and applications (35.6) 21.8 23.0 19.4 20.2 20.3 20.7 25.2 26.0 27.3 19.0 20.7 OES—UAVs                     0.3 1.9 Total MO&DA (adjusted) 239.7 229.0 164.6 232.6 335.5 383.3 456.2 418.3 379.0 410.7 421.0 395.8 P&A—excluding HST operations and servicing     53.9 76.6 125.9 167.5 198.8 190.0 190.7       P&A—in budget books 131.0 140.5 142.4 215.7 311.9 375.2 415.5 405.2 427.4       HST operations and servicing included     88.5 139.1 186.0 207.7 216.7 215.2 236.7 190.7 213.7 180.4 Planetary 75.1 73.8 110.7 156.0 170.2 160.7 163.4 130.7 117.2       OSS—adjusted for HST operations and servicing         296.1 328.2 362.2 320.7 307.9 372.9 382.8 348.1 OSS—combined         482.1 535.9 578.9 535.9 544.6       OSS—in budget book                   563.6 596.5 528.5 Earth science 33.6 14.7 17.6 23.8 39.4 55.1 94.0 97.6 71.1 37.8 38.2 47.7 Total EOS Data and Information System (EOSDIS)         36.0 77.7 130.7 188.2 220.6 247.2 234.6 209.9 Total Supporting Infrastructure 21.2 20.8 19.9 28.2 4.5 50.0 74.3 50.4 66.8 83.1 107.8 47.1 OSSA Information Systems Office 21.2 20.8 19.9 28.2 4.5 4.5 4.5 4.5 4.5 4.5     P&A information systems             25.0 26.5 26.1 25.9     CIESIN           25.0 18.0 5.0         OES information systems             11.2 11.2 9.7 9.6 8.5 4.3 High-performance computing and communications                 20.5 26.1 28.3 18.3 Socio-Economic Data Applications Center                 6.0       Landsat           7.5             Data purchases           13.0 15.6 3.2     50.0   Commercial remote sensing                   17.0 19.0 21.5 Advanced geostationary studies                     2.0 3.0

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Programs and Activities Fiscal Year Obligations (in millions of current dollars) 1981 1982 1983 1984 1985 1986 Total Science-related Technology Programs             OSS—core technology program (not mission-specific)             OLMSA—space product development             Total Academic Programs             Education             Minority research and education             Total 376.5 344.4 392.3 419.8 500.6 559.9 Recap in Constant 1995 Dollars             Research and analysis 378.1 320.1 348.7 350.2 357.8 359.2 Other science support 0.0 0.0 0.0 0.0 0.0 0.0 Suborbital program 65.2 67.3 70.8 74.5 80.6 80.1 MO&DA 164.5 135.0 147.1 158.2 226.9 285.7 EOS Data and Information System (EOSDIS)             Supporting infrastructure 7.4 6.6 11.0 12.6 22.3 23.5 Science-related technology programs             Academic programs             Total Ground-based Programs in 1995 Dollars 615.2 529.0 577.8 595.5 687.6 748.5 GDP Implicit Price Deflator (1995 = 100) 61.2 65.1 67.9 70.5 72.8 74.8 NOTE: CIESIN = Consortium for International Earth Science Information Network; EOS-Earth Observing System; GLOBE = Global Learning and Observations to Benefit the Environment; HST = Hubble Space Telescope; MO&DA = mission operations and data analysis; OES = Office of Earth Sciences; OLMSA = Office of Life and Microgravity Science and Applications; OSS = Office of Space Science; OSSA-Office of Space Science and Applications; P&A = physics and astronomy; SOFIA = Stratospheric Observatory for Infrared Astronomy.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Programs and Activities Fiscal Year Obligations (in millions of current dollars) 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 Approp. 1998 Total Science-related Technology Programs                   0.0 200.5 213.7 OSS—core technology program (not mission-specific)                     187.5 200.8 OLMSA—space product development                     13.0 12.9 Total Academic Programs   (21.6) (24.0) 37.5 55.1 66.8 92.9 85.5 106.2 109.9 120.4 120.0 Education         37.9 44.8 70.2 54.3 57.9 61.5 65.6 68.6 Minority research and education         17.2 22.0 22.7 31.2 48.3 48.8 54.8 51.4 Total 641.9 624.2 609.9 769.3 915.3 1053.8 1250.0 1264.2 1359.2 1440.1 1653.2 1559.4 Recap in Constant 1995 Dollars                         Research and analysis 391.1 385.4 428.6 459.0 452.9 425.8 430.6 438.1 429.5 416.8 387.6 355.6 Other science support 0.0 0.0 0.0 0.0 0.0 0.0 0.0 0.0 63.9 46.4 80.6 82.9 Suborbital program 102.5 83.2 82.1 83.0 83.3 86.5 89.7 97.1 93.2 112.7 75.7 99.4 MO&DA 310.5 286.6 197.6 267.7 371.5 412.6 478.7 429.0 379.0 401.5 402.5 371.6 EOS Data and Information System (EOSDIS)         39.9 83.6 137.1 193.0 220.6 241.6 224.3 197.1 Supporting infrastructure 27.5 26.0 23.9 32.5 5.0 53.8 78.0 51.7 66.8 81.2 103.1 44.2 Science-related technology programs                     191.7 200.7 Academic programs       43.2 61.0 71.9 97.5 87.7 106.2 107.4 115.1 112.7 Total Ground-based Programs in 1995 Dollars 831.5 781.2 732.2 885.3 1013.6 1134.3 1311.6 1296.6 1359.2 1407.7 1580.5 1464.2 GDP Implicit Price Deflator (1995 = 100) 77.2 79.9 83.3 86.9 90.3 92.9 95.3 97.5 100.0 102.3 104.6 106.5

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis TABLE A.2 FY 1981-1998 NASA Budgets: Major Flight Projects Major Science-related Flight Projects Fiscal Year Obligations (in millions of current dollars) 1981 1982 1983 1984 1985 1986 1987 Total Physics and Astronomy 188.8 162.8 251.3 330.2 364.1 259.3 202.2 SIRTF development (and ATD)               ISPM development 28.0             HST development 119.3 121.5 182.5 195.6 195.0 125.8 96.0 HST operations and servicing (adjustment)               GRO development 8.2 8.0 34.5 85.9 117.2 85.3 50.5 AXAF development               Global geospace science development               TIMED development (and ATD)               Payload and instrument development               Relativity mission development (GP-B)           (7.5) (9.0) Explorer development 33.3 33.3 34.3 48.7 51.9 48.2 55.7 Total Planetary Exploration 63.1 120.7 97.6 114.5 173.3 227.1 214.6 Galileo development 63.1 115.7 91.6 79.5 58.8 64.2 71.2 Magellan development       29.0 92.5 120.3 97.3 Ulysses development (ISPM)   5.0 6.0 6.0 9.0 8.8 10.3 Mars Observer development         13.0 33.8 35.8 Mars Balloon Relay (Mars '94)               Cassini development               Discovery development               Mars Surveyor program               New Millennium ATD               Origins ATD               Exploration technology development               Total Life and Microgravity Sciences and Applications 49.3 65.8 113.9 118.5 147.8 140.4 151.7 Lifesciences 12.7 14.0 24.0 23.0 27.1 32.1 30.0 Microgravity 9.2 4.2 8.9 14.6 15.3 18.9 33.4 Shuttle and Spacelab payloads 27.4 47.6 81.0 80.9 105.4 89.4 72.8 Space Station payloads and planning             15.5 Station research facilities (move to space station budget)               Mission to Planet Earth (and precursors) 90.2 92.0 76.1 44.4 75.5 133.3 175.3 Landsat 88.5 81.9 58.4 16.8       UARS   6.0 14.0 20.0 55.7 114.0 113.8 Topex             18.9 EOS               Earth probes (including Scatterometer)         12.0 14.0 32.9 Space station attached payloads               Payload and instrument development 1.7 4.1 3.7 7.6 7.8 5.3 9.7

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Flight Projects Fiscal Year Obligations (in millions of current dollars) 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 Approp. 1998 Total Physics and Astronomy 233.0 406.8 452.1 505.6 661.1 674.6 707.3 737.4 667.9 476.9 573.1 SIRTF development (and ATD)                 15.0 24.9 55.4 ISPM development                       HST development 93.1 104.9 81.8                 HST operations and servicing (adjustment)   88.5 139.1 186.0 207.7 216.7 215.2 236.7 190.7 213.7 180.4 GRO development 53.4 50.9 41.2 22.0               AXAF development   16.0 44.0 101.2 150.7 168.3 239.3 224.3 237.6 18.4 95.8 Global geospace science development 18.6 64.4 57.6 96.6 75.3 72.6 27.6 40.0       TIMED development (and ATD)                 15.0 25.9 52.7 Payload and instrument development         118.3 74.2 59.5 66.0 25.9 16.9 18.0 Relativity mission development (GP-B) (10.3) (17.9) (21.7) (23.4) (27.2) 27.0 42.4 50.0 51.5 59.6 57.3 Explorer development 67.9 82.1 88.4 99.8 109.1 115.8 123.3 120.4 132.2 117.5 113.5 Total Planetary Exploration 186.6 229.0 164.2 235.8 296.9 208.5 413.0 454.6 405.6 241.4 266.7 Galileo development 51.9 73.4 17.1                 Magellan development 73.0 43.1                   Ulysses development (ISPM) 7.8 10.3 14.3 2.8               Mars Observer development 53.9 102.2 98.9 88.5 85.0             Mars Balloon Relay (Mars '94)     4.4 1.5 1.2 3.5 4.4         Cassini development     29.5 143.0 210.7 205.0 266.6 255.0 191.5 74.6   Discovery development             127.4 129.7 102.2 76.8 76.5 Mars Surveyor program             14.6 59.4 111.9 90.0 145.2 New Millennium ATD                 10.5     Origins ATD                     25.0 Exploration technology development                     20.0 Total Life and Microgravity Sciences and Applications 150.3 173.0 226.1 261.5 276.9 336.7 434.0 379.7 312.8 137.0 109.3 Lifesciences 33.8 40.9 61.7 81.1 94.7 81.1 131.7 89.8 54.4 39.4 34.8 Microgravity 49.8 56.4 84.3 88.6 104.2 156.0 156.6 97.1 76.3 73.4 69.6 Shuttle and Spacelab payloads 47.8 67.7 75.1 88.8 78.0 94.1 108.7 102.3 53.6 24.2 4.9 Space Station payloads and planning 18.9 8.0 5.0 3.0 (7.7) 5.5 37.0 90.5       Station research facilities (move to space station budget)                 128.5     Mission to Planet Earth (and precursors) 214.0 225.2 229.7 243.2 357.1 423.5 515.2 675.2 634.3 644.0 753.2 Landsat         (78.0) 25.0 (74.1)         UARS 89.2 85.2 55.2 62.0               Topex 74.5 83.0 84.8 80.4 65.0             EOS         176.4 263.7 392.9 574.1 554.2 582.2 704.6 Earth probes (including Scatterometer) 22.6 10.6 13.6 51.7 77.8 99.4 96.4 81.6 80.1 61.8 48.6 Space station attached payloads                       Payload and instrument development 27.7 46.4 76.1 49.1 37.9 35.4 25.9 19.5      

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Flight Projects Fiscal Year Obligations (in millions of current dollars) 1981 1982 1983 1984 1985 1986 1987 Total Space Station Research (budget restructured in FY 1999a)               Research projects               Utilization support               Mir support (including Mir research)               Total Science-related Technology Programs 0.0 0.0 20.0 25.0 45.0 81.9 84.6 ACTS development     20.0 25.0 45.0 81.9 84.6 OSS Mission studies and technology development               OSS Focused technology programs (mission-specific)               OSS New Millennium program               Total (including Space Station research facilities and focused technology programs) 391.4 441.3 558.9 632.6 805.7 842.0 828.4 Recap in Constant 1995 Dollars               Physics and astronomy 308.6 250.1 370.2 468.5 500.2 346.5 262.1 Planetary exploration 103.1 185.4 143.8 162.5 238.1 303.5 278.1 Life and microgravity sciences and applications 80.6 101.1 167.8 168.1 203.0 187.6 196.6 Mission to Planet Earth (and precursors) 147.4 141.3 112.1 63.0 103.7 178.1 227.2 Science-related technology programs 0.0 0.0 29.5 35.5 61.8 109.4 109.6 Space station research facilities               Total Major Flight Projects in 1995 dollars 639.7 678.0 823.4 897.6 1106.8 1125.1 1073.6 GDP Pride Deflator 61.2 65.1 67.9 70.5 72.8 74.8 77.2 NOTE: ACTS = Advanced Communications Technology Satellite; ATD = Advanced Technology Development; AXAF = Advanced X-ray Astrophysics Facility; EOS = Earth Observing System; GRO = Gamma Ray Observatory; HST = Hubble Space Telescope; ISPM = International Solar Polar Mission; TIMED = Thermospheric Ionosphere Mesosphere Energetics and Dynamics; UARS = Upper Atmosphere Research Satellite a Data shown prior to FY 1997 are and were distributed in other budget elements.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Major Science-related Flight Projects Fiscal Year Obligations (in millions of current dollars) 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 Approp. 1998 Total Space Station Research (budget restructured in FY 1999a)             (187.8) (254.6) (277.4) 82.2 95.3 Research projects             (43.1) (112.8) (131.3) 82.2 95.3 Utilization support             (21.0) (36.3) (64.4) (54.6) (89) Mir support (including Mir research)             (123.7) (105.5) (81.7) (59.3) (37) Total Science-related Technology Programs 75.6 74.8 60.0 34.0 18.7 4.0 3.0 2.3 26.7 72.3 210.4 ACTS development 75.6 74.8 60.0 34.0 18.7 4.0 3.0 2.3       OSS Mission studies and technology development                 26.7     OSS Focused technology programs (mission-specific)                   26.7 170.7 OSS New Millennium program                   45.6 39.7 Total (including Space Station research facilities and focused technology programs) 859.5 1,108.8 1,132.1 1,280.1 1,610.7 1,647.3 2,072.5 2,249.2 2,047.3 1,653.8 2,008.0 Recap in Constant 1995 Dollars                       Physics and astronomy 291.5 488.4 520.2 559.6 712.0 708.1 725.5 737.2 652.9 456.0 538.1 Planetary exploration 233.4 275.0 188.9 261.0 319.8 218.9 423.6 454.5 396.5 230.8 250.4 Life and microgravity sciences and applications 188.0 207.7 260.2 289.5 298.2 353.4 445.2 379.6 305.8 131.0 102.6 Mission to Planet Earth ( and precursors) 267.7 270.4 264.3 269.2 384.6 444.6 528.4 675.0 620.0 615.8 707.2 Science-related technology programs 94.6 89.8 69.0 37.6 20.1 4.2 3.1 2.3 26.1 69.1 197.6 Space station research facilities                 125.6 78.6 89.5 Total Major Flight Projects in 1995 dollars 1075.1 1331.3 1302.6 1416.9 1734.7 1729.2 2125.8 2248.6 2126.9 1581.3 1885.4 GDP Pride Deflator 79.9 83.3 86.9 90.3 92.9 95.3 97.5 100.0 102.3 104.6 106.5

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis flight projects. Because of the large year-to-year changes in budget resources required for the development of major spaceflight projects, it is essential to separate these projects to make any sense of the dollar trends in funding for the various NASA program activities. In developing Tables A.1 and A.2, the task group tracked through successive budget documents in order to tabulate the latest available "actual" budget for each program element. For purposes of comparison, any given budget usually shows budget data for 3 years: (1) the prior fiscal-year amount (the actual amount as recorded in the agency's financial accounts), (2) the current-year amount (an estimate of the ongoing year's activity at the time the budget request is submitted), and (3) the budget-request amount (which is frequently modified by Congress in the appropriations process). Tables A.1 and A.2 track the prior-year (or actual) amounts given in the various budget reports summarized in this study. The budget history tables (and many of the other analytical summaries in this report) include constant-dollar series that were adjusted by the task group based on Office of Management and Budget (OMB) gross domestic product (GDP) implicit price deflators (see Table A.3), which can be found in the president's annual budget documents and are also available on the Government Printing Office Web site (<http://www.gpo.gov/su_docs/budget99/hist_wk1.html>). DATA FROM THE NATIONAL SCIENCE FOUNDATION'S FEDERAL FUNDS ANNUAL SERIES-BROAD SECTORAL OVERVIEW Table A.4 provides a broad historical perspective on performers of NASA-funded R&D. This summary is based on the National Science Foundation's (NSF's) federal funds series of statistics gathered and published each year by NSF's Science Resources Studies Division. These data are collected by NSF from each of the major R&D-performing agencies of the federal government and are statistical extracts or estimates derived from the annual budget documents. These agency statistics, collected for several decades on a consistent basis, are an important source of information about federal R&D programs. They provide detailed estimates of agency programs, based on the character of the work being supported (including estimates of the amounts provided for basic and applied research and for development activities). For the purposes of this report, the NSF data are significant because they provide the only regularly published data from NASA that contain a breakdown of the overall NASA R&D program by performing sector (e.g., industry, academic institutions, nonprofit organizations, and in-house NASA centers). In fact, this series is the only source of which the task group is aware that presents estimates of the dollar value of NASA intramural research. One caveat regarding NSF federal funds data is that they represent agency estimates—in this case, NASA estimates—of program amounts directed to particular performers of R&D. The data received by NSF from NASA are not tied to specific contracts and grants and do not provide either a breakdown by major NASA field installations or separate identification of Jet Propulsion Laboratory R&D work, which is included in the general category of federally funded research and development centers (FFRDCs). DATA AND ANALYTICAL CATEGORIES FOR SUMMARIZING NASA AWARDS TO UNIVERSITIES NASA does not currently publish very much top-level summary data about the nature of its procurement awards for externally performed research, such as the average size of NASA contracts, their average duration, or their distribution by major fields of science. However, for many years NASA has

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis TABLE A.3 Deflators for Task Group on Research and Analysis Study Fiscal Year Base Year FY 1995 Base Year FY 1989 Index Value of $300,000 Index Value of $300,000 1981 61.2 184 73.5 220 1982 65.1 195 78.2 234 1983 67.9 204 81.5 245 1984 70.5 212 84.6 254 1985 72.8 218 87.4 262 1986 74.8 224 89.8 269 1987 77.2 232 92.7 278 1988 79.9 240 95.9 288 1989 83.3 250 100.0 300 1990 86.9 261 104.3 313 1991 90.3 271 108.4 325 1992 92.9 279 111.5 335 1993 95.3 286 114.4 343 1994 97.5 293 117.0 351 1995 100.0 300 120.0 360 1996 102.3 307 122.8 368 1997 104.6 314 125.5 377 1998 (estimated) 106.5 320 127.9 384 1999 (estimated) 108.7 326 130.5 391 NOTE: Based on gross domestic product deflator series, Council of Economic Advisors. FY 1996 to FY 1999 values downloaded from OMB Web site: <http://www.gpo.gov/su_docs/budget99/hist_wkl.html>. Deflators were updated using the base year 1992. published annually in its Green Books2 an exhaustive listing of all of its research and training awards to colleges and universities that provides very detailed information at the level of specific contracts and grants. In the most recent fiscal year for which data were available for this study, FY 1995, 8,141 active contracts and grants were awarded to academic institutions.3 NASA's Green Books contain a wealth of information at the level of individual contracts and grants, including a specific contract or grant award number, the name of the receiving institution, its location by state, a brief descriptive title of the effort covered, the period of performance, the amount of funding obligations in the current fiscal year and cumulatively over the life of the award, the name of the principal investigator(s), the names of the NASA contracting office and the NASA technical officer, and a standard government-wide designation (CASE code) of the appropriate field of science to which the award applies. To have detailed statistics on NASA research contracts and grants for use in this report, the task group undertook a major data preparation job. Data from the Green Books were entered into a computerized database using a combination of optical character recognition (scanning) and manual data entry. The data represent 4 years taken at 3-year intervals, covering the decade from FY 1986 to FY 1995. 2    The term ''Green Books" refers to NASA's University Program Active Projects and University Program Management Information System prepared by NASA's Office of Human Resources and Education, Washington, D.C. 3    The figure of 8,141 shown here differs from the figure of 5,069 shown in Table 4.4 owing to reporting procedures at NASA. When NASA publishes its awards data, the agency lists all active grants, including those that have not yet closed and carry no dollar obligations in the fiscal year.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis TABLE A.4 Summary of NASA-funded Research and Development by Performer ($ thousands) Performing Sector FY 1981 FY 1982 FY 1983 FY 1984 FY 1985 FY 1986 FY 1987 Intramural 1,043,805 1,165,551 1,134,436 1,043,278 1,171,117 1,217,343 1,413,839 Basic 216,411 250,670 305,480 344,647 318,382 363,307 379,435 Applied 475,577 501,171 547,461 422,781 482,271 528,314 590,660 Development 351,817 413,710 281,495 275,850 370,464 325.722 443,744 Industrial Firms 2,096,328 1,432,593 901,847 1,120,182 1,311,876 1,276,774 1,479,327 Basic 160,722 118,961 114,551 198,387 181,273 280,517 228,008 Applied 318,502 272,114 251,327 399,380 381,421 430,838 482,244 Development 1,617,104 1,041,518 535,969 522,415 749,182 565,419 769,075 Universities and Colleges 171,308 185,630 189,357 203,846 237,260 254,027 293,644 Basic 124,418 125,876 140,081 148,442 176,886 182,928 220,060 Applied 32,734 29,976 29,600 28,445 36,535 41,906 42,964 Development 14,156 29,778 19,676 26,959 23,839 29,193 30,620 Nonprofit Organizations 98,830 104,511 97,289 89,419 82,167 101,127 102,529 Basic 14,770 18,191 22,571 23,875 18,570 27,102 27,478 Applied 24,346 29,590 33,954 30,313 25,472 34,080 34,040 Development 59,714 56,730 40,764 35,231 38,125 39,945 41,011 FFRDCs—Universities 79,008 182,519 305,120 350,255 512,366 542,407 475,303 Basic 11,775 18,409 30,626 35,183 51,500 54,585 153,149 Applied 23,647 36,876 61,099 70,269 102,756 108,864 98,287 Development 43,586 127,234 213,395 244,803 358,110 378,958 223,867 FFRDCs—Nonprofit 650 417 495 399 744 589 565 Basic 562 410 203 179 686 336 170 Applied 38 4 264 196 53 227 232 Development 50 3 28 24 5 26 163 TOTAL NASA (thousand dollars) 3,489,929 3,071,221 2,628,544 2,807,379 3,315,530 3,392,267 3,765,207 Basic 528,658 532,517 613,512 750,713 747,297 908,775 1,008,300 Applied 874,844 869,731 923,705 951,384 1,028,508 1,144,229 1,248,427 Development 2,086,427 1,668,973 1,091,327 1,105,282 1,539,725 1,339,263 1,508,480 Percentage Distribution               Basic 15.1 17.3 23.3 26.7 22.5 26.8 26.8 Applied 25.1 28.3 35.1 33.9 31.0 33.7 33.2 Development 59.8 54.3 41.5 39.4 46.4 39.5 40.1 Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 NOTE: Updated from Trends in the Structure of Federal Science Support, Federal Coordinating Council for Science, Engineering, and Technology, Washington, D.C., December 1992. a Estimate. SOURCE: Federal Funds for Research and Development: Fiscal Years 1994, 1995, and 1996, Vol. 44, Detailed Statistical Tables, NSF 97-302, National Science Foundation, Washington, D.C., 1997.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Performing Sector FY 1988 FY 1989 FY 1990 FY 1991 FY 1992 FY 1993 FY 1994 FY 1995 FY 1996a FY 1997a Intramural 1,335,244 1,733,436 1,968,411 2,112,018 2,248,412 2,333,246 2,271,257 2,253,736 2,403.417 2,271,038 Basic 343,494 453,571 462,326 443,568 493,224 531,300 490,977 494,548 502,309 471,238 Applied 487,057 621,095 585,278 689,997 624,747 718,691 669,163 516,974 568,085 558,897 Development 504,693 658,770 920,807 978,453 1,130,441 1,083,255 1,111,117 1,242,214 1,333,023 1,240,903 Industrial Firms 1,961,867 2,425,921 3,284,775 3,666,972 3,765,022 4,112,193 4,304,780 4,686,599 5,258.376 5,062,671 Basic 292,129 420,412 517,124 530,970 476,767 505,806 706,865 636,359 666,222 614,453 Applied 531,576 584,723 562,848 673,284 577,976 737,054 914,794 1,249,402 1,418,350 1,484,756 Development 1,138,162 1,420,786 2,204,803 2,462,718 2,710,279 2,869,333 2,683,121 2,800,838 3,173,804 2,963.462 Universities and Colleges 337,930 433,665 470,746 533,728 586,299 613,742 520,988 708,064 708,064 708,064 Basic 254,936 298,712 307,909 357,838 402,370 420,977 421,481 480,168 480,168 480,168 Applied 54,749 88,416 113,906 116,576 109,412 117,998 13,389 107,421 107,421 107,421 Development 28,245 46,537 48,931 59,314 74,517 74,767 86,118 120,475 120,475 120,475 Nonprofit Organizations 112,927 149,406 168,154 212,892 265,181 280,276 255,670 269,069 286,949 274,716 Basic 29,022 39,264 42,123 50,042 60,192 62,909 60,605 59,733 60,554 56,317 Applied 31,789 40,483 36,638 48,706 51,638 61,111 57,912 60,810 69,439 71,152 Development 52,116 69,659 89,393 114,144 153,351 156,256 137,153 148,526 156,956 147,247 FFRDCS—Universities 559,567 630,070 619,257 736,342 791,023 685,258 771,176 1,043,913 903,310 803,894 Basic 183,777 197,589 298,324 317,164 333,519 308,077 259,528 301,133 294,301 257,229 Applied 106,962 121,724 119,776 132,384 117,709 107,856 88,333 120,780 95,997 89,618 Development 268,828 310,757 201,157 286,794 339,795 269,325 423,315 622,000 513,012 457,047 FFRDCS—Nonprofit 790 3,083 2,402 1,940 2,205 2,198 7,022 3,771 3,771 3,771 Basic 384 1,856 1,530 1,131 1,269 1,176 1,988 1,292 1,255 1,267 Applied 208 171 127 112 49 78 1,022 559 611 629 Development 198 1,056 745 697 887 944 4,012 1,920 1,905 1,875 Total NASA (thousand dollars) 4,308,325 5,375,581 6,513,745 7,263,892 7,658,142 8,026,913 8,130,893 8,965,152 9,563,887 9,124,154 Basic 1,103,742 1,411,404 1,629,336 1,700,713 1,767,341 1,830,245 1,941,444 1,973,233 2,004,809 1,880,672 Applied 1,212,341 1,456,612 1,418,573 1,661,059 1,481,531 1,742,788 1,744,613 2,055,946 2,259,903 2,312,473 Development 1,992,242 2,507,565 3,465,836 3,902,120 4,409,270 4,453,880 4,444,836 4,935,973 5,299,175 4,931,009 Percentage Distribution                     Basic 25.6 26.3 25.0 23.4 23.1 22.8 23.9 22.0 21.0 20.6 Applied 28.1 27.1 21.8 22.9 19.3 21.7 21.5 22.9 23.6 25.3 Development 46.2 46.6 53.2 53.7 57.6 55.5 54.7 55.1 55.4 54.0 Total 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0 100.0

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Because of time constraints, the amount of manual effort required, and limitations in applying optical character recognition techniques to the hard-copy reports in its possession, the task group was not able to collect all of the Green Book data elements associated with each procurement award in the database it constructed. For example, technical descriptions were collected only for the very largest awards (i.e., those with obligations of $300,000 or more in any of the 4 years examined for the study). Two of the task group's objectives in developing this database were to categorize the awards by science discipline and to estimate the research component of NASA awards flowing into the academic sector. To achieve these objectives, a framework was needed for allocating data in the newly constructed database. Table A.5 summarizes the analytical categories and coding structure used for this purpose. Under the column heading "Science Programs" in Table A.5 are four categories of space-science-related activities that account for much of NASA science funding at universities and colleges. The task group attempted to specifically identify all research contracts and grants, by title, for the largest of the awards (coded as RES in its database). The names of technical officers were also useful in this process. Specific contracts for hardware design and development were grouped based on technical TABLE A.5 Analytical Categories for Summarizing NASA Awards to Universities Categories of University Activity Supporting NASA Missions Classification Codes Comments Science Programs     Major research grants (>$300,000 in at least 1 year) RES Classified on the basis of technical descriptions Smaller research grants (<$300,000 in all years) RIS Residual smaller grants not otherwise assigned to specific categories Instrument design and development IDD Includes flight instruments and advanced technology development Spacecraft design and development SDD Complete systems (e.g., GP-B, EUVE) Technology Programs     Technology development and application TECH Classified on the basis of technical descriptions Technology transfer and commercialization TTXR Includes facilities established specifically for technology transfer Educational Programs (including outreach)     National Space Grant College awards NSGC Program established by Congress in 1988 Training grants NGT All grants or contracts with NGT prefix (except space grants) Other educational and human resource development EDU Classified on the basis of technical descriptions Infrastructure and Program Support     Operation of NASA research support facilities OPS An example is the Poker Flats sounding range Technical and engineering support SUP Classified on the basis of technical descriptions Centers of excellence (institutional capabilities) CENX Variety of facilities sponsored by NASA centers and offices to serve specific programmatic purposes

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis descriptions and then were subdivided into two categories, instrument design and development (coded as IDD) and spacecraft development (coded as SDD). These hardware contracts tend to be large awards relative to awards for performance of ground-based research and analysis; they are of interest in their own right as an illustration of the scope and variety of science-related activities carried out for NASA by the universities. Smaller research awards, of which there are literally thousands, could not be identified separately because of time and data constraints. Instead, these were estimated as the residual category after all of the other nonresearch-related activities were removed; these awards were coded as RIS in the database. The two categories in Table A.5 summarized under "Technology Programs" generally cover NASA programs in aeronautical research as well as activities focused specifically on transferring aerospace technologies to commercial and other non-NASA users. The larger awards (coded as TECH or TTXR) were classified specifically on the basis of technical descriptions. Smaller awards (not coded separately) in technology-related activities include all NASA contracts and grants that were classified as engineering, mathematics, or computer science on the basis of CASE codes assigned by NASA program and procurement staff as reported in NASA's Green Books. Awards in two of the three categories under "Educational Programs" in Table A.5 were classified on the basis of technical descriptions. These include all National Space Grant College awards (coded NSGC) and all other education-related activities not specifically tagged as training grants in the NASA procurement system (coded EDU). NASA training grants can be identified easily in the Green Books by the prefix NGT that appears as the first three letters of the NASA contract or grant number (coded simply as NGT by the task group). The final set of categories in Table A.5 summarizes all NASA technical support and infrastructure activities carried out in the academic sector. All of these awards were classified by the task group on the basis of technical descriptions. For example, among the variety of program support activities that universities provide for NASA in the science arena are operation of the Poker Flats sounding rocket range in Alaska and, until fairly recently, operation of the NASA High Altitude Balloon Facility in Texas (all such operational contracts are coded as OPS in the database). Universities sometimes perform technical or engineering support functions for NASA; examples include editorial support for one of the NASA Headquarters program offices or the processing of synthetic aperture radar data for another office (all such activities are coded as SUP in the task group's database). The "Centers of Excellence" category is a catchall grouping established by the task group for specific contracts to universities in which the technical description implies that the effort is being funded to provide an ongoing institutional capability (coded as CENX in the task group's database to reflect the rationale that these activities are supported by NASA in order to establish and maintain a particular "center of excellence" for a specific programmatic purpose). These various broad infrastructure and program support activities relate to NASA's science, technology development, and educational support missions. ESTIMATE OF NET SPACE RESEARCH COMPONENT OF NASA RESEARCH AND ANALYSIS AWARDS The task group used the coding structure described above to categorize the large number and variety of contracts and grants awarded by NASA to universities and colleges to implement the agency's broad array of programmatic responsibilities. This categorization offers a means for characterizing the uses of funds awarded in all NASA contracts and grants to the academic sector. This approach also makes it possible to focus on the specific category of research contracts and grants of most interest to the task group's study of R&A programs, namely, the "net" space research component of NASA-sponsored

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis TABLE A.6 Estimation of the Space Research Component of NASA Awards to Universities   Larger Awards (>$300,000)     Number of Awards Categories of University Programs Supporting NASA Missions Classification of Space Science Code(s) FY 1986 FY 1989 FY 1992 FY 1995 Research Contracts and Grants           OLMSA disciplines RES/LS 4 6 8 12   RES/MGS 3 2 8 5 Subtotal OLMSA disciplines   7 8 16 17 OSS disciplines RES/AA 11 16 24 22   RES/SSP 13 16 18 13   RES/LPX 5 10 9 4 Subtotal OSS disciplines   29 42 51 39 OES disciplines RES/ES 18 12 26 48 Subtotal OES disciplines   18 12 26 48 Subtotal above: net space research   54 62 93 104 Percentage of total NASA awards   1.9 1.7 1.9 2.1 Other Space Science Activities           Instrument design and development IDD/Various 25 39 42 38 Spacecraft design and development SDD/Various 3 3 4 4 Operation of science facilities OPS/Various 2 2 9 9 Operation of support facilities SUP/Various 7 11 5 6 Centers of excellence CENX/Various 2 1 3 6 Subtotal (includes net space research—above)   93 118 156 167 Other NASA Activities           Training grants NGT 9 8 14 23 National Space Grant College awards NSGC 0 0 20 20 Other education programs EDU 3 3 11 29 Centers of excellence CENX/NSSa 2 17 26 37 Technology programs TECH 8 37 36 31 Technology transfer programs TTXR 7 18 17 19 Balance of NASA University Awards           Total university awards   122 201 280 326 a NSS = not space science.

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis Smaller Awards (<$300,000)         Consolidated Awards   Number Number CASE Field FY 1986 FY 1989 FY 1992 FY 1995 FY 1986 FY 1989 FY 1992 FY 1995 Agricultural science 13 8 11 4         Biological science 119 113 141 137         Environmental biology 15 23 26 27         Life sciences (not elsewhere classified) 33 24 34 84         Medical sciences 38 52 55 47           218 220 267 299 225 228 283 316 Astronomy 375 484 731 742         Chemistry 76 81 72 65         Physics 231 342 393 383         Physical science (not elsewhere classified) 97 143 242 187           779 1,050 1,438 1,377 808 1,092 1,489 1,416 Atmospheric science 266 301 371 375         Environmental science (not elsewhere classified) 61 88 152 188         Geological science 219 250 252 228         Oceanography 34 53 80 74           580 692 855 865 598 704 881 913   1,577 1,962 2,560 2,541 1,631 2,024 2,653 2,645   56.0 52.5 53.3 50.1 58.0 54.1 55.3 52.2           25 39 42 38           3 3 4 4           2 2 9 9           7 11 5 6           2 1 3 6           1,670 2,080 2,716 2,708 Various 217 449 729 933 226 457 743 956       30 30 0 0 50 50           3 3 11 29           2 17 26 37 Sum engineer, mathematics, computer science 820 1,035 1,092 1,073 828 1,072 1,128 1,104           7 18 17 19 Not distributed 78 92 138 196 78 92 138 196   2,692 3,538 4,519 4,743 2,814 3,739 4,799 5,069

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis space science in the academic sector. Since there is no means of directly measuring the R&A and DA (data analysis) activities being carried out under NASA contracts and grants, the subset of such awards was estimated by excluding awards for all activities related to other NASA (nonscience) programs and missions. Although this approach does not yield a perfect measure, it represents the only workable means available to the task group to develop a reasonable basis for assessing net space research activities of particular interest to this study. The approach, which is reproducible and has the additional merit of providing a consistent basis for making a time-based assessment of net space research activities, was applied to the historical data for all 4 fiscal years for which detailed NASA award statistics were collected—FY 1986, FY 1989, FY 1992, and FY 1995. Assignment Of Awards To Nasa Science Disciplines The two-stage process used by the task group to assign larger and then smaller NASA contracts and grants to the general analytical categories described above was also used to develop historical statistics relevant to the major NASA science disciplines and the three NASA science program offices—the Office of Earth Science (OES), the Office of Life and Microgravity Sciences and Applications (OLMSA), and the Office of Space Science (OSS)—currently responsible for science management of the major disciplines in NASA Headquarters. These allocations are perhaps best explained by referring to one of the worksheets used to develop the award count statistics for the 4 fiscal years covered by the study. Table A.6 provides this summary. As Table A.6 shows, the count of all NASA awards to colleges and universities was distributed by the task group into analytical categories under the headings "Research Contracts and Grants," "Other Space Science Activities," and "Other NASA Activities." The larger awards (those totaling >$300,000 in any of the 4 fiscal years) were assigned classification codes as described in the preceding paragraphs. Appended to these classification codes is an additional science discipline code. Each of the large research awards was categorized by major NASA science discipline and by program office as follows: all awards classified as life science (LS) or microgravity science (MGS) were assigned to the current OLMSA; all awards classified as astronomy and astrophysics (AA), space and solar physics (SSP), or lunar and planetary exploration (LPX) were assigned to the current OSS; and all large research awards categorized as Earth science (ES) were assigned to the OES. The resulting allocations are subtotaled in Table A.6 to provide a comprehensive total of all the "net" space research contracts and grants awarded by NASA to universities for fiscal years 1986, 1989, 1992, and 1995. In summary, this is a direct allocation of all the larger awards based on examination of the technical descriptions for each specific award. For smaller awards, it was simply not possible to apply this very time-consuming award-by-award classification scheme. Allocation of the thousands of smaller awards was achieved by assigning each award to the corresponding NASA science program office on the basis of the CASE science fields assigned by NASA personnel responsible for the database used to produce the Green Books. The task group notes that these allocations are somewhat arbitrary, but if the CASE codes are reasonably accurate, this approach should provide a reasonable basis for assigning awards to each of NASA's three science program offices. Finally, as described in the previous section, all smaller awards with CASE field codes in engineering, mathematics, or computer science were assigned to NASA's technology development mission and excluded from the estimate of the net space research component of NASA academic funding. The consolidation of estimates in Table A.6 sums both the larger and smaller awards listed. The interesting substantive result of this derailed estimating procedure is that more than half of all NASA

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Supporting Research and Data Analysis in NASA's Science Programs: Engines for Innovation and Synthesis contracts and grants to universities fall within the broad category of net space research, the principal focus of the task group's study. This estimating approach was applied consistently for each of the 4 fiscal years for which detailed data were collected. These data suggest that over the decade from FY 1986 to 1995, the total number of NASA awards to universities and colleges for the performance of space research increased by about 1,000—from 1,631 awards in FY 1986 to 2,645 awards in FY 1995. Awards for purposes other than research increased more rapidly during the decade, with the result that the proportion of awards for research declined from about 58 percent of the total in FY 1986 to 52 percent in FY 1995. Caveats And Additional Observations Descriptive Statistics On Nasa Contract And Grant Awards Many task group members were concerned that the use of simple average statistics (especially the use of mean values) would not give an accurate sense of the variability or the typical value of award sizes, especially since these distributions are known to include relatively small numbers of very large awards and relatively large numbers of small-dollar-value awards. To address similar concerns, statistics on new versus continuing awards were tabulated to allow for the fact that some awards continue for very long periods whereas other do not. During a period in which the total number of awards is increasing, the average duration of awards tends to decline because of the varying proportions of new versus continuing awards. Coded Large Nasa Awards In the process of developing data for analysis, the task group created a lengthy listing of large NASA awards that were then classified on an individual basis for purposes of this study. This listing, sorted by the major classification codes used to generate many of the statistical series reported in the text of this report, provides a basis for assessing the validity of the coding scheme used by the task group both for correlating activity types with the various awards and for assigning them to the major NASA science disciplines.