Summary of FY2002 Budget Request to Congress - National Science Foundation


The FY 2002 Budget Request for the Education and Human Resources (EHR) Activity is $872.41 million, an increase of $86.79 million, or 11.0 percent, over the FY 2001 Current Plan of $785.62 million. In addition, $144.0 million in funds are projected from H-1B Nonimmigrant Petitioner Receipts in FY 2002.

(Millions of Dollars)

  FY 2000 Actual FY 2001 Current Plan FY 2002 Request Change
Amount Percent
Math and Science Partnerships 0.00 0.00 200.00 200.00 N/A
Educational System Reform 113.01 110.44 45.25 -65.19 -59.0%
Office of Innovation Partnerships 55.62 84.81 74.81 -10.00 -11.8%
Elementary, Secondary and Informal Education 186.21 202.61 165.61 -37.00 -18.3%
Undergraduate Education 116.75 140.95 132.60 -8.35 -5.9%
Graduate Education 78.68 87.75 95.50 7.75 8.8%
Human Resource Development 77.29 90.69 90.44 -0.25 -0.3%
Research, Evaluation and Communication 56.03 68.37 68.20 -0.17 -0.2%
Subtotal, EHR Appropriation $683.58 $785.62 $872.41 $86.79 11.0%
H-1B Nonimmigrant Petitioner Receipts 25.06 121.00 144.00 23.00 19.0%
Total, EHR $708.64 $906.62 $1,016.41 $109.79 12.1%

Totals may not add due to rounding.

The EHR Activity defines and implements an investment strategy that advances the vision and goals of NSF's Strategic Plan in areas related to improving education and human resource development. Its interconnected and comprehensive portfolio of programs - unique within the federal enterprise -encompasses every educational level and type of learning (formal and informal) in all parts of the country. Its programs develop models and strategies for providing all students access to high quality, standards-based educational opportunities, thus enabling a well-prepared citizenry. They also play a major role in helping meet NSF's commitment to developing human resources for the U.S. scientific and technological workforce. EHR programs are subject to continuous improvements based on program reviews, evaluation, dissemination of best practices, and evolving knowledge bases.

Across its programs, EHR provides support for approximately 124,000 people, including teachers, students, researchers, post-doctorates, and trainees. Support for programs specifically addressing NSF's Strategic Goal, "People - A diverse, internationally competitive and globally-engaged workforce of scientists, engineers, and well-prepared citizens," totals nearly $700 million in FY 2002, an increase of 14.3 percent over FY 2001. Moreover, about 37 percent of the funding for research grants and tool development provides support for researchers and students, including more than 25,000 post-doctorates, and graduate and undergraduate students.

The strength of EHR science, mathematics, engineering, and technology (SMET) programming resides in its ability to integrate research and education, combining the expertise of the research and education communities. Its products include cutting-edge research on learning and teaching that informs education practice; comprehensive, standards-based instructional materials effective in increasing student achievement and providing essential workplace skills; strategies for developing content knowledge and teaching skills of the instructional workforce; and research, development, and implementation of next generation learning technologies.

EHR programs promote NSF goals by supporting:

  • development of partnerships among stakeholders in SMET education for improving student achievement;

  • preK-16 systemic reform to achieve standards-based, inquiry-centered science and mathematics education;

  • development of resources (e.g., curricula, student assessments, learning technologies) as well as strategies (e.g., professional development, education reform) that facilitate all students' access to quality, standards-based education;

  • advanced training of scientists, mathematicians, and engineers for the 21st century;

  • increased scientific and technological literacy for all Americans;

  • integration of research and education through strong linkages between both communities; and

  • broad participation in SMET by individuals and institutions currently underrepresented in the enterprise.

EHR preK-12 programs are based on the conviction that all students can learn and achieve at much higher levels than are presently attained in science and mathematics. This conviction forms the basis for NSF's development and implementation of the Math and Science Partnerships initiative, which is a part of the President's broader agenda to strengthen and reform K-12 education. NSF's systemic reform projects, which treat whole systems and build educational capacity at state, urban, rural, and district levels, as well as more targeted projects in teacher preparation and enhancement, have provided successful models for improving the quality of teaching and the performance of students. They position NSF well for implementing the Partnerships initiative. For example:

During the fifth year of the El Centro City School District Local Systemic Change (LSC) project, 4th and 6th grade students were tested using the Science Section of the Stanford Achievement Test. For 4th grade students, the average percentile for those with no experience with the LSC program was 21, and for those with 4 years experience it was 53; for 6th grade students, the average was 28 for students with no experience with the LSC program, 64 for students with experience in the program. It should also be noted that after being in the program for four years, the average percentile ranking for all students was above 50. Results are particularly dramatic when considered in context. The El Centro City School District is in the largest city in the poorest county in California with an unemployment rate approaching 30 percent. The students, 81 percent of whom are Hispanic, are primarily from families of agricultural workers and most come to the system with limited English language skills.

This systemic approach extends to higher education as well, where EHR programs work to strengthen undergraduate and graduate SMET programs while encouraging greater participation on the part of members of groups currently underrepresented among professionals in these fields. For example:

The development of a diverse, globally-oriented science and engineering workforce is being fostered through the substantive collaborations that have been formed among Historically Black Colleges and Universities Undergraduate program (HBCU-UP), the Louis Stokes Alliances for Minority Participation (LSAMP) and the Alliances for Graduate Education and the Professoriate (AGEP) projects, aimed at providing smoother transitions between educational levels for minority SMET majors. An example of this collaboration is found in the state of Alabama. While student participants of the Miles College HBCU-UP benefit from technology-enhanced SMET curricula, faculty mentoring and financial support, faculty-supervised research experiences are acquired through LSAMP-sponsored summer internships at the University of Alabama, Birmingham. The Alabama AGEP provides graduate school awareness, preparation and recruitment activities targeting Miles College undergraduates. Once admitted to University of Alabama graduate programs, students benefit from AGEP-sponsored faculty mentoring and advising, and are eligible for financial support to ensure timely graduate degree completion.

All EHR programs are informed by the research base on learning and education that is currently emerging; for example, recent results from research on the learning of science and mathematics have shown that:

  • Elementary school children are capable of more sophisticated forms of reasoning, modeling and higher order learning than previously thought or than are currently embedded in teaching materials and teaching practice;

  • Homeless students and Latino students for whom English is a second language (or whose command of English is limited) can learn to high national standards when properly taught;

  • Fourth and fifth graders can talk appropriately about sampling and distributions and how these ideas can help explain the growth of organisms and populations of organisms; and

  • Research projects constructed by elementary school students reveal understanding of experimental controls and extraneous variables even at the first grade level.

In FY 2002, EHR continues to address emerging needs and opportunities in priority areas. The intent is to capitalize on synergy across programs with related goals, challenge the field to develop innovative strategies to serve as models for the nation, and aggressively pursue opportunities for collaboration with other NSF programs, as well as with federal and private organizations.

Math and Science Partnerships Initiative

In FY 2002, NSF requests $200.0 million to initiate the President's Math and Science Partnerships initiative. The initiative emphasizes ensuring that all students have the opportunity to perform to high standards, using effective, research-based approaches, improving teacher quality, and insisting on accountability. It addresses issues specific to math and science education, such as too many teachers in these areas teaching out of field, too few students taking advanced coursework, and too few schools offering a challenging curriculum with appropriate materials to support it.

The initiative aims to provide funds for states and local school districts to join with institutions of higher education. It also provides a mechanism to mobilize mathematicians, scientists, and engineers of higher education to be part of the solution to K-12 education - to help in raising math and science standards, providing math and science training for teachers, and creating innovative ways to reach underserved schools and students.

NSF's implementation of the Math and Science Partnerships initiative is grounded in research; that is, it aims to implement research-based effective strategies, while simultaneously serving as a testbed for future research. The emphases on accountability and the use of data in decision-making help demonstrate successful models for improving the quality of teaching and the performance of students.

As the initiative begins, state and local education agencies will be at different stages of readiness for partnering with institutions of higher education, as will the institutions themselves. While many states have already instituted similar partnerships, some will be exploring partnerships of this type for the first time. Implementation of the initiative recognizes these differences in readiness, allowing state and local education agencies and their partnering institutions to determine the challenges they face and to design collaborations that fit their needs.

Information Technology Research: EHR will participate in NSF's Information Technology Research priority area by enhancing support for research related to the use of information technology in educational settings. Support for such information technology research projects will total $2.0 million in FY 2002.

Learning for the 21st Century: Key to meeting the challenges of the 21st century is understanding how people learn as individuals and transferring that knowledge for use in learning environments or for enabling people of diverse interests and skill levels to maximize their learning potential. EHR plays a leadership role in activities designed to address Learning for the 21st Century by virtue of its extensive programming in research on learning and education, its development of IT-enabled tools for learning, its programmatic linkages between K-12 and higher education, and its development of comprehensive, action-oriented activities that address all elements of this priority area. EHR's FY 2002 investment in this priority area will increase to $106.31 million, an increase of $2.35 million, or 2.3 percent, over the FY 2001 level of $103.96 million.

Research on learning and education forms the EHR contribution to the Multidisciplinary Learning Research. Funding will remain at $39.13 million in FY 2002. This includes $15.13 million toward the Interagency Education Research Initiative (IERI), a joint effort between NSF, the Department of Education, and the National Institutes of Health. The EHR research effort under IERI will link to an additional $10.0 million from the Research and Related Activities appropriation, for total NSF support of $25.13 million.

  • Electronic dissemination of high-quality education materials, information on effective pedagogical practices, and data from scientific research show great promise in broadening access to quality SMET education. Networking may be of particular benefit for learners in regions and institutions where local resources are limited. A key element in this effort is development of the National Science, Mathematics, Engineering, and Technology Education (SMETE) Digital Library, to which EHR will contribute $24.60 million in FY 2002.

  • Graduate Teaching Fellows in K-12 Education addresses instructional workforce issues by placing graduate students and advanced undergraduates in K-12 classrooms as resources for teachers. EHR funding for this program will be $22.41 million in FY 2002.

  • Centers for Learning and Teaching (CLT) partner higher education and K-12 school systems to address national needs for strengthening SMET education, with a special focus on strengthening current and future instructional workforces. In FY 2002, CLT funding remains constant at $20.17 million.


EHR's support for ongoing and new activities contributes to NSF efforts to achieve its strategic goals, as well as to the administration and management activities necessary to achieve these goals.

Support by Strategic Goal

(Millions of Dollars)

  FY 2001
FY 2002
Amount Percent
PreK-12 267.99 357.68 89.69 33.5%
Undergraduate 150.87 150.62 -0.25 -0.2%
Graduate and Professional 95.85 103.60 7.75 8.1%
Other 94.36 84.50 -9.86 -10.4%
Subtotal, People $609.07 $696.40 87.33 14.3%
Ideas 139.44 139.25 -0.19 -0.1%
Tools 24.95 24.60 -0.35 -1.4%
Administration & Management1 12.16 12.16 0.00 0.0%
Total, EHR Appropriation $785.62 $872.41 $ 86.79 11.0%
H-1B Nonimmigrant Petitioner Receipts2 121.00 144.00 23.00 19.0%
Total, EHR $906.62 $1,016.41 $109.79 12.1%

Totals may not add due to rounding.
1 Includes only costs charged to the EHR Appropriation.
2 Includes $1.50 million in Administration & Management contract services in both FY 2001 and FY 2002.


EHR's principal contributions to meeting NSF's goals come in developing a diverse, internationally-competitive workforce of scientists and engineers as well as citizens who are well-prepared to face an increasingly technological world. EHR programs aimed at progress toward this goal cover all educational levels and lay the groundwork for increasing the participation of underrepresented groups.

PreK-12 Activities

The FY 2002 Budget Request includes $357.68 million for PreK-12 activities, an increase of $89.69 million over FY 2001. PreK-12 programs are operated within the Math and Science Partnerships; Educational System Reform; Elementary, Secondary, and Informal Education; and Undergraduate Education Subactivities. Evaluation and monitoring systems within the Research, Evaluation, and Communication Subactivity assess program impact and operational effectiveness.

Math and Science Partnerships Initiative (MSPI): NSF anticipates two major categories of activity under the President's Math and Science Partnerships initiative: Infrastructure Partnerships and Action Partnerships. Each requires the establishment or intensification of partnerships, plans for improving math and science education, and accountability mechanisms. They differ in the nature of the partnership and the location of leadership for the activity.

  • Infrastructure Partnerships will provide a framework for states to partner with institutions of higher education to gauge their current status with respect to math and science education and to develop and implement plans for improvement. Infrastructure activities are expected to be broad in scope, aimed at statewide coordinating functions such as teacher certification and concomitant teacher education programs, data generating capabilities, or aligning assessments to high standards. They would also target areas for more intense activity through other mechanisms.

  • Action Partnerships will enable partners at state and local levels to act to improve math and science education through design and exploration of new models of action and adaptation of existing models to local circumstances. These awards assume an intensity of action that requires their control to be vested locally, presumably in a school district or collection of school districts.

The MSPI will form the centerpiece of EHR's K-12 education activities in FY 2002, totaling $200 million. Its projects will expand the reach of outcomes from NSF's past and on-going activities. In order to accomplish this, a total of $110 million is redirected from other EHR K-12 education programs. Reductions are most significant in the longer running programs where activities are most consistent with the objectives of the MSPI and where past outcomes demonstrate effective models for action under the Initiative. Continuing activities will target development of models for action in specific areas of national need, new experimental approaches to addressing long term issues, development of instructional materials and assessments, and the new Centers for Learning and Teaching.

  • Systemic Reform of PreK-12: In FY 2002, funding of large-scale systemic reform for states, cities, and rural areas totals $45.25 million, a reduction of $65.19 million from FY 2001 which enables a redirection of funds to support the new Math and Science Partnerships initiative. Systemic reform projects provide access to high-quality science and mathematics educational resources for many of the nation's children who are educationally disadvantaged and expand professional development opportunities for the instructional workforce. No new awards will be made in FY 2002 under the Urban Systemic Program (USP), Statewide Systemic Initiatives (SSI), or Rural Systemic Initiatives (RSI) programs. Recent program innovations to strengthen the interface between the K-12 and higher education sectors set the stage for future participation of some systemic reform sites in the new Math and Science Partnerships initiative.

  • Teacher Enhancement (TE) funds are reduced by $32.02 million, to total $56.12 million, to enable a redirection of funds to the Math and Science Partnerships initiative. TE efforts expand the nation's ability to strengthen its K-12 instructional workforce, creating materials for training teachers and providing leadership training for in-service teachers and school administrators. Many projects creatively involve school systems, universities, informal science performers, and the private sector. The bulk of resources in FY 2002 will maintain existing projects. Focused FY 2002 efforts will target areas of national need, including enhancing the disciplinary knowledge of teachers teaching out of their field of expertise, and providing mentors for teachers who are in their initial years of teaching. Results from such activities can provide information to projects supported through the Math and Science Partnerships initiative.

  • Teacher Preparation (TP) funding is reduced by $8.0 million, to total $6.52 million, due to a combination of phasing out the Collaboratives for Excellence in Teacher Preparation (CETP) program and a redirection of funds to the Math and Science Partnerships initiative. TP addresses PreK-12 teacher preparation through meaningful collaborations between SMET disciplinary and education departments at universities and colleges. Funds will support a mix of continuing activities and new experimental approaches that can inform projects supported through the Math and Science Partnerships initiative.

  • Instructional Materials Development (IMD) funding is reduced by $5.10 million, to total $28.99 million, due to a redirection of funds to the Math and Science Partnerships initiative. IMD projects develop rigorous, validated standards-based comprehensive curricula and instructional materials for K-12 science and mathematics education. Funding is also provided for resource centers that foster awareness and implementation of standards-based curriculum models.

  • Centers for Learning and Teaching (CLT): The CLT program develops comprehensive, research-based approaches to improve teaching and enhance learning. CLTs focus on (1) fostering high quality research into the nature of learning, effective teaching, policies, and outcomes of standards-based reform; (2) developing a diverse cadre of SMET education experts to guide the education of future K-12 teachers, and developing instructional materials, assessments, education research and evaluation, and future directions in informal science education; (3) significantly increasing the numbers and quality of K-16 SMET educators who have solid content knowledge and skills in implementing standards-based instruction and assessments as well as in using information technology as an aid to student understanding. Funding remains constant at $20.17 million in FY 2002.

Undergraduate Activities

The FY 2002 Budget Request for undergraduate support is $150.62 million, a decrease of $250,000 from FY 2001. Support is primarily in the Undergraduate Education and Human Resource Development Subactivities. Major undergraduate programs include:

  • Advanced Technological Education (ATE) funding is maintained at $39.16 million. ATE strengthens the science and mathematics preparation of technicians for the high-performance workplace. ATE currently supports eleven Centers and about 160 smaller-scale projects. Emphasis is placed on adaptation and implementation of exemplary curricula or programs. Currently, ATE involves over 1,000 faculty and 300 teachers in developmental activities and more than 1,000 large, medium, and small companies.

  • Scholarship for Service (SFS) was initiated in FY 2001 to engage students in developing the skills needed to provide high-quality security for the nation's information infrastructure, particularly in the federal sector. This interagency effort is maintained at $11.18 million in EHR.

  • Course, Curriculum, and Laboratory Improvement (CCLI) funding is maintained at $49.63 million. CCLI focuses on institution-wide implementation of quality instruction in classrooms and laboratories. The funding level includes $3.0 million for work in assessment of student performance and program quality at the undergraduate level.

  • Distinguished Teaching Scholars (DTS), a new program in FY 2001, recognizes and rewards undergraduate faculty whose integration of research and education enhances the quality of the future workforce and understanding of science by the general public. Funding for DTS is maintained at $1.51 million in EHR.

  • Louis Stokes Alliances for Minority Participation (LSAMP) decreases by $250,000 to a total of $26.53 million within EHR. LSAMP is intended to raise the achievement and number of underrepresented minority degree recipients in undergraduate science, mathematics, and engineering. Projects utilize the knowledge, resources and capabilities of academic, federal, industrial, and private sectors. LSAMP supports 27 alliances of two- and four-year colleges and universities.

  • Minority-Serving Institutions funding is maintained at $26.47 million in EHR. The program for Tribal Colleges ($9.98 million requested in FY 2002) encourages Native Americans to pursue information technology and other science and technology fields of study, as well as increases the capability of these colleges to offer relevant science and technology courses and enhance K-12 education in feeder school systems. Historically Black Colleges and Universities-Undergraduate Program (HBCU-UP) funding is $13.97 from EHR, which is augmented by an additional $1.0 million through Research and Related Activities account, for total NSF funding of $14.97 million. HBCU-UP is designed to strengthen research infrastructure and education in participating institutions and contributes to the goal of increasing numbers of minorities obtaining SMET baccalaureate degrees. The Model Institutions of Excellence program, another Foundation-wide effort, is funded at $2.52 million in EHR ($10.02 million in total NSF funding).

Graduate and Professional Activities

The FY 2002 Budget Request provides support for graduate and professional activities totaling $103.60 million, an increase of $7.75 million. Support is primarily located within the Graduate Education and Human Resource Development Subactivities. Programs include:

  • Graduate Research Fellowship (GRF) funding increases $3.67 million to a total of $58.75 million. The increase permits NSF to raise the stipend of graduate fellows while raising the number of offers for new fellowships to 900. Fellowships recognize and support the nation's most promising science, mathematics, and engineering graduate students. Within this program, high priority is placed on maintaining diversity of the applicant and awardee pools.

  • Graduate Teaching Fellows in K-12 Education (GK-12) funding in EHR increases by $2.70 million to a total of $22.41 million. GK-12 supports graduate and advanced undergraduate SMET students as content resources for K-12 teachers to help strengthen classroom instruction. GK-12 Fellows will assist teachers in the science and mathematics content of their teaching, demonstrate key science and mathematics concepts, and gain necessary pedagogical skills for improving their potential as future educators.

  • Integrative Graduate Education and Research Traineeships (IGERT) funding increases $2.39 million to total $14.34 million in EHR. IGERT provides support for universities to engage graduate students in interdisciplinary science and engineering research training programs. An additional $24.84 million is provided through the R&RA account for IGERT, for total Foundation support of $39.18 million.

  • Alliances for Graduate Education and the Professoriate (formerly the Minority Graduate Education program) funding totals $11.80 million, to refine and implement innovative strategies for increasing substantially the number of minority science, mathematics, and engineering doctorates, and their representation in the professoriate.

Efforts Across Education Levels

  • Informal Science Education (ISE) funding totals $56.0 million, investing in activities across a variety of venues including museums, print, film, broadcast, and community-based organizations that increase public appreciation and understanding of science and technology, and the processes of research that create them. ISE continues to increase access to informal learning opportunities in inner cities and rural areas; strengthens linkages between informal and formal learning experiences; and works to disseminate the latest findings from scientific research to the public.

  • Program Evaluation and Accountability: In FY 2002, evaluation efforts within the Research, Evaluation, and Communication (REC) Subactivity are funded at $12.64 million. Growing emphasis is placed on building robust data systems that can fully respond to Government Performance and Results Act (GPRA) reporting requirements. Full-scale evaluation activities of selected major ongoing programs, specialized implementation studies, and development of evaluations for new activities continue to identify best practices.

  • Program for Gender Equity (PGE) supports education and research activities that foster increased participation of women and girls in SMET. Funding is maintained at $11.19 million.

  • Program for Persons with Disabilities (PPD) supports efforts to increase the participation and achievement in SMET education and research of individuals with disabilities. Emphasis is placed on projects building and strengthening alliances among higher education, K-12 educational systems, and business and industry. Funding is maintained at $5.28 million.


EHR's FY 2002 Budget Request for efforts aimed at discovery across the frontier of science and engineering connected to learning, innovation, and service to society includes:

  • Education Research funding totals $40.43 million in FY 2002. EHR mounts a comprehensive and integrated agenda covering the spectrum from fundamental cognitive research to large-scale efforts implementing educational technologies in support of NSF's emphasis on the Science of Learning. In addition to this funding, the Interagency Education Research Initiative (IERI), an NSF-wide activity in partnership with the Department of Education and the National Institutes of Health, is supported at $15.13 million in EHR.

  • Centers of Research Excellence in Science and Technology (CREST) remains unchanged at $8.88 million with nine centers and a special effort to help Center faculty become more competitive in other NSF research programs.

  • Experimental Program to Stimulate Competitive Research (EPSCoR) funding remains constant at $74.81 million. The program continues to strengthen the research infrastructure of participating states through infrastructure awards and co-funding of research projects. Up to $25.0 million more will be provided in co-funding within the Research and Related Activities Appropriation to enable EPSCoR researchers to participate more fully in NSF research activities; total NSF support for EPSCoR in FY 2002 approaches $100.0 million.


In FY 2002, EHR support for the National Science, Mathematics, Engineering, and Technology Education (SMETE) Digital Library (NSDL) decreases by $350,000 to a total of $24.60 million. NSDL lays the foundation for a national resource to increase the quality, quantity, and comprehensiveness of Internet-based SMET educational resources while enabling virtual learning communities that link students, teachers, and faculty with each other and to a wide array of standards-based educational materials.

Administration and Management

Administration and Management provides for administrative activities necessary to enable NSF to achieve its strategic goals. This includes the cost of Intergovernmental Personnel Act appointments and contractors performing administrative functions.

Number of People Involved in EHR Activities

  FY 2000
FY 2001
FY 2002
Senior Researchers 5,150 5,510 5,720
Other Professionals 2,050 2,190 2,280
Postdoctorates 280 290 300
Graduate Students 4,280 4,580 4,830
Undergraduate Students 18,600 19,360 20,140
K-12 Students 11,720 10,670 10,670
K-12 Teachers 89,300 82,500 80,440
Total Number of People 131,380 125,100 124,380

Changes in Budget Structure

A new Subactivity is established in FY 2002 with respect to commencement of the President's Math and Science Partnerships Initiative (MSPI). Support for this initiative is provided partially through new funds, and partially through a redirection of funds from other K-12 activities. Total support in FY 2002 for the MSPI is comprised of the following elements:

Redirected from the Elementary, Secondary, and Informal Education Subactivity $37 million
Redirected from the Educational System Reform Subactivity $65 million
Redirected from the Undergraduate Education Subactivity $8 million
Redirected from the Innovation Partnerships Program Element $10 million
New Funds $80 million
Total MSPI Support: $200 million

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