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
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 |
|
|
|
|
|
|
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 |
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 |
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 |
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 |
|
|
|
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. |
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 |
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
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. |
TABLE A.4 Summary of NASA-funded Research and Development by Performer ($ thousands)
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 |
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 |
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
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. |
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 |
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
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.