[Budget of the U.S. Government]
[V. Creating Opportunity, Demanding Responsibility, and Strengthening Community]
[4. Promoting Research]
[From the U.S. Government Publishing Office, www.gpo.gov]
4. PROMOTING RESEARCH
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. . . We must harness the remarkable forces of science and technology that are remaking our world. . . . We
can make this age of science and technology a true age of possibility for all the American people, but we must
invest in it and do it wisely if we expect to get a return.
President Clinton
December 11, 1996
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Technological innovation has accounted for at least half of the
Nation's productivity growth in the last 50 years. We enjoy the fruits
of this innovation every day in the many technologies that we have come
to depend on for our way of life--including lasers, computers, x-rays,
teflon, weather and communication satellites, jet aircraft, microwave
ovens, solar-electric cells, human insulin, and a plethora of
pharmaceutical products. These advances have generated millions of high-
skilled, high-wage jobs and significantly improved the quality of life
for Americans.
Because our investments in science and technology (S&T) have paid
such rich dividends, U.S. leadership in S&T is a cornerstone of the
President's vision for America. Thus, the budget continues these vital
S&T investments--investments that contribute significantly to many of
the Administration's broader goals, including creating new knowledge,
training our workers, creating new jobs and industries, solving our many
health challenges, enhancing our ability to address environmental
issues, improving our ability to teach our children, and maintaining a
strong, capable national defense.
Specifically, the budget adds funds for basic research in health
sciences at the National Institutes of Health (NIH), for basic research
and education at the National Science Foundation (NSF), for research at
other agencies that depend on S&T for their missions, and for
cooperative projects with industry and universities.
As the President has said, we need to balance the budget in a way
that boosts economic growth and encourages public and private investment
in innovative S&T. The budget continues the record of S&T investment
that has helped to keep the economy strong over the last four years.
The Federal Role in S&T
The post-Cold War era is one of intense global economic competition.
The United States also faces new national security challenges, including
the proliferation of nuclear and biological weapons, regional conflicts,
threats from environmental degradation, and emerging infectious
diseases.
Thus, the Federal Government has an indispensable role to play in
investing in S&T--a role critical to the country's economy, national
security, environment, health, and other social needs. This is
especially true when the risk is too great for individual companies to
make the needed investment, or when the public benefit is large but
private return is small. Our Nation also must support a balanced mix of
S&T investments (i.e., basic research, applied research, and technology
development), because the steps involved in scientific discovery and
technological innovation are so profoundly interwoven.
The Administration has initiated or expanded public-private
partnerships to spur innovations with broad economic impact. These
partnerships have traditionally served our Nation well, not only in
building transportation infrastructure (e.g., highways, airways,
harbors, and railroads), but in nurturing new types of technological
infrastructure (e.g., the Internet, global positioning satellites, and
environmental monitoring systems). They also
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enable the private sector to translate new knowledge into novel technologies that benefit its bottom line as well as society at large.
Science and Technology Highlights
As noted above, S&T investments contribute significantly to the
Administration's economic, health, environment, national security, and
education goals. This chapter describes the contributions in greater
detail. Overall research and development investment totals are displayed
in Table 4-1, while selected S&T highlights are displayed in Table 4-2.
Table 4-1. RESEARCH AND DEVELOPMENT INVESTMENTS
(Budget authority, dollar amounts in millions)
----------------------------------------------------------------------------------------------------------------
Dollar Percent
1993 1997 1998 Change: Change:
Actual Estimate Proposed 1997 to 1997 to
1998 1998
----------------------------------------------------------------------------------------------------------------
By Agency:
Defense..................................................... 38,898 37,461 36,780 -681 -2%
Health and Human Services................................... 10,472 12,933 13,478 +545 +4%
National Aeronautics and Space Administration............... 8,873 9,314 9,603 +289 +3%
Energy \1\.................................................. 6,896 6,186 7,312 +1,126 +18%
National Science Foundation................................. 2,012 2,458 2,553 +95 +4%
Agriculture................................................. 1,467 1,545 1,485 -60 -4%
Commerce.................................................... 793 1,050 1,115 +65 +6%
Interior.................................................... 649 581 605 +24 +4%
Transportation.............................................. 613 639 754 +115 +18%
Environmental Protection Agency............................. 511 504 555 +51 +10%
Other....................................................... 1,308 1,150 1,229 +79 +7%
-------------------------------------------------
Total....................................................... 72,492 73,821 75,469 +1,648 +2%
=================================================
By R&D Theme:
Basic Research.............................................. 13,362 14,885 15,303 +418 +3%
Applied Research............................................ 13,608 14,529 15,159 +630 +4%
Development................................................. 42,795 42,153 41,636 -517 -1%
Equipment \2\............................................... NA 937 960 +23 +2%
Facilities \1\,\2\.......................................... 2,727 1,317 2,411 +1,094 +83%
-------------------------------------------------
Total....................................................... 72,492 73,821 75,469 +1,648 +2%
=================================================
By Civilian Theme:
Basic Research.............................................. 11,951 13,747 14,112 +365 +3%
Applied Research............................................ 9,130 10,469 11,125 +656 +6%
Development................................................. 7,269 7,860 8,117 +257 +3%
Equipment \2\............................................... NA 492 506 +14 +3%
Facilities \2\.............................................. 1,979 984 1,128 +144 +15%
-------------------------------------------------
Subtotal.................................................... 30,329 33,552 34,988 +1,436 +4%
By Defense Theme:
Basic Research.............................................. 1,411 1,138 1,191 +53 +5%
Applied Research............................................ 4,478 4,060 4,034 -26 -1%
Development................................................. 35,526 34,293 33,519 -774 -2%
Equipment \2\............................................... NA 445 454 +9 +2%
Facilities \1\,\2\ ......................................... 748 333 1,283 +950 +285%
-------------------------------------------------
Subtotal.................................................... 42,163 40,269 40,481 +212 +1%
By R&D Share:
Defense..................................................... 42,163 40,269 40,481 +212 +1%
Civilian.................................................... 30,329 33,552 34,988 +1,436 +4%
-------------------------------------------------
Total....................................................... 72,492 73,821 75,469 +1,648 +2%
Civilian (percent)............................................ 42 45 46 NA NA
R&D Support to Universities................................... 11,674 12,979 13,268 +289 +2%
Merit (Peer) Reviewed R&D Programs............................ NA 22,220 22,717 +497 +2%
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NA = Not applicable.
\1\ 1998 estimates reflect an extra $1 billion for Department of Energy (DOE) facilities acquisition (primarily
in defense) as part of DOE's move to fully funding acquisitions up front.
\2\ Equipment and Facilities were not collected separately in 1993.
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Table 4-2. SELECTED SCIENCE AND TECHNOLOGY HIGHLIGHTS
(Budget authority, dollar amounts in millions)
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Dollar Percent
1993 1997 1998 Change: Change:
Actual Estimate Proposed 1997 to 1997 to
1998 1998
----------------------------------------------------------------------------------------------------------------
National Science Foundation................................... 2,734 3,270 3,367 +97 +3%
National Institutes of Health................................. 10,326 12,741 13,078 +337 +3%
Environmental Protection Agency:
Particulate matter in ambient air research................. NA 19 26 +7 +37%
Science to achieve results................................. NA 95 115 +20 +21%
National Aeronautics and Space Administration:................
International Space Station................................ 2,262 2,149 2,121 -28 -1%
Mission to Planet Earth.................................... 1,062 1,362 1,417 +55 +4%
Space science.............................................. 1,756 1,971 2,044 +73 +4%
X-33 reusable launch vehicle technology program............ NA 245 330 +85 +35%
Aeronautics initiative..................................... 129 417 456 +39 +9%
Department of Energy:
Science-based stockpile stewardship........................ NA 1,439 1,444 +5 +*%
Civilian basic science programs............................. 2,583 2,035 2,067 +32 +1%
Large Hadron Collider project.............................. NA 15 35 +20 +133%
Department of Commerce:
Advanced Technology Program................................ 68 225 275 +50 +22%
Manufacturing Extension Partnerships....................... 18 95 129 +34 +36%
National Information Infrastructure........................ NA 22 36 +14 +64%
Department of Defense: Dual Use Application Program........... NA 181 225 +44 +24%
Department of Agriculture: National Research Initiative 98 94 130 +36 +38%
Department of Transportation: Intelligent Transportation
Infrastructure............................................... 143 235 250 +15 +6%
National Science and Technology Council initiatives:
High performance computing and communications: \1\
Defense.................................................. 298 334 357 +23 +7%
Health and Human Services................................ 47 90 97 +7 +8%
National Aeronautics and Space Administration............ 82 114 128 +14 +12%
Energy................................................... 100 117 152 +35 +30%
National Science Foundation.............................. 233 278 294 +16 +6%
Commerce................................................. 12 32 35 +3 +9%
Transportation........................................... NA 20 25 +5 +25%
Education................................................ NA 12 12 +* +*%
Veterans................................................. NA 22 22 +* +*%
Environmental Protection Agency.......................... NA 6 6 +* +*%
-------------------------------------------------
Subtotal.................................................... 772 1,025 1,128 +103 +10%
U.S. global change research program: \2\
Health and Human Services................................ 1 4 4 +* +*%
National Aeronautics and Space Administration............ 1,062 1,362 1,417 +55 +4%
Energy................................................... 118 112 110 -2 -2%
National Science Foundation.............................. 124 164 166 +2 +1%
Agriculture.............................................. 55 57 61 +4 +7%
Commerce................................................. 66 60 62 +2 +3%
Interior................................................. 38 29 29 +* +*%
Environmental Protection Agency.......................... NA 14 21 +7 +50%
Smithsonian.............................................. NA 7 7 +* +*%
Tennessee Valley Authority............................... NA 1 1 +* +*%
-------------------------------------------------
Subtotal.................................................... 1,464 1,810 1,878 +68 +4%
Partnership for a new generation of vehicles.................. NA 263 281 +8 +7%
Construction and building..................................... NA 176 203 +27 +15%
Educational technology........................................ NA 499 524 +25 +5%
Emerging infectious diseases research......................... NA 260 280 +20 +8%
----------------------------------------------------------------------------------------------------------------
NA = Not collected in this year.
* Less than $500 thousand or 0.5 percent.
\1\ Listing by agency required by law; estimates include $100 million in 1998 for the Next Generation Internet.
\2\ Listing by agency required by law.
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Increasing Total Support for Science and Technology: This budget marks
the fifth straight year that the President has proposed increases in
research and development (R&D)--at $75.5 billion, $1.6 billion or two
percent more than in 1997.\1\ Continuing previous efforts, the budget
also provides an increasing share for civilian R&D investments, with
those investments at 46 percent of the total.
---------------------------------------------------------------------------
\1\ Research and Development (R&D) is a widely-accepted measure of
investment in S&T.
---------------------------------------------------------------------------
Boosting Funding for Basic Research and Applied Research: The budget
proposes $15.3 billion for basic research and $15.2 billion for applied
research--increases of $418 million and $630 million over 1997,
respectively. These investments, which include increases of three
percent each for NIH and NSF, reflect the Administration's commitment to
create new knowledge that will pay economic dividends down the road and
address many of the health challenges that face the nation, such as
breast cancer.
Strengthening University-Based Research: University-based research (a
mixture of basic, applied, development R&D, equipment, and facilities)
is key to America's future; simultaneously, it provides new knowledge
and new technology, and it trains the next generation of scientists and
engineers. The budget proposes $13.3 billion for university-based
research, an increase of $289 million over 1997. It also proposes $22.7
billion for merit-reviewed research (two percent more than in 1997),
comprising 18 percent of the R&D budget. Increases in merit-reviewed
research ensure that the Nation receives the highest quality return on
these investments.
Investing in Innovation to Create New Jobs and Industries: Many of
the new jobs created under this Administration have been high-tech,
high-wage jobs in industries like biotechnology and computing--jobs that
didn't exist a decade or two ago. The budget maintains a strong
investment in technology to foster these high-priority civilian S&T
industries and jobs. Funding continues or expands for high-performance
computing research; for the Advanced Technology Program, which works
with industry to develop high-risk, high-payoff technologies; for
Manufacturing Extension Partnerships to help small businesses battle
foreign competition by adopting modern technologies and production
techniques; and for other programs.
Investing in Environmental Research: S&T investments are critical for
enhancing environmental quality and assuring a sustainable future. While
the Nation is making progress on many pollution fronts, emerging global
environmental problems pose new risks. The budget maintains vital
research to provide safe food, clean air, and pure water. It supports
programs to increase energy efficiency and the development of renewable
energy sources that cut demand for foreign oil and reduce greenhouse
emissions, and partnerships with industry to develop cars that use less
fuel. The budget invests in programs that preserve biological diversity
and help us understand and prepare for changing climate conditions and
natural disasters. These investments also provide a sound scientific
basis for rational rule-making on, and cost-effective implementation of,
environmental regulations. (For information on energy efficiency and
renewable energy R&D programs, see Chapter 3.)
Investing in a 21st-Century Education: Information technology has
revolutionized America's businesses, but it has not been widely adopted
in America's classrooms. We must use this new technology to help
children prepare for the challenges of the 21st Century. Building on the
experience of earlier Federal investment in educational technology, the
budget includes a second installment for the President's new five-year,
$2 billion Technology Literacy Challenge Fund to encourage States and
communities, working with private sector partners, to develop and
implement plans for fully integrating educational technology into their
school curricula. (For more information, see Chapter 2.)
Enhancing Programs to Keep Our Nation Secure: While the budget
continues investments in defense research that ensure our strong, future
military capabilities, it also fosters key programs to keep nuclear
weapons out of the hands of terrorists, to comply with the Comprehensive
Test Ban Treaty by using science-based techniques to ensure the safety
and reliability of our nuclear weapons stockpiles, and to bolster strong
international S&T
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cooperation to improve global stability. The budget
also supports the Dual Use Applications Program (DUAP), which puts the
technical know-how and economies of scale from commercial industry at
the service of national defense.
Agency Highlights
National Science Foundation: NSF, recognized world-wide for its high
standards of quality and efficiency, funds proposals based on a
rigorous, competitive process of merit review. Reflecting the high
quality of NSF-backed science, NSF supported five of the six 1996 U.S.
Nobel prize winners early in their careers. Alone among Federal
agencies, NSF has the broad mission of promoting science and engineering
research and education across all fields and disciplines. It supports
nearly half of the non-medical basic research conducted at academic
institutions, and provides 30 percent of Federal support for mathematics
and science education. Because most NSF awards go to colleges and
universities, they generate knowledge and train the next generation of
scientists and engineers. The budget proposes $3.4 billion for NSF,
three percent more than in 1997.
National Institutes of Health: The budget continues the President's
commitment to biomedical research, which promotes the health and well-
being of all Americans. NIH support for biomedical research grew by $2.4
billion, or by 23 percent, between 1993 and 1997. For 1998, the budget
proposes $13.1 billion for NIH, a three-percent increase over 1997.
NIH's highest priority continues to be funding investigator-initiated,
peer-reviewed research project grants. The budget proposal would enable
NIH to increase HIV/AIDS-related research, research into breast cancer
and other health concerns of women, minority health initiatives, high
performance computing, prevention research, spinal cord injury, and
developmental and reproductive biology.
Environmental Protection Agency (EPA):
Particulate Matter (PM) in Ambient Air Research: The budget proposes
$26.4 million for PM research, a 37-percent increase over 1997. To
reduce the great uncertainty about PM's health effects, EPA will
continue its efforts to identify the mechanisms by which particles
affect human health. It will launch research into three areas: (1)
evaluating the relationship between health effects and PM exposures; (2)
determining the amount and size of particles inhaled and retained in the
lungs; and (3) investigating biological mechanisms by which PM
concentrations in outdoor air may induce health effects and, in doing
so, evaluating potential links between PM exposures and health effects.
Science to Achieve Results (STAR) Program: The budget proposes $115
million (21 percent more than in 1997) for EPA's STAR program, which
awards grants and fellowships on the basis of rigorous peer review. The
program funds research proposals from scientists outside the Federal
Government that focus on the most pressing environmental concerns. EPA
funds the proposals independently or in cooperation with NSF and other
Federal agencies.
National Aeronautics and Space Administration (NASA):
NASA has been on the forefront of Administration efforts to reshape
the Federal Government--to make it work better, cost less, and better
service its customers, the American people. The budget proposes balanced
and sustainable funding for NASA over the next five years, permitting
NASA not only to continue improving its operations but also to support
important strategic research efforts, including the efforts highlighted
below:
Space Science: The space science program has achieved impressive
successes this past year--meteoric evidence of possible life on ancient
Mars, the possible detection of water on the Moon and a moon of Jupiter,
and the identification of possible planets around other stars. To build
on these successes and implement the President's directives in his
recently-released space policy, the Administration proposes $2 billion
for space science, a four-percent increase over 1997. The additional
funding will enhance NASA's Origins program, which seeks to understand
the creation of the universe, stars, solar system, and life, and
determine if life once existed or still exists beyond Earth.
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International Space Station: The Administration continues to support
the development of the International Space Station--a U.S.-led
collaborative effort with the European Space Agency, Canada, Japan, and
Russia--that will provide an unique laboratory to explore innovative
research on materials and biological processes, on promising new
technologies, and on how people can live and work in a low-gravity
environment. The budget proposes $9 billion in advanced, multi-year
appropriations to complete the $17.4 billion Space Station development
and assembly, helping to ensure that the program is completed, as
promised, within budget and on schedule.
Mission to Planet Earth (MTPE): MTPE is NASA's effort to observe,
understand, and predict natural and human-induced changes to the
environment. The budget proposes $1.4 billion for MTPE, four percent
more than in 1997. MTPE programs include the Earth Observing System
satellites, the Landsat satellite, and a broad range of scientific
research and data analysis activities.
X-33 Reusable Launch Vehicle (RLV) Technology: The budget proposes
$719 million in advanced multi-year appropriations to complete
development of the RLV X-33 test vehicle, that should dramatically cut
the cost of getting into space by demonstrating the use of new
materials, reusable components, and new operations management
approaches.
Aeronautics Initiative: The budget proposes $456 million for NASA's
aeronautics initiatives, a nine-percent increase over 1997. These
initiatives are partnerships with industry and include advanced subsonic
technology and high speed research that may revolutionize the next
generation of commercial aircraft.
Department of Energy (DOE):
Stockpile Stewardship: The President's commitment to a Comprehensive
Test Ban Treaty (CTBT) is closely linked to the Administration's plan to
maintain the safety and reliability of the nuclear weapons stockpile
through scientific experiments and computer modeling (i.e., no explosive
testing of nuclear weapons). The budget proposes $1.4 billion for
Stockpile Stewardship activities in 1998, plus $1.3 billion for related
construction projects. Among these projects, $900 million would go to
build the National Ignition Facility at the Lawrence Livermore National
Laboratory. The President, who plans to submit the CTBT for Senate
ratification in 1997, also is committed to funding a comprehensive R&D
program over the next decade to improve treaty monitoring capabilities
and operations.
Civilian Basic Science Programs: The Administration has designated
High Energy and Nuclear Physics, Basic Energy Sciences, and Biological
and Environmental Research as high-priority areas of DOE basic science
in 1998. These programs, which have a large university-based component,
contribute to both our national basic research enterprise and to DOE's
core activities. In addition, these programs build and operate large
user facilities that serve over 15,000 university, government, and
industry scientists. The budget proposes $2.1 billion in 1998 for these
activities.
Large Hadron Collider Project: When it comes on-line in 2005, the
Large Hadron Collider (LHC) at the European high-energy physics
laboratory CERN, in Switzerland, will be by far the world's most
powerful accelerator. Its scientific goals are to search for the origin
of mass, to explore in detail the structure and interactions of the top
quark (the heaviest of the known subatomic particles), and to probe
high-energy conditions beyond the Standard Model--the remarkably
successful physics theory that describes all the forces of nature,
except gravity. Hundreds of U.S. high energy physicists plan to
participate in the LHC project. The Administration proposes $394 million
in advanced, multi-year appropriations over eight years for DOE, which
it designated as the lead Federal agency for U.S. participation. U.S.
funding for the LHC would support U.S. scientists and technicians, and
support the purchase of U.S. goods and services necessary for our
contribution to constructing the accelerator and two detectors.
Department of Commerce:
Advanced Technology Program (ATP): ATP is a rigorously competitive,
industry-led, and cost-shared R&D program that fosters technology
development, promotes industrial alliances, and creates jobs. ATP
pursues technologies that are critical to the competitive position of
U.S. industries, but where the risk
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is so high that industries will not
likely invest enough to ensure continued U.S. leadership. The projects
have led to significant technology advances that have improved our daily
lives. With ATP funding, for example, a consortium of several large and
small companies recently developed techniques to make better cars, thus
increasing customer satisfaction. The budget proposes $275 million in
1998 for ATP, growing to $500 million by 2002.
The Manufacturing Extension Partnerships (MEP): MEP gives the
Nation's 381,000 smaller manufacturers the technological information and
expertise to improve their operations. Extension centers are helping to
improve the performance of small manufacturers across the country,
leading to more sales, more jobs, and savings in labor and materials.
The budget proposes $129 million in 1998 to support 78 extension centers
and over 300 field offices nationwide.
National Telecommunications and Information Administration National
Information Infrastructure (NII) Grants Program: The budget proposes $36
million for grants to help develop the NII, which provides the
infrastructure that enables computers to connect to one another and to
information systems across the country. These grants help fund
innovative demonstration projects to show how information technology can
improve the delivery of educational, health, and other social services.
Department of Defense Dual Use Applications Program: The budget
proposes $225 million for DUAP, which will build on previous Federal
dual-use technology development programs and allow the military services
to develop and use technologies, processes, and products available to
the commercial sector. Dual-use technologies can enhance the performance
and reduce the costs of military applications.
Department of Agriculture (USDA) National Research Initiative: The
budget proposes a 38-percent increase, to $130 million, for the National
Research Initiative (NRI), USDA's major peer-reviewed competitive grants
program. The NRI supports fundamental research on key agricultural
problems that will help our Nation's farmers retain their technological
edge, such as research in food safety, plant and animal genetics, water
quality, integrated pest management, and sustainable food and fiber
production systems. Of particular concern is the need to expand the
science base for reducing food-borne illness due to microbial pathogens
and to the many food and fiber production practices that contribute to
environmental degradation, such as the excessive use of pesticides,
fertilizers and tillage. As a result, the Administration proposes to
target $4 million to expand research in food safety, $10 million to
expand research in environmentally sound production practices, and $22
million to expand research on enhancing plants through genetics.
Department of Transportation Intelligent Transportation System (ITS)
Initiative: The budget proposes $250 million for the ITS initiative--a
package of technologies designed to enhance the efficiency of our
surface transportation infrastructure. The request includes $100 million
for a new Deployment Incentives program to encourage integrated
implementation of ITS. The Administration also proposes to make ITS
projects eligible for surface transportation funds and, in 1997, to
complete 77 operational tests of ITS standards and technology and a
demonstration of the technical feasibility of the Automated Highway
System.
National Science and Technology Council Interagency Initiatives
Next Generation Internet (NGI) Program: The budget proposes $100
million for each of the next three years to support the NGI, which seeks
to develop a research network that can reach speeds 100 to 1,000 times
faster than today's Internet and greatly improve the quality of service.
The NGI proposal is a part of an overall request for $1.1 billion, 10
percent more than in 1997, for research and development in computers and
communications technologies under the rubric of the Administration's
High Performance Computing and Communications initiative.
U.S. Global Change Research Program (USGCRP): The budget continues
strong Administration support for the USGCRP, proposing $1.9 million for
1998. Program priorities include research on seasonal to interannual
climate variability, climate change over decades
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to centuries, and on changes in atmospheric chemistry and ecosystems. The program also will continue to increase its focus on understanding the consequences of change, particularly at regional levels.
Emerging Infectious Diseases: The budget proposes $280 million, eight
percent over 1997, for research on the development of new tools to
detect and control emerging infectious diseases and on the biology and
pathology of infectious agents. Focus areas include: surveillance;
screening and quarantine; diagnostics, treatment, and prevention
measures; training; antibiotic resistance; zoonotic infectious agents;
and health effects of climate change.
Partnership for a New Generation of Vehicles: The budget proposes
$281 million, a seven-percent increase over 1997, for research to: (1)
develop advanced manufacturing techniques that make it easier to get new
automobiles and auto components into the marketplace quickly; (2) use
new technologies for near-term improvements in auto efficiency, safety,
and emissions; and (3) lead to production prototypes of vehicles that
are three times more fuel efficient than today's cars, with no sacrifice
in comfort, performance, or price.
Construction and Building: The budget proposes $203 million, a 15-
percent increase over 1997, for research to develop better construction
technologies to improve the competitive performance of U.S. industry,
raise the life cycle performance of buildings, and protect public safety
and the environment.
Educational Technology: The budget proposes $524 million, a five-
percent increase over 1997, for research and development on education
and training to improve learning in schools, workplaces, and homes.