According to the latest data from the National Science Foundation (NSF), federal funding for basic research performed at universities and colleges decreased 0.3% between FY 2011 and FY 2012. Nonetheless, universities and colleges received 50.8% of the $31.0 billion total in federal obligations for basic research and accounted for 11.4% of total research and development obligations in FY 2012. Basic research at universities and colleges is estimated to increase to 11.8% of total R&D obligations in FY 2013 and is projected to grow to 12.5% in FY 2014 (table 1).
TABLE 1. Federal obligations for research and development and R&D plant, by character of work and basic research performer: FYs 2011–14
(Dollars in millions)
Character of work
2011
2012
2013
preliminary
2014
projected
All R&D and R&D plant
139,662
140,636
134,546
134,042
R&D
135,491
138,485
132,436
130,847
Research
58,024
61,947
61,617
64,199
Basic research
29,314
30,959
31,191
32,541
Performer
Intramurala
4,870
5,579
6,002
5,791
Industry
1,727
2,155
2,134
2,490
FFRDCs
3,595
4,081
4,001
4,358
Universities and colleges
15,771
15,730
15,565
16,324
Other nonprofits
3,067
3,123
3,214
3,300
State and local governments
76
80
81
83
Foreign
209
210
194
195
Applied research
28,710
30,988
30,426
31,658
Development
77,467
76,538
70,819
66,647
R&D plant
4,171
2,151
2,111
3,196
FFRDCs = federally funded research and development centers.
a Intramural activities cover costs associated with the administration of intramural and extramural programs by federal personnel as well as actual intramural performance.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey
of Federal Funds for Research and Development.
Despite a 1.2% drop in development, current-dollar federal obligations for total R&D reached $138.5 billion in FY 2012, an increase of 2.2% over FY 2011. R&D is estimated to decrease by 4.4%, to $132.4 billion, in FY 2013 and is projected to decrease by 1.2%, to $130.8 billion, in FY 2014. Both decreases are being driven by development, which shows an estimated 7.5% drop in FY 2013 and is projected to drop 5.9% in FY 2014 (table 1).
In contrast to the reported decline each year in total R&D obligations for FYs 2012–14, federal basic research obligations are reported to increase incrementally from $29.3 billion in FY 2011 to a projected $32.5 billion in FY 2014 (table 1).
Basic Research at Universities and Colleges, by Agency
In FY 2012, five federal departments and agencies provided $15.4 billion (98.3%) of all federal basic research obligations to universities and colleges: the Department of Health and Human Services (HHS) obligated $9.2 billion (58.6%) of this basic research total. NSF obligated $3.8 billion (24.0%), the Department of Defense (DOD) $1.2 billion (7.6%), the Department of Energy (DOE) $0.7 billion (4.5%), and the National Aeronautics and Space Administration (NASA) $0.6 billion (3.7%) (table 2).
TABLE 2.Federal obligations for basic research performed at universities and colleges, by selected agency and broad field of science and engineering: FYs 2011–14
(Dollars in millions)
Agency
Total
Computer sciences and mathematics
Engineering
Environmental sciences
Life sciences
Physical sciences
Psychology
Social sciences
Other sciences nec
All agencies surveyed
2011
15,720
1,237
1,455
896
8,972
1,652
646
245
617
2012
15,674
1,162
1,511
930
8,917
1,754
688
255
457
2013 (preliminary)
15,528
1,143
1,498
922
8,987
1,620
690
262
406
2014 (projected)
16,279
1,265
1,610
1,016
9,099
1,776
707
279
527
Department of Health and Human Services
2011
9,439
67
387
117
7,832
89
606
55
284
2012
9,181
42
374
99
7,808
75
636
46
101
2013 (preliminary)
9,247
43
376
98
7,867
76
641
46
101
2014 (projected)
9,296
43
378
99
7,909
76
644
46
101
National Science Foundation
2011
3,797
936
582
539
619
729
27
135
231
2012
3,759
838
599
530
620
742
31
160
239
2013 (preliminary)
3,822
852
609
539
631
755
31
163
243
2014 (projected)
4,128
920
658
582
681
815
34
176
263
Department of Defense
2011
1,084
181
383
87
121
261
12
27
11
2012
1,188
234
383
91
160
260
19
21
20
2013 (preliminary)
1,027
218
358
94
133
172
17
19
16
2014 (projected)
1,228
256
401
105
137
262
28
23
16
Department of Energy
2011
725
44
26
50
111
438
0
0
56
2012
699
35
28
37
109
440
0
0
51
2013 (preliminary)
535
18
23
24
85
386
0
0
0
2014 (projected)
678
33
31
44
107
365
0
0
98
National Aeronautics and Space
Administration
2011
314
3
58
89
14
124
1
*
25
2012
578
6
107
164
26
228
1
*
47
2013 (preliminary)
557
6
103
158
25
219
1
*
45
2014 (projected)
623
6
115
177
28
245
1
*
50
Other agencies
2011
360
7
18
13
273
11
*
27
10
2012
269
7
22
10
194
9
0
27
0
2013 (preliminary)
340
8
29
9
247
13
0
34
0
2014 (projected)
326
7
27
9
237
13
0
33
0
* = value less than $500,000 in obligations.
nec = not elsewhere classified.
NOTES:Because of rounding, detail may not add to total. Seven agencies are required to report data for this section of the survey: the Departments of Agriculture (USDA),
Defense, Energy, Health and Human Services, and Homeland Security (DHS); the National Aeronautics and Space Administration; and the National Science Foundation.
Basic research obligations of these seven agencies represented over 99% of total federal basic research obligations to universities and colleges in FYs 2011–14. Other
agencies includes USDA and DHS.
In FY 2012, 85.0% of HHS obligations for basic research at universities and colleges were in support of the life sciences. HHS provided almost all of the support for psychology-related basic research (92.4%). NSF's obligations for academic basic research were more evenly spread across computer sciences and mathematics (22.3%), engineering (15.9%), environmental sciences (14.1%), life sciences (16.5%), and physical sciences (19.7%), reflecting NSF's role in supporting a wide mix of research disciplines. NSF was also the largest funder of basic research in the social sciences. DOD's obligations for academic basic research were primarily in three broad fields: engineering (32.2%), physical sciences (21.9%), and computer sciences and mathematics (19.7%). DOE's support was largely in the physical sciences (62.9%). NASA primarily supported physical sciences (39.4%) and environmental sciences (28.4%) (table 2).
Basic Research at Universities and Colleges, by Field of Science and Engineering
In FY 2012, three of the eight broad fields of science and engineering received 77.7% of total federal basic research dollars obligated to universities and colleges: life sciences (56.9% of total basic research obligations to universities), physical sciences (11.2%), and engineering (9.6%) (table 2).
Three broad fields of science in basic research performed at universities and colleges declined between FY 2011 and FY 2012. Computer sciences and mathematics decreased $75 million (6.1%), life sciences decreased $55 million (0.6%), and other sciences not elsewhere classified (nec) decreased $160 million (26.0%). Between FY 2012 and FY 2013, five of the eight broad fields of science are estimated to decrease by a combined $225 million. The other three fields—life sciences, psychology, and the social sciences—are estimated to increase a combined $79 million. In FY 2014, all eight of the broad fields of sciences are projected to increase, with the physical sciences showing the largest dollar increase at $156 million (9.6%) (table 2).
In FY 2012, the majority of life science funding was obligated within the subfields of biological sciences ($4.9 billion), which decreased 2.9%, and medical sciences ($2.9 billion), which increased 1.5%. The physical sciences increased by $102.3 million in FY 2012, with astronomy experiencing the largest percentage growth of the physical science subfields, rising 38.9% ($61.9 million). Engineering increased by 3.9% ($56.7 million) in FY 2012 (table 3).
TABLE 3.Federal obligations for basic research performed at universities and colleges for selected agencies, by detailed field of science and engineering: FYs 2011–12 (Dollars in thousands)
a For the FY 2012 survey, the National Science Foundation's Directorate for Engineering updated its data mapping to
improve the accuracy of their reporting.
NOTES: Because of rounding, detail may not add to total. Seven agencies are required to report data for this section
of the survey: the Departments of Agriculture, Defense, Energy, Health and Human Services, and Homeland
Security; the National Aeronautics and Space Administration; and the National Science Foundation. Basic research
obligations of these seven agencies represented over 99% of total federal basic research obligations to universities
and colleges in FYs 2011–12.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for Research and Development.
The data presented here are from the NSF Survey of Federal Funds for Research and Development for FYs 2012–14. The 27 federal agencies that report R&D obligations to the survey submitted actual obligations for FY 2012, preliminary data for FY 2013, and projected data for FY 2014. Data were requested from agencies beginning in February 2013. 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.
Definitions
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.
Basic research is defined as systematic study directed toward fuller knowledge or understanding of the fundamental aspects of phenomena and of observable facts without specific applications toward processes or products in mind.
Other sciences nec is used for multidisciplinary or interdisciplinary projects that cannot be classified within one of the broad fields of science.
Data availability
The full set of detailed tables from this survey will be available in the report Federal Funds for Research and Development: Fiscal Years 2012–14 (http://www.nsf.gov/statistics/fedfunds/). Individual detailed tables from the FY 2012–14 survey may be available in advance of the full report. For more information, please 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).
National Science Foundation, National Center for Science and Engineering Statistics Federal Funding for Basic Research at Universities and Colleges Essentially Unchanged in FY 2012
Arlington, VA (NSF 14-318) [September 2014]