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State Government R&D Expenditures Increase 11.3% from FY 2010 to FY 2011

NSF 14-300 | November 2013 | PDF format. PDF  
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by Christopher Pece[1]

State government agency expenditures for research and development totaled $1.404 billion in FY 2011, an 11.3% increase over the $1.261 billion reported in FY 2010. Expenditures for R&D facilities (construction projects, major building renovations, and land and building acquisitions intended primarily for R&D use) totaled $109 million in FY 2011, a 1.7% increase over the $107 million reported in FY 2010. This InfoBrief presents summary statistics from the FY 2010 and FY 2011 Survey of State Government Research and Development, sponsored by the National Science Foundation (NSF).

The FY 2010 and FY 2011 survey presents the most recent NSF statistics of R&D activities performed and funded by state government agencies in each of the 50 states, the District of Columbia, and Puerto Rico. Survey data are available by state and by individual state agency. For the first time, NSF collected two fiscal years of data from state governments as part of a single survey operation. In addition, a new category was added to this survey, so state agencies were given the option to separately classify their energy-related R&D expenditures. Other R&D categories include agriculture, environment and natural resources, health, transportation, and other.[2]

National Totals

State government agency R&D expenditures for FY 2011 totaled $1.404 billion, of which 71% came from state and other nonfederal sources (table 1). The majority of the states' R&D expenditures ($942 million in FY 2011) went to external R&D performers. Academic institutions were the primary recipients ($477 million, excluding direct state appropriations to colleges and universities), followed by companies and individuals ($388 million). These amounts represent increases of 4.3% and 24.9%, respectively, from FY 2010 funding totals. Internal performers, the state agencies, performed $462 million of R&D in FY 2011, a 10.9% increase from FY 2010. Of the total R&D expenditures, state governments contributed $322 million to basic research in FY 2011. Basic research constituted approximately 23% of total state R&D expenditures, although the share of basic research varied considerably by state.

TABLE 1. State agency R&D and R&D facilities expenditures: FYs 2010–11
(Thousands of current dollars)
Characteristic FY 2010 FY 2011 % change
All R&D and R&D facilities expenditures 1,368,710 1,512,941 10.5
All R&D facilities expenditures 107,343 109,125 1.7
All R&D expenditures 1,261,367 1,403,816 11.3
Source of funds
Federal government 375,655 403,300 7.4
State government and other sources 885,712 1,000,517 13.0
Performer
Internala 416,097 461,506 10.9
External 845,270 942,310 11.5
Academic institutions 457,528 477,128 4.3
Companies and individuals 310,795 388,054 24.9
Other 76,947 77,128 0.2
Basic research 292,540 321,639 9.9
Non-basic R&D 968,827 1,082,177 11.7
Type of R&D project
Agriculture 73,057 74,502 2.0
Energy 216,408 256,200 18.4
Environment and natural resources 322,546 336,803 4.4
Health 294,731 314,200 6.6
Transportation 247,321 265,500 7.4
Other 107,303 156,612 46.0

a Internal performers include employees within the same state department or agency and services performed by others in support of internal R&D projects.

NOTES: Puerto Rico is not included in these U.S. totals due to its classification as a U.S. territory. Detail may not add to total because of rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, FY 2010 and FY 2011 Survey of State Government R&D.

Table 1 Source Data: Excel file

The largest share of state agencies' R&D expenditures (24%) were for projects related to environment and natural resources (4.4% increase from FY 2010). Energy-related R&D projects accounted for 18% of total R&D expenditures (18.4% increase from FY 2010). Health, transportation, agriculture, and all other related projects shares of total R&D expenditures in FY 2011 were 22%, 19%, 5%, and 11%, respectively. Other R&D had the largest increase between FY 2010 and FY 2011 at 46.0%. This category includes a variety of different activities, from education, to forensic science and criminal justice related projects, to labor and social service related projects.

State Government Shares of R&D

Individual state government expenditures on R&D in FY 2011 varied widely, ranging from $1.2 million in the District of Columbia to nearly $183 million in New York (table 2). Five state governments (New York, Ohio, Florida, California, and Pennsylvania) accounted for 51% of all state government R&D in both FY 2010 and FY 2011. All five of these state governments were in the top five in both FY 2007 and FY 2009 as well (no survey was conducted for FY 2008).[3]

TABLE 2. State agency expenditures for R&D, by state and performer: FY 2011
(Thousands of current dollars)
All R&D
expenditures
Internal performersa External performersb
State Number Percent Number Percent
United Statesc 1,403,816 461,506 32.9 942,310 67.1
Alabama 19,684 14,250 72.4 5,434 27.6
Alaska 11,349 9,005 79.3 2,345 20.7
Arizona 18,627 7,410 39.8 11,216 60.2
Arkansas 14,705 6,078 41.3 8,627 58.7
California 149,812 38,370 25.6 111,441 74.4
Colorado 18,142 6,943 38.3 11,199 61.7
Connecticut 39,192 23,574 60.2 15,618 39.8
Delaware 2,610 2,049 78.5 561 21.5
District of Columbia 1,221 221 18.1 1,000 81.9
Florida 150,764 48,328 32.1 102,437 67.9
Georgia 11,691 3,600 30.8 8,091 69.2
Hawaii 13,104 3,667 28.0 9,437 72.0
Idaho 9,366 4,430 47.3 4,936 52.7
Illinois 17,207 2,050 12.0 15,157 88.0
Indiana 6,983 975 14.0 6,008 86.0
Iowa 36,992 1,261 3.4 35,731 96.6
Kansas 6,636 1,501 22.6 5,134 77.4
Kentucky 20,499 2,137 10.4 18,361 89.6
Louisiana 9,204 7,254 78.8 1,950 21.2
Maine 9,919 1,883 19.0 8,036 81.0
Maryland 20,085 1,929 9.6 18,156 90.4
Massachusetts 4,879 786 16.1 4,093 83.9
Michigan 9,803 1,509 15.4 8,294 84.6
Minnesota 11,653 1,510 13.0 10,144 87.1
Mississippi 7,421 4,028 54.3 3,393 45.7
Missouri 13,659 7,547 55.3 6,112 44.7
Montana 6,474 1,695 26.2 4,780 73.8
Nebraska 4,062 320 7.9 3,741 92.1
Nevada 1,869 429 23.0 1,440 77.0
New Hampshire 1,921 592 30.8 1,330 69.2
New Jersey 17,069 2,981 17.5 14,088 82.5
New Mexico 1,822 494 27.1 1,327 72.8
New York 182,736 108,094 59.2 74,643 40.8
North Carolina 29,612 19,479 65.8 10,133 34.2
North Dakota 8,072 366 4.5 7,706 95.5
Ohio 159,322 2,645 1.7 156,677 98.3
Oklahoma 20,305 10 0.0 20,295 100.0
Oregon 20,001 17,063 85.3 2,938 14.7
Pennsylvania 71,098 5,827 8.2 65,271 91.8
Rhode Island 1,948 80 4.1 1,868 95.9
South Carolina 47,795 42,533 89.0 5,263 11.0
South Dakota 3,629 652 18.0 2,977 82.0
Tennessee 3,607 20 0.6 3,587 99.4
Texas 47,372 9,823 20.7 37,549 79.3
Utah 34,419 10,362 30.1 24,057 69.9
Vermont 1,712 1,544 90.2 168 9.8
Virginia 17,242 6,568 38.1 10,674 61.9
Washington 24,500 10,246 41.8 14,255 58.2
West Virginia 35,475 8,131 22.9 27,345 77.1
Wisconsin 21,129 6,126 29.0 15,003 71.0
Wyoming 5,419 3,134 57.8 2,285 42.2
Puerto Ricod 538 400 74.3 138 25.7

a Internal performers include employees within the same state department or agency and services performed by others in support of internal R&D projects.
b External performers include academic institutions, companies and individuals, and other non-internal performers.
c U.S. total reflects all 50 states and the District of Columbia.
d Puerto Rico is not included in U.S. total due to its classification as a U.S. territory.

NOTE: Detail may not add to total because of rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, FY 2010 and FY 2011 Survey of State Government R&D.

Table 2 Source Data: Excel file

The largest levels of internal R&D performance in FY 2011 were reported by state agencies in New York ($108 million), Florida ($48 million), and South Carolina ($43 million). Together these three states accounted for 43% of all state agencies' internal R&D performance ($462 million). The largest levels of funding for external R&D performance were reported by state agencies in Ohio ($157 million), California ($111 million), and Florida ($102 million). Together, these three states accounted for 39% of all state agencies' external R&D performance ($942 million) (table 2).

Types of State Agency R&D Projects

New York, Ohio, Florida, California, and Pennsylvania reported a broad mix of R&D projects, although generally these states concentrated their activities in either energy or health. State government agencies in New York, Florida, and Pennsylvania had the largest share of their R&D investments in health-related projects. In FY 2011 these three states alone spent a combined $191 million on health R&D, or 61% of all state government expenditures on these types of projects. California and Ohio's largest shares of R&D expenditures were in energy projects. In FY 2011, California spent $96 million (37% of the U.S. total) and Ohio spent $47 million (18% of the U.S. total) on these types of projects (table 3).

TABLE 3. State agency expenditures for R&D, by state and type of R&D, for the 10 states with the highest levels of R&D expenditures: FY 2011
(Thousands of current dollars)
State Total Agriculture Energy Environment
and natural
resources
Health Transportation Other
United Statesa 1,403,816 74,502 256,200 336,803 314,200 265,500 156,612
New York 182,736 1,779 45,401 8,926 70,940 12,191 43,500
Ohio 159,322 0 47,150 38,596 13,231 17,282 43,063
Florida 150,764 15,991 4,159 47,437 65,571 15,645 1,962
California 149,811 1,227 95,975 15,130 0 37,445 33
Pennsylvania 71,098 641 0 7,749 54,789 3,919 4,000
South Carolina 47,795 92 115 45,163 844 1,581 0
Texas 47,372 2,878 0 4,805 15,838 23,851 0
Connecticut 39,192 3,327 554 12,517 18,783 4,012 0
Iowa 36,992 0 26,591 3,640 0 6,050 711
West Virginia 35,475 151 2,737 1,874 0 5,583 25,130
All others 483,259 48,416 33,518 150,966 74,204 137,941 38,213
Puerto Ricob 538 0 0 0 0 0 538

a U.S. total reflects all 50 states and the District of Columbia.
b Puerto Rico is not included in U.S. total due to its classification as a U.S. territory.

NOTE: Detail may not add to total because of rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, FY 2010 and FY 2011 Survey of State Government R&D.

Table 3 Source Data: Excel file

Data Source and Limitations

Data presented in this InfoBrief are in current dollars and have not been adjusted for inflation. All 50 states, the District of Columbia, and Puerto Rico participated in the FY 2010 and FY 2011 survey, and 470 of the 472 selected agencies (99.6%) responded to the survey. State government agencies are selected for the survey by a State Coordinator who is identified by the governor's office. The State Coordinator selects agencies that are most likely to perform or fund R&D. Data for the FY 2010 and FY 2011 survey were collected by the U.S. Census Bureau.

Most states and the territory of Puerto Rico have a fiscal year period that begins on 1 July and ends the following 30 June. For example, FY 2011 begins on 1 July 2010 and ends on 30 June 2011. There are, however, four exceptions to the June 30 fiscal year end: New York (ends 31 March), Texas (ends 31 August), and Alabama and Michigan (end 30 September). For comparability these four states are surveyed with the other 46 states that end on 30 June. The District of Columbia follows the federal government fiscal year, which ends 30 September.

Use of terms such as state, state government, and state agencies have equivalent meaning and are used interchangeably throughout this report. The amounts reported here are for R&D expenditures that flow through state agencies' budgets and do not include direct appropriations from state legislatures to universities, colleges, and private organizations. As a result, the $477 million in FY 2011 expenditures reported by state agencies to support R&D performance by academic institutions differs from the figure reported by universities and colleges in FY 2011 ($3.8 billion) for expenditures on R&D activities that were funded from state and local government sources. (See National Science Foundation, National Center for Science and Engineering Statistics. 2013. Higher Education Research and Development: Fiscal Year 2011. Detailed Statistical Tables NSF 13-325. Arlington VA. Available at http://www.nsf.gov/statistics/nsf13325/.) This difference is largely attributable to the funding provided by direct appropriations from state legislatures to state-run universities, which is included in the Higher Education R&D Survey but not in the Survey of State Government R&D. Another likely factor for the difference is the exclusion of R&D at agricultural experiment stations from the totals reported by state agencies. (Note that agricultural experiment stations in Connecticut are in the population of interest for the Survey of State Government R&D because they are organized as state agencies and not affiliated with any university system.)

The data reported here focus exclusively on R&D expenditures of state government departments, agencies, public authorities, institutions, and other dependent entities that operate separately or somewhat autonomously from the central state government, although the state government maintains administrative or fiscal control over their activities. Several industry-specific state commissions, which are generally chartered by state legislatures but are administered independently, are considered state agencies as defined by the U.S. Census Bureau government classification and thus are included in the survey. Excluded are state-run colleges and universities, as are laboratories and experiment stations controlled by state universities and colleges and entities determined to be nonprofit or private organizations, as defined by the U.S. Census Bureau government classification.

The full set of detailed tables from this survey will be available in the report State Government Research and Development: FY 2010 and FY 2011, at http://www.nsf.gov/statistics/staterd/. Individual detailed tables from the FY 2010 and FY 2011 survey may be available in advance of the full report. For further information, contact the author.

Notes

[1] Christopher Pece, Research and Development Statistics Program, National Center for Science and Engineering Statistics, National Science Foundation, 4201 Wilson Boulevard, Suite 965, Arlington, VA 22230 (cpece@nsf.gov; 703-292-7788).

[2] Prior to the FY 2010 and FY 2011 survey, energy-related R&D expenditures should have been reported in the "other" R&D projects category; however, in some instances it may have been reported in additional categories.

[3] Yamaner M. 2012. State Research and Development Expenditures Total $1.2 Billion in FY 2009. InfoBrief NSF 12-324. Arlington, VA: National Science Foundation, National Center for Science and Engineering Statistics. Available at http://www.nsf.gov/statistics/infbrief/nsf12324/.

Bennof RJ. 2009. Ten States Account for More than 60% of State Agencies' FY 2007 R&D Expenditures. InfoBrief NSF 10-306. Arlington, VA: National Science Foundation, Division of Science Resources Statistics. Available at http://www.nsf.gov/statistics/infbrief/nsf10306/.


National Science Foundation, National Center for Science and Engineering Statistics
State Government R&D Expenditures Increase 11.3% from FY 2010 to FY 2011
Arlington, VA (NSF 14-300) [November 2013]


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