[Budget of the United States Government]
[III. Creating a Better Government]
[4. General Science, Space, and Technology]
[From the U.S. Government Publishing Office, www.gpo.gov]
4. GENERAL SCIENCE, SPACE, AND TECHNOLOGY
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Table 4-1. Federal Resources in Support of General Science, Space, and Technology
(In millions of dollars)
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Estimate
Function 250 2000 -----------------------------------------------------------
Actual 2001 2002 2003 2004 2005 2006
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Spending:
Discretionary Budget Authority.......... 19,203 20,861 21,191 21,892 22,441 22,910 23,488
Mandatory Outlays:
Existing law.......................... 36 94 126 158 150 92 53
Tax Expenditures:
Existing law............................ 3,310 7,700 8,440 7,160 6,590 4,700 3,260
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More than half of the Nation's economic productivity growth in the
last 50 years is attributable to technological innovation and the
science that supported it. Appropriately, the private sector makes the
largest investments in technology development. The Federal Government,
however, also plays a role. Total Federal research and development would
be at an all-time high in inflation-adjusted terms if the President's
proposal is approved.
Within the General Science, Space, and Technology function, the
Federal Government supports areas of cutting-edge science, through the
National Aeronautics and Space Administration (NASA), the National
Science Foundation (NSF), and the Department of Energy (DOE). The
activities of these agencies contribute to a greater understanding of
the world in which we live, ranging from the edges of the universe to
the smallest particles, and to new knowledge that may have immediate
applications for improving our lives. Because the results of basic
research are unpredictable, developing performance goals for this area
presents unique challenges.
Each of these agencies funds research and contributes to the Nation's
cadre of skilled scientists and engineers. As a general goal for
activities in this function, at least 80 percent of the research
projects will be reviewed by appropriate peers and selected through a
merit-based competitive process. Another important Federal role is to
construct and operate major scientific facilities and capital assets for
multiple users. These include telescopes, satellites, oceanographic
ships, and particle accelerators. Many of today's advances in medicine
and other fields rely on these facilities. As general goals:
agencies will keep the development and upgrade of these
facilities on schedule and within budget, not to exceed 110
percent of estimates; and
in operating the facilities, agencies will keep the operating
time lost due to unscheduled downtime to less than 10 percent
of the total scheduled possible operating time, on average.
The budget proposes $21.2 billion to conduct activities in support of
general science, space, and technology. The Government also stimulates
private investment in these activities through over $8.4 billion a year
in tax credits and other preferences for research and development (R&D).
With the 2002 Budget, the President proposes that the tax credit for
research and experimentation be made permanent.
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National Aeronautics and Space Administration (NASA)
The budget proposes $13.6 billion for NASA activities in this
function. NASA serves as the lead Federal agency for R&D in civil space
activities, working to expand frontiers in air and space to serve
America and improve the quality of life on Earth. To carry out these
activities, NASA pursues this vision through balanced investment in five
enterprises: Space Science, Earth Science, Biological and Physical
Research, Aero-Space Technology, and Human Exploration and Development
of Space.
NASA's achievements in 2000 included: launching Terra, the first
mission in the Earth Observing System series of spacecraft; discovering
potential evidence of recent liquid water flows on the surface of Mars
from the Mars Global Surveyor spacecraft; securing the arrival of the
Shoemaker Near Earth Asteroid Rendezvous mission at the asteroid Eros,
the first spacecraft ever to orbit an asteroid; and continuing
successful assembly of the International Space Station in orbit.
Space Science: Space Science programs, for which the budget proposes
$2.8 billion, are designed to enhance our understanding of how the
universe was created, what fundamental rules govern its evolution, how
stars and planets evolve and die, how space phenomena affect Earth, and
the possible existence of life beyond Earth. In 2000, NASA developed and
launched Hubble Servicing Mission 3A, the Imager for Magnetopause-to-
Aurora Expansion mission, and contributions to the X-ray Multi-Mirror
and Cluster-2 missions, with an average one-percent cost overrun. The
High Energy Solar Spectroscopic Imager mission and the Thermal,
Ionosphere, and Mesosphere Energetics and Dynamics mission did not
launch as planned in 2000 due to spacecraft development issues and
launch vehicle delays. The Mars Polar Lander mission was lost when it
did not land successfully on Mars as planned in 2000. Although scheduled
to launch in 2000, the High-Energy Transient Explorer mission was
launched shortly after the end of the year.
For 2000, the NASA Advisory Council, an independent panel, indicated
that 34 of 65 performance plan objectives and 18 of 19 science
objectives for Space Science have been successfully met. In 2002:
NASA will successfully complete its performance goal for
design and development of projects to support future Space
Science research. These development projects represent near-
term investments that will allow future research in pursuit of
the strategic plan's science objectives. Completion will be
demonstrated by a successful rating from the NASA Advisory
Council or an equivalent senior-level external review
committee. This rating will be based on achievement of six of
the eight pre-determined performance objectives, four of which
address launch readiness for the Space Infrared Telescope
Facility, the Galaxy Evolution Explorer, the Comet Nucleus
Tour mission, and the Hubble Space Telescope Servicing Mission
3B.
NASA's annual performance goals in support of strategic plan
Space Science objectives will be rated as being successfully
met by NASA's Advisory Council or an equivalent senior-level
external review committee. Examples of these objectives
include: learn how galaxies, stars, and planets form,
interact, and evolve; understand the formation and evolution
of the Solar System and the Earth within it; and understand
our changing Sun and its effects throughout the Solar System.
Each of these performance goals calls for obtaining at least
80 percent of the expected scientific data from operating
missions that support the relevant science objective.
NASA will continue to expand the integration of education and
enhanced public understanding within its Space Science
research and flight mission programs. Performance objectives
in support of this effort call for Space Science-funded
education and public outreach activities for every funded
Space Science mission, which will result in projects in at
least 40 States. These projects will range from elementary
schools to graduate students and post-graduates. In addition,
Space Science will ensure that Enterprise-funded projects are
underway in Historically Black Colleges and Universities,
Hispanic Serving Institutions, and Tribal Colleges.
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Earth Science: Earth Science programs, for which the budget proposes
$1.5 billion, focus on the effects of natural and human-induced changes
on the global environment through long-term, space-based observation of
Earth's land, oceans, and atmospheric processes. In 2000, NASA
successfully launched five spacecraft (Terra, ACRIMSAT, the Shuttle
Radar Topography Mission, and two National Oceanic and Atmospheric
Administration (NOAA) weather satellites (GOES-L, NOAA-L)), and
delivered four instruments to international spacecraft, with an average
seven-percent cost overrun. Launches of spacecraft expected in 2001 have
been delayed: Aqua until no earlier than July 2001, IceSAT until
December 2001, and Triana pending shuttle availability. Users have
routinely received earth science data products within five days of
receipt or production of the requested data product.
The NASA Advisory Council concluded that 43 of 47 Earth Science
performance targets were successfully met. In 2002:
NASA will successfully launch and operate at least two of
three planned spacecraft, IceSAT, Gravity Recovery and Climate
Experiment and the Solar Radiation and Climate Experiment
within 10 percent of their schedules and budgets. For those
spacecraft already successfully launched, NASA Earth Science
will obtain at least 80 percent of the expected scientific
data;
NASA will increase by 50 percent the volume of climate data it
archives over the 2001 target of 442 terabytes, increase the
number of products delivered from its archives by 10 percent
over the 2001 target of 5.4 million products delivered, and
make the data available to users within five days; and,
NASA's Advisory Council will be able to rate all near-term
Earth Science objectives as being met or on schedule. Examples
of these objectives include: observe and document land cover
and land use change and impacts on sustained resource
productivity; and understand the causes and impacts of long-
term climate variations on global and regional scales.
Aero-Space Technology: Aero-Space Technology programs, for which the
budget proposes $1.5 billion, work with other NASA enterprises,
industry, and academia to develop and test technologies that reduce risk
and improve cost performance for future spacecraft and space
transportation systems. In 2000, NASA initiated assembly of the X-37
flight test vehicle. The X-33 and X-34 programs did not perform flight
tests as planned in 2000, due to technical problems encountered during
development. Both programs have been canceled. Depending on selections,
NASA will develop additional 2002 Aero-Space Technology goals based on
Second Generation Reusable Launch Vehicle awards in 2001. In 2002:
NASA will perform the rollout and begin test flights of the X-
37 vehicle. This vehicle will serve as a platform on which to
test and verify advanced technologies in the area of
lightweight composite airframes, integrated vehicle health
monitoring, and thermal protection systems.
The Space Base program will complete working prototypes of
over 40 micro-scaled and low-power electronic spacecraft and
sensor components. These components can lead to future science
spacecraft that are the functional equivalent or better of
current spacecraft but with less than one-tenth the volume and
mass.
Human Exploration and Development of Space: Human Exploration and
Development of Space (HEDS) programs, for which the budget proposes $7.3
billion, focus on the use of human skills and expertise in space. In
2000, the Space Shuttle flew four successful missions, including the
Hubble Space Telescope Servicing Mission 3A that replaced failing gyros
on the Hubble. The Shuttle Radar Topography Mission, a joint Department
of Defense/NASA payload to study the earth, successfully mapped over 98
percent of the available terrain. Two flights to the International Space
Station delivered equipment and supplies to set the stage for future
assembly missions and to prepare for the first Expedition crew.
Improvements to the Space Shuttle system achieved an additional 10-
percent increase in predicted reliability over the 1999 levels, and
completed the first flight of a new upgraded cockpit. Space Shuttle
operations continued to perform well and observed an average of six
anomalies per flight, achieved 100
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percent on-orbit mission success for primary payloads, and achieved a
12-month flight preparation cycle. The International Space Station
program delivered, as planned, two-thirds of the total U.S. flight
hardware to the launch site, and also conducted successful operations
throughout the year. However, projected cost overruns have required a
major restructuring of the program in 2002, which should control cost
growth, while enabling accommodation of contributions from international
partners. In 2002:
NASA will successfully complete a majority of planned
operations schedules and milestones for 2002 for the
International Space Station. For example, NASA plans to
conduct permanent on-orbit operations with crew support
dedicated to assembly, vehicle operations, payload operations,
and early research, and conduct the first Space Shuttle flight
to the Space Station dedicated to research; and
NASA will ensure that Space Shuttle safety, reliability,
availability, and cost will improve, by achieving eight or
fewer flight anomalies per mission, 100 percent on-orbit
mission success for primary payload on-orbit operations, and a
12-month manifest preparation time. NASA will complete the
implementation of the Alternate Turboprop to improve the
safety of flight operations and continue safety and
supportability upgrades to maintain Space Shuttle
infrastructure.
Biological and Physical Research: NASA's Biological and Physical
Research programs, for which the budget proposes $380 million, focus on
basic and applied research to support the safe and effective human
exploration of space, as well as the use of the space environment as a
laboratory for increasing our understanding of biological, physical, and
chemical processes. In 2000, the Biological and Physical Research
Enterprise was created as a separate entity from the HEDS Enterprise to
provide a greater focus on biological and physical research. The new
Office of Biological and Physical Research (OBPR) and its predecessor
organization, the Office of Life and Microgravity Sciences and
Applications, conducted significant commercial research on the May Space
Shuttle mission to the Space Station, and inaugurated the Space Station
research era by conducting the first long-duration experiment on the
International Space Station. In 2002:
OBPR will continue to build a productive scientific community
to utilize its space assets, expanding agency support to
approximately 1,000 scientific investigations (from 877
reported in 1999); and
NASA will collaborate with the National Cancer Institute to
develop and test cutting-edge methods and instruments to
support molecular-level diagnostics for physiological and
chemical processes monitoring.
Management Reform Goals
To fulfill the President's commitment to make Government more market-
based, NASA will pursue management reforms to promote innovation, open
Government activities to competition, and improve the depth and quality
of NASA's R&D expertise. These reforms, described below, will help
reduce NASA's operational burden and focus resources on Government-
unique R&D at NASA.
International Space Station. NASA will undertake reforms and
develop a plan to ensure that future Space Station costs will
remain within the President's 2002 Budget plan. Key elements
of this plan will: restore cost estimating credibility,
including an external review to validate cost estimates and
requirements and suggest additional options as needed;
transfer Space Station program management reporting from the
Johnson Space Center in Texas to NASA Headquarters until a new
program management plan is developed and approved; and open
future Station hardware and service procurements to innovation
and cost-saving ideas through competition, including launch
services and a Non-Government Organization for Space Station
research.
Space Shuttle Privatization. NASA will aggressively pursue
Space Shuttle privatization opportunities that improve the
Shuttle's safety and operational efficiency. This reform will
include continued implementation of planned and new
privatization efforts through the Space Shuttle
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prime contract and further efforts to safely and effectively
transfer civil service positions and responsibilities to the
Space Shuttle contractor.
Space Launch Opportunities. NASA's Space Launch Initiative
provides commercial industry with the opportunity to meet
NASA's future launch needs, including human access to space,
with new launch vehicles that promise to dramatically reduce
cost and improve safety and reliability. NASA will undertake
management reforms within the Space Launch Initiative,
including: ensuring vehicle affordability and competitiveness
by limiting requirements to essential needs through commercial
services; creating requirements flexibility, where possible,
to accommodate innovative industry proposals; validating
requirements through external, independent review;
implementing a well-integrated risk-reduction investment
strategy that makes investments only after requirements and
vehicle options are well-understood, to ensure a viable
competition by the middle of the decade for initial Station
cargo and crew launch services; ensuring no set-aside funds
for non-industry vehicles like the Space Shuttle; and
achieving affordable, near-term successes in Next Generation
Launch Services and Alternative Access to the Space Station
and integrating these near-term activities into longer-term
planning.
Critical Capabilities. U.S. academia and industry provide a
rich R&D resource that NASA can tap to strengthen its mission
capabilities. NASA will develop an integrated, long-term
agency plan that ensures a national capability to support
NASA's mission by: identifying NASA's critical capabilities
and, through the use of external reviews, determining which
capabilities must be retained by NASA and which can be
discontinued or led outside the agency; expanding
collaboration with industry, universities and other agencies,
and outsourcing appropriate activities to fully leverage
outside expertise; and pursuing civil service reforms for
capabilities that NASA must retain, to ensure recruitment and
retention of top science, engineering and management talent at
NASA.
National Science Foundation (NSF)
Under the President's plan, between 2000-2002, NSF's budget will grow
by 15 percent to $4.5 billion. This significant increase is consistent
with the President's support for increasing the Federal investment in
basic R&D, and funding NSF as the primary agency for supporting peer-
reviewed, competitively awarded, long-term, high-risk research conducted
through our Nation's university systems. For 2003, the Administration
will undertake a budgetary review to determine how best to support the
NSF's budget in a sustained manner over time.
While NSF represents just three percent of Federal R&D spending, 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.
NSF research and education investments are made in three primary
areas:
People: Activities to facilitate development of a diverse and talented
work force of scientists, engineers, and well-prepared citizens account
for more than 20 percent of NSF's budget. In 2002, NSF will invest $1.0
billion in this area. NSF supports formal and informal science,
mathematics, engineering and technology education at all levels,
including multidisciplinary education and training for graduate
students. In addition, resources support projects to develop curriculum,
enhance teacher professional development, and provide educational
opportunities for students from pre-K through postdoctoral work. In
2000, the three major systemic efforts implemented mathematics and
science standards-based curricula in 6,348, or over 80 percent, of the
7,630 participating schools. NSF awards provided intensive professional
development to a total of 89,723 teachers, substantially exceeding the
performance goal of 65,000. For 2002, NSF will begin the President's
$200 million Math and Science Partnership initiative.
In 2002, at least half of the States will activate
partnerships with institutions of higher education aimed at
strengthening K-12 math and science education through the
President's Math and Science Partnership initiative. These
partnerships can
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involve local school districts and will address issues such as
preparation and professional development of math and science
teachers, implementation of high standards for math and
science, and address gaps in performance between majority and
minority and disadvantaged students.
Ideas: Approximately one-half of NSF's resources support research
projects performed by individuals, small groups, and centers. In 2002,
NSF will invest $2.2 billion in this area.
In 2002, results over the period studied will demonstrate
significant achievement for the majority of the following
indicators: important discoveries; a robust fundamental
knowledge base; connections between discovery and learning,
innovation, or societal advancement; partnerships that enable
the flow of ideas among academic, public or private sectors;
and leadership in fostering newly developing or emerging
areas. NSF's performance will be determined by aggregating the
performance indicator assessments provided by independent
external committees of experts.
Tools: NSF will invest $1.0 billion in this area to provide state-of-
the-art shared tools for research and education, such as instrumentation
and equipment, multi-user facilities, accelerators, telescopes, research
vessels and aircraft, and earthquake simulators. In addition, resources
will support large databases as well as computation and computing
infrastructures for science, engineering, or education. Nearly a quarter
of NSF's budget is targeted to providing the tools required for cutting-
edge research.
In 2002, NSF facilities will continue to meet the function-
wide goals to remain within cost and schedule.
Management Goals
NSF has identified management and investment process goals to address
the efficiency and effectiveness of administrative activities, and to
focus on the means and strategies to achieve its outcome goals. In 2002:
at least 85 percent of basic and applied research funds will
be allocated to projects that undergo merit review;
for 70 percent of proposals, NSF will be able to inform
applicants within six months of receipt whether their
proposals have been declined or recommended for funding. In
2000, NSF processed 54 percent of proposals within six months;
and
NSF will increase the average annualized award size for
research projects to $111,000, compared to a goal of $109,000
in 2001.
Management Reforms
To fulfill the President's commitment to make Government more results-
oriented, NSF will undertake management reforms, focusing on performance
and results.
Study Reorganizing Research in Astronomy and Astrophysics: NSF
and NASA provide more than 90 percent of Federal funds for
academic astronomy research and facilities. Historically, NASA
has funded space-based astronomy and NSF has funded ground-
based astronomy, as well as astronomy research proposals.
Several changes have evolved which suggest that now is the
time to assess the Federal Government's management and
organization of astronomical research. NSF and NASA will
establish a Blue Ribbon Panel to assess the organizational
effectiveness of Federal support of astronomical sciences and,
specifically, the pros and cons of transferring NSF's
astronomy responsibilities to NASA. The panel may also develop
alternative options. This assessment will be completed by
September 1, 2001.
Document the Efficiency of the Research Process. NSF asserts
that the current size of its grants and their duration might
be resulting in an inefficient research process at U.S.
academic institutions. Researchers might be spending too much
time writing proposals instead of doing actual research. NSF
has increased grant size and duration in previous years,
particularly through its priority research areas; however,
there is little documentation that this is having a positive
impact on research output. With the assistance of U.S.
academic research institutions, NSF will develop metrics to
measure the
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efficiency of the research process and determine the ``right''
grant size for the various types of research the agency funds.
These metrics and grant size determination will be developed
in time for consideration of the 2003 NSF budget request.
Enhance NSF Capability to Manage Large Facility Projects. NSF
has several multi-year, large facility projects awaiting
approval for funding. NSF will enhance its capability to
manage proposed projects, given the magnitude and costs of
future projects. NSF will develop a plan for costing,
approval, and oversight of major facility projects, and also
will enhance its capability to estimate costs and provide
oversight of project development and construction.
Improve NSF's Ability to Administer and Manage its Program
Activities. Although NSF has had robust increases in its
program responsibilities and budgets in the past decade,
funding for administration and management has remained
relatively flat. NSF has been able to keep pace with the
increased workload by investing in information technology.
Both the NSF Inspector General and the NSF Management Controls
Committee have expressed concern about the adequacy of
staffing at a time when the agency is facing turnover and
recruitment problems and management of more complex
programmatic activities. They also raise concerns with systems
and data management. NSF will develop a five-year strategic
plan for the work force and information technology needs of
the agency in time for consideration of the 2003 Budget.
Department of Energy (DOE)
The budget proposes $3.2 billion in 2002 for DOE science programs and
supporting activities. DOE's Office of Science is one of the Nation's
leading source of support for basic research in the physical sciences,
conducting research at universities and the national laboratories. DOE
also operates major scientific facilities including particle
accelerators, magnetic confinement fusion reactors, synchrotron light
sources, neutron sources, supercomputers, and high-speed networks that
researchers use in fields ranging from the physical and materials
sciences to the biomedical and life sciences. These facilities are
available, on a competitive basis, to scientists and engineers in
universities, industry, and other Federal agencies.
Basic Energy Sciences: The budget proposes $1.0 billion for Basic
Energy Sciences (BES), which supports basic research in materials
science, chemistry, engineering, geoscience, plant biology, and
microbiology. As part of its mission, BES plans, constructs, and
operates major scientific user facilities. In 2000, Los Alamos National
Laboratory's Lujan Neutron Scattering Center delivered only 79 percent
of scheduled operating time, missing its target of no more than 10
percent unscheduled downtime. A recent review found the Lujan Center
staff to be seriously over-committed. In 2002:
DOE will meet the cost and schedule milestones for
construction and upgrade of scientific user facilities as
confirmed by regular external independent reviews. Major
ongoing projects include construction of the Spallation
Neutron Source (a powerful tool to explore materials structure
and properties) and an upgrade of the SPEAR3 storage ring at
the Stanford Synchrotron Radiation Laboratory; and
DOE science programs will significantly increase their funding
for basic research on renewable sources of energy, to advance
cost-effective means to further diversify the Nation's energy
supply.
Advanced Scientific Computing Research: The budget proposes $166
million for Advanced Scientific Computing Research, which supports
applied mathematics, computer science, and networking research, and
operates supercomputer, networking and related facilities to enable the
analysis, simulation, and prediction of complex physical phenomena.
By the end of 2002, DOE will review the Integrated Software
Infrastructure Centers, newly established in 2001, to ensure
effective coupling of these centers to scientific application
pilot projects and teams funded throughout the Office of
Science.
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Biological and Environmental Research: The budget proposes $443
million for Biological and Environmental Research, which supports basic
research to identify, understand, and anticipate the long-term health
and environmental consequences of energy production, development, and
use. In addition to its accomplishments in genomics, DOE plays a major
role in understanding the global carbon cycle.
In 2002, DOE will develop and test a fully-coupled climate
model that integrates the atmosphere with the ocean, land, and
sea ice, with higher spatial resolution than is presently
available; and
By the end of 2002, the DOE Joint Genome Institute DNA
sequencing will complete the high quality DNA sequence of
human chromosomes 5 and 19 and produce six million base pairs
of DNA sequence from model organisms to help understand the
human sequence.
High Energy and Nuclear Physics: The budget proposes $1.1 billion for
High Energy and Nuclear Physics, which strives to understand the nature
of matter and energy in terms of the most elementary particles and
forces, and to more completely explain the structure and interactions of
atomic nuclei.
In 2002, DOE will capitalize on its opportunities to discover
the particle that gives rise to mass, to search for physics
not adequately described by the Standard Model, and to confirm
and characterize neutrino oscillations and neutrino mass.
Fusion Energy Sciences: The budget proposes $238 million for DOE's
Office of Fusion Energy Sciences, which conducts research to advance
plasma science, fusion science, and fusion technology. DOE will continue
to reorient its fusion program to focus on developing the scientific
understanding necessary to support fusion as a practical energy source.
In 2002, DOE will study feedback stabilization as means to
control disruptive plasma oscillations in the recently
upgraded DIII-D fusion reactor.
Tax Incentives
Along with direct spending on R&D, the Federal Government has sought
to stimulate private investment in these activities with tax
preferences. The current law provides a 20-percent tax credit for
private research and experimentation (R&E) expenditures above a certain
base amount. The credit, which expired in 1999, was retroactively
reinstated for five years, to 2004, in the Tax Relief Extension Act of
1999. The budget proposes to make the R&E tax credit permanent. It will
cost $9.9 billion from 2002 to 2006 (see Table S-10).
A permanent tax provision also lets companies deduct, up front, the
costs of certain kinds of R&E, rather than capitalize these costs. This
tax expenditure will cost $1.7 billion in 2002. Finally, equipment used
for research benefits from relatively rapid cost recovery. The cost of
this tax preference is calculated in the tax expenditure estimate for
accelerated depreciation of machinery and equipment.