Current-dollar federal obligations for research and development and R&D plant (facilities and fixed equipment) increased 1.5% to $147.0 billion in FY 2010, according to data from the National Science Foundation (NSF).[2] This growth was driven by a $3.0 billion (81.3%) increase in R&D plant obligations in FY 2010: $1.1 billion from the American Recovery and Reinvestment Act (ARRA) of 2009 and $1.9 billion from non-ARRA funds. ARRA funding accounted for 6.2% of the $147.0 billion FY 2010 total. With all ARRA funds obligated by the end of FY 2010, R&D and R&D plant are estimated to fall 7.2% to $136.4 billion in FY 2011 and are projected to remain essentially flat in FY 2012 (table 1).
TABLE 1. Federal obligations for research and development and R&D plant, by character of work: FYs 2008–12
Character of work
2008
2009
2010
2011 preliminary
2012 projected
2008
2009
2010
2011 preliminary
2012 projected
Current $millions
Constant 2005 $millions
All R&D and R&D plant
129,050
144,740
146,968
136,418
135,834
118,471
130,986
131,786
119,960
117,280
ARRA
na
10,081
9,049
na
na
na
9,123
8,114
na
na
Non-ARRA
129,050
134,659
137,919
136,418
135,834
118,471
121,863
123,672
119,960
117,280
Research
53,894
63,695
63,728
58,167
60,712
49,476
57,643
57,145
51,149
52,419
ARRA
na
7,727
5,702
na
na
na
6,993
5,113
na
na
Non-ARRA
53,894
55,968
58,026
58,167
60,712
49,476
50,650
52,032
51,149
52,419
Basic
27,154
32,873
31,795
29,061
30,665
24,928
29,749
28,511
25,555
26,476
ARRA
na
5,116
2,667
na
na
na
4,630
2,391
na
na
Non-ARRA
27,154
27,757
29,128
29,061
30,665
24,928
25,119
26,119
25,555
26,476
Applied
26,740
30,821
31,933
29,106
30,048
24,548
27,892
28,634
25,594
25,944
ARRA
na
2,611
3,035
na
na
na
2,363
2,721
na
na
Non-ARRA
26,740
28,210
28,897
29,106
30,048
24,548
25,529
25,912
25,594
25,944
Development
73,212
77,398
76,627
73,974
70,240
67,210
70,043
68,711
65,049
60,646
ARRA
na
987
918
na
na
na
893
823
na
na
Non-ARRA
73,212
76,411
75,708
73,974
70,240
67,210
84,434
67,887
65,049
60,646
R&D plant
1,944
3,648
6,613
4,277
4,882
1,785
3,301
5,930
3,761
4,215
ARRA
na
1,368
2,428
na
na
na
1,238
2,177
na
na
Non-ARRA
1,944
2,280
4,185
4,277
4,882
1,785
2,063
3,753
3,761
4,215
na = not applicable.
ARRA = American Recovery and Reinvestment Act of 2009.
NOTES: Gross domestic product implicit price deflators for 2005 were used to convert current to constant dollars. Detail may not sum to total due to rounding.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for Research and Development, FYs 2010–12.
Total inflation-adjusted (or constant) federal obligations for R&D and R&D plant rose 0.6% to $131.8 billion between FY 2009 and 2010. This follows an increase of $12.5 billion (10.6%) driven primarily by $9.1 billion in initial ARRA obligations in FY 2009. Even without the funding provided by ARRA, federal R&D and R&D plant would have risen from $121.9 billion in FY 2009 to $123.7 billion (1.5%) in FY 2010 (table 1).
Figures reported for FY 2010 are actual data, FY 2011 figures are preliminary, and FY 2012 figures 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 R&D obligations decreased 1.4% to $125.9 billion between FY 2009 and FY 2010, with ARRA funds providing $5.9 billion of the total (table 2). With all ARRA funds obligated by the end of FY 2010, R&D obligations were estimated to decrease 7.7% to $116.2 billion between FY 2010 and FY 2011. R&D obligations were projected to further decrease 2.7% to $113.1 billion between FY 2011 and FY 2012.
TABLE 2. Federal obligations for research and development, by agency in FY 2010 rank order: FYs 2008–12
Agency
2008
2009
2010
2011 preliminary
2012 projected
2008
2009
2010
2011 preliminary
2012 projected
Current $millions
Constant 2005 $millions
All agencies
127,106
141,093
140,355
132,141
130,952
116,686
127,686
125,856
116,199
113,065
ARRA
na
8,714
6,621
na
na
na
7,886
5,937
na
na
Non-ARRA
127,106
132,379
133,734
132,141
130,952
116,686
119,800
119,919
116,199
113,065
DOD
71,833
75,857
73,471
71,684
70,869
65,944
68,649
65,881
63,036
61,189
ARRA
na
184
120
na
na
na
167
108
na
na
Non-ARRA
71,833
75,672
73,351
71,684
70,869
65,944
68,481
65,774
63,036
61,189
HHS
29,553
35,584
35,935
31,574
32,073
27,130
32,203
32,223
27,765
27,692
ARRA
na
4,889
4,696
na
na
na
4,424
4,211
na
na
Non-ARRA
29,533
30,695
31,238
31,574
32,073
27,112
27,778
28,011
27,765
27,692
DOE
8,239
9,890
10,686
9,136
10,315
7,564
8,950
9,582
8,034
8,906
ARRA
na
1,393
1,217
na
na
na
1,261
1,091
na
na
Non-ARRA
8,239
8,496
9,469
9,136
10,315
7,564
7,689
8,491
8,034
8,906
NASA
5,827
5,937
7,121
6,570
3,586
5,349
5,373
6,385
5,777
3,096
ARRA
na
315
385
na
na
na
285
345
na
na
Non-ARRA
5,827
5,622
6,736
6,570
3,586
5,349
5,088
6,040
5,777
3,096
NSF
4,135
6,096
5,016
4,924
5,663
3,796
5,517
4,498
4,330
4,889
ARRA
na
1,808
38
na
na
na
1,636
34
na
na
Non-ARRA
4,135
4,288
4,977
4,924
5,663
3,796
3,881
4,463
4,330
4,889
USDA
2,202
2,270
2,364
2,591
2,378
2,021
2,054
2,120
2,278
2,053
ARRA
na
0
0
na
na
na
0
0
na
na
Non-ARRA
2,202
2,270
2,364
2,591
2,378
2,021
2,054
2,120
2,278
2,053
Other
5,316
5,460
5,762
5,660
6,069
4,880
4,941
5,167
4,977
5,240
ARRA
na
125
164
na
na
na
113
147
na
na
Non-ARRA
5,316
5,335
5,598
5,660
6,069
4,880
4,828
5,020
4,977
5,240
na = not applicable.
ARRA = American Recovery and Reinvestment Act of 2009; DOD = Department of Defense; DOE = Department of Energy; HHS = Department of Health and Human Services; NASA = National Aeronautics and Space Administration; NSF = National Science Foundation; USDA = U.S. Department of Agriculture.
NOTES: Gross domestic product implicit price deflators for 2005 were used to convert current to constant dollars. Detail may not sum to total due to rounding.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for Research and Development, FYs 2010–12.
In FY 2010, six federal departments and agencies accounted for 95.9% of FY 2010 total federal R&D dollars: the Department of Defense (DOD) (52.3% of total R&D obligations), the Department of Health and Human Services (HHS) (25.6%), the Department of Energy (DOE) (7.6%), the National Aeronautics and Space Administration (NASA) (5.1%), the National Science Foundation (NSF) (3.6%), and the Department of Agriculture (USDA) (1.7%) (table 2).
Federal Funding for Research
Total federal research obligations decreased 0.9% to $57.1 billion between FY 2009 and FY 2010, with ARRA funds providing $5.1 billion of the total (table 3). With all ARRA funds obligated by the end of FY 2010, research obligations were estimated to decrease 10.5% to $51.1 billion between FY 2010 and FY 2011. Research obligations were projected to increase 2.5% to $52.4 billion between FY 2011 and FY 2012.
TABLE 3. Federal obligations for research, by agency in FY 2010 rank order: FYs 2008–12
Agency
2008
2009
2010
2011 preliminary
2012 projected
2008
2009
2010
2011 preliminary
2012 projected
Current $millions
Constant 2005 $millions
All agencies
53,894
63,694
63,728
58,167
60,712
49,476
57,643
57,145
51,149
52,419
ARRA
na
7,727
5,702
na
na
na
6,993
5,113
na
na
Non-ARRA
53,894
55,968
58,026
58,167
60,712
49,476
50,650
52,032
51,149
52,419
HHS
29,459
35,490
35,797
31,440
31,980
27,044
32,118
32,099
27,647
27,612
ARRA
na
4,888
4,694
na
na
na
4,424
4,209
na
na
Non-ARRA
29,459
30,601
31,104
31,440
31,980
27,044
27,693
27,891
27,647
27,612
DOE
6,100
7,188
7,598
6,771
7,854
5,600
6,505
6,813
5,954
6,781
ARRA
na
843
652
na
na
na
763
585
na
na
Non-ARRA
6,100
6,346
6,946
6,771
7,854
5,600
5,743
6,228
5,954
6,781
DOD
6,581
6,792
7,065
6,578
6,680
6,041
6,147
6,335
5,784
5,768
ARRA
na
38
45
na
na
na
34
40
na
na
Non-ARRA
6,581
6,754
7,021
6,578
6,680
6,041
6,112
6,296
5,784
5,768
NSF
4,135
6,095
5,016
4,924
5,663
3,796
5,516
4,498
4,330
4,889
ARRA
na
1,808
38
na
na
na
1,636
34
na
na
Non-ARRA
4,135
4,288
4,977
4,924
5,663
3,796
3,881
4,463
4,330
4,889
USDA
2,020
2,078
2,141
2,372
2,169
1,854
1,881
1,920
2,086
1,873
ARRA
na
0
0
na
na
na
0
0
na
na
Non-ARRA
2,020
2,078
2,141
2,372
2,169
1,854
1,881
1,920
2,086
1,873
NASA
1,406
1,703
1,503
1,575
1,637
1,291
1,541
1,348
1,385
1,413
ARRA
na
25
110
na
na
na
23
99
na
na
Non-ARRA
1,406
1,678
1,393
1,575
1,637
1,291
1,519
1,249
1,385
1,413
Other
4,194
4,347
4,607
4,506
4,731
3,850
3,934
4,131
3,962
4,085
ARRA
na
124
163
na
na
na
112
146
na
na
Non-ARRA
4,194
4,223
4,444
4,506
4,731
3,850
3,822
3,985
3,962
4,085
na = not applicable.
ARRA = American Recovery and Reinvestment Act of 2009; DOD = Department of Defense; DOE = Department of Energy; HHS = Department of Health and Human Services; NASA = National Aeronautics and Space Administration; NSF = National Science Foundation; USDA = U.S. Department of Agriculture.
NOTES: Gross domestic product implicit price deflators for 2005 were used to convert current to constant dollars. Detail may not sum to total due to rounding.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for Research and Development, FYs 2010–12.
HHS (56.2% of total research obligations), DOE (11.9%), DOD (10.7%), NSF (7.9%), USDA (3.4%), and NASA (2.4%) accounted for 92.3% of FY 2010 total federal research dollars (table 3).
Basic Research
Basic research obligations decreased 4.2% to $28.5 billion from FY 2009 to FY 2010, with ARRA funds accounting for $2.4 billion of basic research funding (table 1). With all ARRA funds obligated by the end of FY 2010, basic research obligations were estimated to decrease 10.4% between FY 2010 and FY 2011 to $25.6 billion. Between FY 2011 and 2012 basic research obligations were projected to increase 3.6% to $26.5 billion. Basic research obligations accounted for 21.6% of total R&D and R&D plant in FY 2010.
Applied Research
Federal obligations for applied research increased 2.7% between FY 2009 and FY 2010, with ARRA accounting for $2.7 billion of the $28.6 billion dollar total (table 1). With all remaining ARRA funds obligated by the end of FY 2010, applied research obligations were estimated to decrease between FY 2010 and FY 2011 by 10.6% to $25.6 billion. Applied research is projected to increase 1.4% between FY 2011 and FY 2012 to $25.9 billion. Applied research obligations accounted for 21.7% of total R&D and R&D plant in FY 2010.
Performers of Research and Development
The distribution of ARRA R&D funds differs from the distribution of total R&D funds. Whereas in FY 2010 industry received 42.7% of total R&D obligations, industry received just 14.8% of ARRA obligations (table 4). Universities and colleges were obligated 22.2% of total R&D funds but received about half of ARRA funds. Other nonprofit institutions' (other than educational institutions) ARRA share (14.8%) was three times their share (5.2%) of total R&D funding. Intramural (agencies of the federal government) and federally funded research and development centers (FFRDCs) received 22.0% and 7.2%, respectively, of total R&D funding, and 10.8% and 8.9%, respectively, of ARRA funds.
TABLE 4. Federal obligations for research and development, by performer: FYs 2010–12
(Current dollars in millions)
2010
2011 preliminary
2012 projected
Performer
ARRA
Non-ARRA
All performers
6,621
133,724
132,141
130,952
Intramural
718
30,194
32,066
29,691
Industry
979
58,889
54,782
55,080
Industry-administered FFRDCs
165
3,781
3,946
4,034
Universities and colleges
3,343
27,849
27,803
28,708
University-administered FFRDCs
184
3,186
3,239
3,117
Other nonprofit institutions
978
6,267
6,307
6,335
Nonprofit-administered FFRDCs
238
2,546
3,103
3,086
State and local governments
16
411
401
398
Foreign
na
610
494
504
na = not applicable.
ARRA = American Recovery and Reinvestment Act of 2009; FFRDC = federally funded research and development center.
NOTE: Detail may not sum to total due to rounding.
SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Funds for Research and Development, FYs 2010–12.
ARRA provided $6.6 billion (current dollars) in obligations for R&D performance in FY 2010, down 24.0% from the $8.7 billion provided in FY 2009 (these totals do not include R&D plant obligations). ARRA funds made up 4.7% of all R&D obligations to performers in FY 2010.
Data Notes
The data presented here are from the NSF Survey of Federal Funds for Research and Development for FYs 2010–12. Actual data are reported for FY 2010, data for FY 2011 are preliminary, and data for FY 2012 are projected. 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://www.nsf.gov/statistics/nsf12318/.
The 27 federal agencies that report R&D obligations to the survey submitted actual obligations for FY 2010, preliminary data for FY 2011, and projected data for FY 2012. Data were requested from agencies beginning in mid April 2011. 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.
The full set of detailed tables from this survey will be available in the report Federal Funds for Research and Development: Fiscal Years 2010, 2011, and 2012 at http://www.nsf.gov/statistics/fedfunds/. Individual detailed tables from the FY 2010–12 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, NSF, 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.
National Science Foundation, National Center for Science and Engineering Statistics Federal Research and Development and R&D Plant Obligations Show Modest Growth in FY 2010
Arlington, VA (NSF 13-317) [March 2013]