by Michael Yamaner[1]

Current-dollar federal obligations for research decreased 9.0%, from $63.7 billion in FY 2010 to $58.0 billion in FY 2011, according to data from the National Science Foundation (NSF).[2] This decline was the result of the last of the 2009 American Recovery and Reinvestment Act (ARRA) stimulus funds being obligated in FY 2010, which accounted for $5.7 billion (8.9%) of research obligations in FY 2010. Research obligations are estimated to remain relatively flat at $58.1 billion in FY 2012, and they are projected to increase by $1.9 billion (3.3%) to $60.0 billion in FY 2013.

In inflation-adjusted terms, federal obligations for research fell 10.7% in FY 2011, following a 0.9% decline in FY 2010. Estimated research obligations continued falling in FY 2012 by 1.8% before edging up by 1.6%, according to FY 2013 projections (table 1).

Figures for FY 2011 are actual amounts, those for FY 2012 are preliminary, and those for FY 2013 are projected. For the remainder of this report, discussions of changes in funding across years are in terms of inflation-adjusted (or constant) dollars unless stated otherwise.

Total Research and Development by Agency

Total federal constant-dollar R&D obligations decreased 5.3% to $119.1 billion between FY 2010 and FY 2011. This decline is primarily due to the last of the ARRA funds ($5.9 billion) having been obligated in FY 2010 (table 1). Even absent the ARRA obligations, R&D decreased by $775 million (0.6%) in FY 2011. R&D obligations were estimated to decrease 2.3% to $116.4 billion in FY 2012 and were projected to decrease 0.4% to $115.9 billion in FY 2013.

In FY 2011, six federal departments and agencies accounted for 96.0% of FY 2011 total federal R&D dollars: the Department of Defense (DOD) (55.5% of total R&D obligations), the Department of Health and Human Services (HHS) (22.8%), the Department of Energy (DOE) (7.3%), the National Aeronautics and Space Administration (NASA) (4.8%), NSF (3.8%), and the U.S. Department of Agriculture (USDA) (1.7%) (table 2).

Federal Funding for Research by Agency

The six departments and agencies that accounted for most federal R&D dollars in FY 2011 also accounted for most (92.3%) of FY 2011 total federal research dollars. However, their research shares differed considerably from their R&D shares, reflecting the emphasis their varying missions place on research versus development: HHS (53.0% of total research obligations), DOE (12.7%), DOD (11.4%), NSF (8.9%), USDA (3.7%), and NASA (2.7%) (table 3).

Basic Research

Basic research obligations decreased 9.6% to $25.8 billion between FY 2010 and FY 2011. ARRA funds accounted for $2.4 billion of FY 2010's $28.5 billion basic research total. Even without the ARRA funds, basic research obligations decreased by 1.3% in FY 2011. Basic research obligations were estimated to decrease 1.4%, to $25.4 billion in FY 2012 and were projected to increase by 0.5% in FY 2013 to $25.5 billion. Basic research obligations accounted for 21.0% of total R&D and R&D plant in FY 2011 (table 1).

Applied Research

Federal obligations for applied research decreased 11.8% to $25.2 billion between FY 2010 and FY 2011. Even without the FY 2010 ARRA funds, applied research decreased by 2.6% in FY 2011. Applied research obligations were estimated to decrease 2.1% between FY 2011 and FY 2012 to $24.7 billion and were projected to increase 2.8% in FY 2013 to $25.4 billion. Applied research obligations accounted for 20.6% of total R&D and R&D plant in FY 2011 (table 1).

Research by Broad Field of Science and Engineering

Six of the broad fields of science and engineering experienced decreased federal research funding between FY 2010 and FY 2011. The two fields experiencing the largest decreases were life sciences (down $4.5 billion, or 14.9%) and engineering (down $1.1 billion, or 11.0%). Two broad fields saw increased federal research funding between FY 2010 and FY 2011: social sciences (rose $37 million, or 3.4%) and other sciences not elsewhere classified (rose $0.5 billion, or 20.7%).[3]

In FY 2011, three broad fields of science and engineering received 77.4% of FY 2011 total federal research dollars: life sciences (50.7% of total research obligations), engineering (17.3%), and physical sciences (9.4%) (table 4).

Data Notes

The data presented here are from the NSF Survey of Federal Funds for Research and Development for FYs 2011–13. The 27 federal agencies that report R&D obligations to the survey submitted actual obligations for FY 2011, preliminary data for FY 2012, and projected data for FY 2013. Data were requested from agencies beginning in March 2012. Agencies later revise the preliminary data based on actual changes in the funding levels of R&D programs. Further, agencies may provide changes in prior-year data to reflect program reclassifications or other data corrections.

In order to enable reporting from the Department of Defense's subagencies engaged in classified R&D projects, starting with the FY 2011–13 survey cycle the DOD subagencies are reported as an aggregate total under Other defense agencies.

Definitions of research, development, and R&D plant as used in this InfoBrief are provided in the technical notes that accompany the detailed statistical tables report for this survey. For the prior-year report, see http://nsf.gov/statistics/nsf13326/.

The full set of detailed tables from this survey will be available in the report Federal Funds for Research and Development: Fiscal Years 2011–13 at http://www.nsf.gov/statistics/fedfunds/. Individual detailed tables from the FY 2011–13 survey may be available in advance of the full report. For more information, contact the author.

Notes

[1] Michael Yamaner, Research and Development Statistics Program, National Center for Science and Engineering Statistics, National Science Foundation, 4201 Wilson Boulevard, Suite 965, Arlington, VA 22230 (myamaner@nsf.gov; 703-292-7815).

[2] Obligations represent the amounts for orders placed, contracts awarded, services received, and similar transactions during a given period, regardless of when the funds were appropriated and when future payment of money is required.

[3] "Other sciences not elsewhere classified" is used for multidisciplinary or interdisciplinary projects that cannot be classified within one of the broad fields of science.