FY 2009 Department of Defense R&D data are underreported by $7.7 billion in this report. Air Force underreported data for major systems development by a considerable amount and slightly overreported data for basic research, applied research, and advanced technology development. Air Force has since corrected these data. Revised FY 2009 data will be available in the forthcoming data-release InfoBrief for volume 60 (FY 2010–12) of the Federal Funds series of detailed statistical tables. Revised FY 2009 data will also be available in the forthcoming update of Science and Engineering State Profiles.
Funding provided by the American Recovery and Reinvestment Act of 2009 (ARRA) increased current-dollar federal obligations for research and development and R&D plant (facilities and fixed equipment) by $10.1 billion in FY 2009 and an estimated $9.1 billion in FY 2010.[2] ARRA funding accounted for 7.4% of the $137 billion total obligated in FY 2009 by federal agencies for R&D and R&D plant and for an estimated 6.5% of the FY 2010 total (table 1).
TABLE 1. Federal obligations for research and development and R&D plant, by character of work: FY 2007–11
Character of work
2007
2008
2009
2010 preliminary
2011 projected
2007
2008
2009
2010 preliminary
2011 projected
Current $millions
Constant 2005 $millions
All R&D and R&D plant
129,431
129,050
136,997
140,496
130,241
121,486
118,416
124,058
126,266
115,513
ARRA
na
na
10,082
9,146
na
na
na
9,130
8,220
na
Non-ARRA
129,431
r
129,050
126,915
131,350
130,241
121,486
118,416
114,928
118,046
115,513
Research
54,094
53,894
63,709
65,250
60,372
50,773
49,453
57,692
58,641
53,545
ARRA
na
na
7,727
6,776
na
na
na
6,997
6,090
na
Non-ARRA
54,094
53,894
55,982
58,474
60,372
50,773
49,453
50,695
52,551
53,545
Basic
26,866
27,154
32,878
32,052
30,083
25,217
24,916
29,773
28,805
26,681
ARRA
na
na
5,116
3,244
na
na
na
4,633
2,915
na
Non-ARRA
26,866
27,154
27,762
28,808
30,083
25,217
24,916
25,140
25,890
26,681
Applied
27,228
26,740
30,831
33,198
30,289
25,557
24,537
27,919
29,835
26,864
ARRA
na
na
2,611
3,532
na
na
na
2,364
3,174
na
Non-ARRA
27,228
26,740
28,220
29,666
30,289
25,557
24,537
25,555
26,661
26,864
Development
73,169
73,212
69,640
71,176
67,414
68,677
67,179
63,063
63,967
59,791
ARRA
na
na
987
866
na
na
na
894
778
na
Non-ARRA
73,169
r
73,212
68,653
70,310
67,414
68,677
67,179
62,169
63,189
59,791
R&D plant
2,168
1,944
3,648
4,070
2,455
2,035
1,784
3,304
3,658
2,177
ARRA
na
na
1,368
1,504
na
na
na
1,239
1,352
na
Non-ARRA
2,168
1,944
2,280
2,566
2,455
2,035
1,784
2,065
2,306
2,177
na = not applicable. r = data significantly revised; replaces previously published data.
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: FY 2009–11.
Following a $3.1 billion (2.5%) decrease between FY 2007 and FY 2008, total inflation-adjusted (constant dollars) federal obligations for R&D and R&D plant rose to $124.1 billion (4.8%) between FY 2008 and FY 2009 (changes in funding across years are in constant dollars unless stated otherwise). If it were not for the funding provided by ARRA, federal R&D and R&D plant would have fallen 2.9% in FY 2009. ARRA funding and a rise in non-ARRA funding were estimated to increase R&D and R&D plant obligations to $126.3 billion (constant dollars) (1.8%) between FY 2009 and FY 2010. With remaining ARRA funds having been obligated by the end of FY 2010 and a projected decrease in non-ARRA-funded obligations, R&D and R&D plant would drop 8.5% between FY 2010 and FY 2011 (table 1).
The data presented here are from the National Science Foundation (NSF) Survey of Federal Funds for Research and Development: FY 2009–11. The data reported are actual for FY 2009, preliminary for FY 2010, and projected for FY 2011.
Federal Funding for Research
ARRA funds provided an additional $7.7 billion (current dollars) in total federal research obligations for FY 2009 and added an estimated $6.8 billion (current dollars) in FY 2010. ARRA funds accounted for most of the 16.7% rise between FY 2008 and FY 2009. In constant dollars, research obligations were estimated to increase to $58.6 billion (1.6%) between FY 2009 and FY 2010, and with all the remaining ARRA funding obligated by the end of FY 2010 were projected to decrease to $53.5 billion (8.7%) between FY 2010 and FY 2011.
The Department of Health and Human Services (HHS) (55.7% of total research obligations and 63.3% of ARRA research obligations), the Department of Energy (DOE) (11.3% and 10.9%), the Department of Defense (DOD) (10.7% and 0.5%), and the National Science Foundation (NSF) (9.6% and 23.4%) funded the most research in FY 2009. Together, these four agencies accounted for 87.2% of the FY 2009 total in federal research dollars and 98.1% of ARRA-funded research dollars (table 2).
TABLE 2. Federal obligations for research, by agency in FY 2009 rank order: FY 2007–11
Agency
2007
2008
2009
2010 preliminary
2011 projected
2007
2008
2009
2010 preliminary
2011 projected
Current $millions
Constant 2005 $millions
All agencies
54,094
53,894
63,709
65,250
60,372
50,773
49,453
57,692
58,641
53,545
ARRA
na
na
7,727
6,776
na
na
na
6,997
6,090
na
Non-ARRA
54,094
53,894
55,982
58,474
60,372
50,773
49,453
50,695
52,551
53,545
HHS
29,211
29,459
35,489
37,109
32,559
27,418
27,032
32,137
33,351
28,877
ARRA
na
na
4,888
5,720
na
na
na
4,426
5,141
na
Non-ARRA
29,211
29,459
30,601
31,389
32,559
27,418
27,032
27,711
28,210
28,877
DOE
5,857
6,100
7,189
7,609
7,478
5,497
5,597
6,510
6,839
6,632
ARRA
na
na
843
665
na
na
na
763
598
na
Non-ARRA
5,857
6,100
6,346
6,944
7,478
5,497
5,597
5,747
6,241
6,632
DOD
6,394
6,581
6,806
6,905
6,364
6,002
6,039
6,163
6,206
5,644
ARRA
na
na
38
43
na
na
na
34
39
na
Non-ARRA
6,394
6,581
6,768
6,862
6,364
6,002
6,039
6,129
6,167
5,644
NSF
3,970
4,135
6,096
4,711
5,104
3,726
3,794
5,520
4,234
4,527
ARRA
na
na
1,808
38
na
na
na
1,637
34
na
Non-ARRA
3,970
4,135
4,288
4,673
5,104
3,726
3,794
3,883
4,200
4,527
USDA
2,068
2,020
2,078
2,436
2,387
1,941
1,854
1,882
2,189
2,117
ARRA
na
na
0
0
na
na
na
0
0
na
Non-ARRA
2,068
2,020
2,078
2,436
2,387
1,941
1,854
1,882
2,189
2,117
NASA
2,132
1,406
1,703
1,700
1,753
2,001
1,290
1,543
1,527
1,555
ARRA
na
na
25
125
na
na
na
23
112
na
Non-ARRA
2,132
1,406
1,678
1,575
1,753
2,001
1,290
1,520
1,415
1,555
Other
4,463
4,194
4,347
4,780
4,728
4,189
3,848
3,936
4,296
4,193
ARRA
na
na
124
185
na
na
na
112
166
na
Non-ARRA
4,463
4,194
4,223
4,595
4,728
4,189
3,848
3,824
4,130
4,193
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: FY 2009–11.
Basic research obligations increased 19.5% to $29.8 billion from FY 2008 to FY 2009, with ARRA funds accounting for $4.6 billion. Between FY 2009 and FY 2010 basic research obligations were estimated to decrease 3.2% to $28.8 billion, with ARRA funds accounting for $2.9 billion. With all remaining ARRA funds obligated by the end of FY 2010, FY 2011 basic research obligations were projected to decrease 7.4% to $26.7 billion. Basic research obligations accounted for 24.0% of total R&D and R&D plant in FY 2009 and an estimated 23.0% in FY 2010 and FY 2011 (table 1).
Applied Research
Federal obligations for applied research increased 13.8% between FY 2008 and FY 2009, with ARRA accounting for $2.4 billion of the $27.9 billion total. Between FY 2009 and FY 2010 applied research obligations were estimated to increase by 6.9%, with ARRA accounting for $3.2 billion of the $29.8 billion total. Applied research was projected to decrease 10% between FY 2010 and FY 2011 to $26.9 billion (table 1).
Performers of Research and Development
ARRA provided $8.7 billion (current dollars) in obligations for R&D performance in FY 2009 and an estimated $7.6 billion in FY 2010 (these totals exclude R&D plant obligations). ARRA funds made up 6.5% of all R&D obligations to performers in FY 2009 and accounted for an estimated 5.6% in FY 2010.
In FY 2009 industry received 40% of total R&D obligations and 8.0% of ARRA obligations; universities and colleges received, respectively, 23.7% and 58.9%; intramural (agencies of the federal government) 22.8% and 14.7%; federally funded research and development centers (FFRDCs) 7.5% and 7.1%; and other nonprofit institutions (other than educational institutions) 5.3% and 10.9% (table 3).
TABLE 3. Federal obligations for research and development, by performer: FY 2009–11 (Current dollars in millions)
2009
2010 preliminary
2011
projected
Performer
ARRA
Non-ARRA
ARRA
Non-ARRA
All performers
8,714
124,635
7,643
128,784
127,787
Intramural
1,284
29,158
1,335
30,943
32,224
Industry
695
52,609
950
53,208
49,949
Industry FFRDCs
71
3,984
113
4,113
4,061
Universities and colleges
5,129
26,434
3,786
27,392
28,373
University FFRDCs
246
3,117
192
3,356
3,456
Other nonprofit institutions
952
6,096
1,005
6,384
6,392
Nonprofit FFRDCs
308
2,280
240
2,485
2,482
State and local governments
29
361
23
372
366
Foreign
na
597
na
530
485
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: FY 2009–11.
Twenty-seven federal agencies report R&D obligations to the NSF Survey of Federal Funds for Research and Development. Data were requested from agencies beginning in early July 2010. 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 of research, development, and R&D plant as used in this InfoBrief are provided in the technical notes that accompany the full set of detailed tables from this survey. For the prior-year report, see http://www.nsf.gov/statistics/nsf10305/. The full set of detailed tables from the current survey will be available in the report Federal Funds for Research and Development: Fiscal Years 2009, 2010, and 2011 at http://www.nsf.gov/statistics/fedfunds/. Individual detailed tables from the FY 2009–11 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).
[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 ARRA Increased Federal Research and Development and R&D Plant Obligations by $19.2 Billion for FY 2009–10
Arlington, VA (NSF 12-314) [April 2012]