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Federal Research and Development and R&D Plant Obligations Show Modest Growth in FY 2010

NSF 13-317 | March 2013 | PDF format. PDF  
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by Michael Yamaner[1]

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.

Table 1 Source Data: Excel file

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.

Table 2 Source Data: Excel file

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.

Table 3 Source Data: Excel file

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.

Table 4 Source Data: Excel file

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]


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