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Federal Science and Engineering Obligations to Universities and Colleges Drop by 11% in FY 2011

NSF 14-309 | March 2014| PDF format. PDF  
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by Michael Yamaner [1]

In FY 2011, federal agencies obligated $31.4 billion to 1,134 academic institutions for science and engineering activities. The 11.0% decrease in current dollars from FY 2010 federal obligations ($35.3 billion to 1,219 academic institutions) reflects the absence of American Recovery and Reinvestment Act of 2009 (ARRA) stimulus funds in FY 2011. The last ARRA funds were obligated in FY 2010 and accounted for $5.1 billion (14.5%) of FY 2010 science and engineering (S&E) obligations to academic institutions. If ARRA obligations are excluded from FY 2010 totals, FY 2011 S&E obligations to academic institutions increased $1.2 billion (4.1%) (table 1). These statistics are from the National Science Foundation’s (NSF’s) National Center for Science and Engineering Statistics Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions.

TABLE 1. Federal academic science and engineering obligations, by activity: FYs 2007–11
All federal obligations Research and development R&D plant Facilities and
equipment for
instruction in
S&E
Fellowship's
traineeship's and
training grants
General support
for S&E
Other S&E
activities
Fiscal year ARRA Non-
ARRA
ARRA Non-
ARRA
ARRA Non-
ARRA
ARRA Non-
ARRA
ARRA Non-
ARRA
ARRA Non-
ARRA
ARRA Non-
ARRA
Current $millions
2007 na 28,182 na 24,998 na 279 na 13 na 1,101 na 222 na 1,569
2008 na 28,389 na 25,489 na 275 na 4 na 916 na 300 na 1,405
2009 5,886 29,601 5,201 26,578 404 386 0 5 41 925 45 197 194 1,509
2010 5,138 30,190 3,578 27,055 1,194 467 0 6 32 1,103 212 142 121 1,417
2011 na 31,427 na 27,939 na 323 na 4 na 1,013 na 208 na 1,941
Constant FY 2005 $millions
2007 na 26,472 na 23,481 na 262 na 12 na 1,034 na 209 na 1,474
2008 na 26,062 na 23,399 na 252 na 4 na 841 na 275 na 1,290
2009 5,327 26,788 4,707 24,052 366 349 0 5 37 837 41 178 176 1,366
2010 4,607 27,071 3,208 24,260 1,071 419 0 5 29 989 190 127 109 1,271
2011 na 27,635 na 24,568 na 284 na 4 na 891 na 183 na 1,707

na = not applicable.

ARRA = American Recovery and Reinvestment Act of 2009; S&E = science and engineering.

NOTES: Gross domestic product implicit price deflators 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 Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions.

Table 1 Source Data: Excel file

After adjustment for inflation, federal S&E obligations to academic institutions declined by $0.4 billion (1.4%) from FY 2009 to FY 2010, and by $4.0 billion (12.8%) between FYs 2010 and 2011. Excluding the funding provided by ARRA, federal support for S&E to academic institutions increased by $0.6 billion (2.1%) from FY 2010 to FY 2011 (table 1). For the remainder of this InfoBrief, changes in funding across years are in inflation-adjusted dollars unless noted.

Categories of Academic S&E Support

Federal academic S&E obligations include six categories: research and development (87%–90% of total federal academic S&E obligations annually over the past 5 years); R&D plant; facilities and equipment for instruction in S&E; fellowships, traineeships, and training grants; general support for S&E; and other S&E activities (table 1).

Federal academic R&D obligations decreased by $2.9 billion (10.6%) between FYs 2010 and 2011 because all remaining ARRA funds had been obligated by the end of FY 2010. Excluding ARRA funding, federal academic R&D obligations showed a 1.3% increase over FY 2010. Four of the five remaining categories showed decreased funding in FY 2011; R&D plant experienced the second-largest decrease in dollar amounts ($1.2 billion, or 81.0%). This decrease was primarily due to the absence of ARRA funds, which had provided 71.9% of R&D plant obligations in FY 2010 (table 1).

The only S&E category with a rise in funding level was other S&E activities, which increased by $0.3 billion (23.7%) in FY 2011, despite having ARRA funding in FY 2010 (table 1). This increase was primarily driven by increased funding from the Department of Defense (DOD).

Agency Sources for Academic S&E Support

Collectively, the Department of Health and Human Services (HHS), NSF, and DOD provided 86.4% of all federally funded academic S&E obligations in FY 2011. Of these agencies, HHS accounted for 57.7% of all federally funded obligations; NSF, 16.3%; and DOD, 12.5%. The Department of Agriculture (USDA), Department of Energy, and National Aeronautics and Space Administration (NASA) provided most of the remaining academic S&E total (10.2%). Two of the six agencies (DOD and USDA) showed increased federal academic S&E obligations in FY 2011. DOD and USDA reported no academic S&E ARRA obligations in either FY 2010 or FY 2011 (table 2).

TABLE 2. Federal academic science and engineering obligations, by agency in FY 2011 rank order: FYs 2007–11
All agencies HHS NSF DOD USDA DOE NASA Other agenciesa
Fiscal year ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA ARRA Non- ARRA
Current $millions
2007 na 28,182 na 17,527 na 4,210 na 2,820 na 1,253 na 814 na 553 na 1,005
2008 na 28,389 na 17,263 na 4,404 na 2,823 na 1,252 na 1,089 na 673 na 883
2009 5,886 29,601 3,173 17,528 2,132 4,697 5 3,174 0 1,307 504 1,172 11 720 60 1,002
2010 5,138 30,190 4,087 17,211 417 4,949 0 3,553 0 1,389 330 1,404 14 615 289 1,071
2011 na 31,427 na 18,130 na 5,113 na 3,923 na 1,450 na 1,160 na 593 na 1,059
Constant FY 2005 $millions
2007 na 26,472 na 16,463 na 3,955 na 2,649 na 1,177 na 765 na 519 na 944
2008 na 26,062 na 15,848 na 4,043 na 2,592 na 1,149 na 1,000 na 618 na 811
2009 5,327 26,788 2,871 15,862 1,929 4,251 5 2,872 0 1,183 456 1,061 10 652 54 907
2010 4,607 27,071 3,665 15,433 374 4,438 0 3,186 0 1,246 296 1,259 13 551 259 960
2011 na 27,635 na 15,943 na 4,496 na 3,450 na 1,275 na 1,020 na 521 na 931

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 = Department of Agriculture.

a Includes data for the Departments of Commerce, Education, Homeland Security, Housing and Urban Development, the Interior, Labor, and Transportation; the Agency for International Development; the Environmental Protection Agency; the Appalachian Regional Commission; the Nuclear Regulatory Commission; the Office of Justice Programs (part of the Department of Justice); and the Social Security Administration.

NOTE: Detail may not sum to total due to rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions.

Table 2 Source Data: Excel file

University Shares of Academic S&E Support

The Johns Hopkins University (including its Applied Physics Laboratory) continued to be the leading academic recipient of federal S&E obligations: $1.7 billion in FY 2011. Together, HHS and DOD provided Johns Hopkins with 90.8% of its federal S&E funds. The leading 20 universities, ranked in terms of federal academic S&E obligations, accounted for 36.2% of the FY 2011 federal total. Of these universities, 19 were also ranked among the top 20 recipients in FY 2010. In FY 2011, Cornell University moved from 21st to 20th, exchanging places with Vanderbilt University, Harvard University’s rank fell from 8th to 12th, and the University of Minnesota’s (all campuses) rank rose from 17th to 7th (table 3).

TABLE 3. Federal academic science and engineering obligations to the 20 universities receiving the largest amounts, by agency: FY 2011
(Millions of current U.S. dollars)
Academic institution All federal
obligations
HHS NSF DOD USDA DOE NASA Other
agenciesa
All academic institutions 31,427.1 18,129.6 5,113.0 3,922.7 1,450.0 1,159.9 592.6 1,059.2
Top 20 academic institutions 11,378.2 7,543.4 1,180.8 1,650.0 173.4 316.3 227.3 287.0
Johns Hopkins U. b 1,672.2 679.7 36.8 839.3 0.0 4.5 93.1 18.7
U. WA 694.7 475.6 80.7 55.6 19.3 20.6 9.2 33.7
U. MI 694.7 471.5 80.1 49.5 5.6 36.3 10.4 41.1
U. CA, San Diego 583.2 398.4 82.3 61.4 0.6 17.5 5.0 17.9
U. CA, San Francisco 560.3 537.8 1.5 18.5 0.0 0.7 0.9 0.9
U. PA 551.5 480.4 32.8 26.5 0.2 7.3 1.7 2.7
U. MN 539.5 273.1 144.9 29.0 33.6 10.6 2.7 45.6
PA State U. 524.8 110.1 53.3 259.0 35.6 45.9 6.8 14.1
U. CA, Los Angeles 521.3 380.2 69.5 36.5 0.0 22.2 10.8 2.0
Stanford U. 502.5 347.4 54.4 65.3 0.1 23.3 9.9 2.0
U. Pittsburgh 494.3 437.1 21.8 26.1 0.0 3.7 0.4 5.1
Harvard U. 485.6 393.7 39.4 31.9 0.0 8.5 6.7 5.3
U. WI, Madison 479.6 267.7 87.1 16.6 33.2 51.4 7.9 15.7
Columbia U. in the City of New York 479.1 350.7 77.4 15.6 0.0 10.3 9.5 15.6
Duke U. 457.1 368.3 46.8 25.2 0.8 9.8 1.6 4.5
Yale U. 449.6 387.3 29.1 21.6 0.3 9.5 1.7 0.1
U. NC, Chapel Hill 448.8 386.7 36.0 10.3 0.6 3.7 0.0 11.5
U. CO 443.4 239.3 72.9 37.5 0.8 10.1 39.4 43.4
Washington U., St. Louis 408.9 375.6 12.4 6.5 0.1 8.7 5.5 0.1
Cornell U. 387.1 182.6 121.4 18.1 42.4 11.7 4.0 6.9
All other academic institutions 20,049.0 10,586.2 3,932.2 2,272.7 1,276.6 843.6 365.3 772.3

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 = Department of Agriculture.

aIncludes data for the Departments of Commerce, Education, Homeland Security, Housing and Urban Development, the Interior, and Transportation; the Agency for International Development; the Environmental Protection Agency; the Nuclear Regulatory Commission; the Office of Justice Programs (part of the Department of Justice); and the Social Security Administration.
b Includes funding for the Applied Physics Laboratory.

NOTE: Detail may not sum to total due to rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions, FY 2011.

Table 3 Source Data: Excel file

Federal S&E Support to Nonprofit Institutions

NSF collects statistics on federal obligations to independent nonprofit institutions for two of the six S&E categories: R&D and R&D plant. During FY 2011, federal agencies obligated $7.3 billion to 1,088 nonprofit institutions, a decrease of 17.8% from the $8.8 billion reported in FY 2010 (current dollars). HHS accounted for $0.8 billion (51.0%) of the decrease. ARRA funds accounted for $5.9 billion, or 66.8%, of the FY 2010 total. The MITRE Corporation received the most federal R&D and R&D plant funds ($458 million) among nonprofits in FY 2011, with DOD providing 99.9% of this funding (table 4)

TABLE 4. Federal R&D and R&D plant obligations to the 10 independent nonprofit institutions receiving the largest amounts, by agency: FY 2011
(Thousands of current U.S. dollars)
Nonprofit institution All federal
obligations
HHS DOD NSF NASA DOE Other
agenciesa
All nonprofit institutions 7,260,474.5 4,513,232.9 1,736,866.4 338,556.0 200,604.5 130,077.6 341,137.1
Top 10 nonprofit institutions 2,526,715.0 1,371,556.5 1,118,276.0 12,943.8 0.0 21,138.7 2,800.2
MITRE Corp. 458,466.6 88.8 458,190.5 0.0 0.0 0.0 187.3
MA General Hospital 345,971.4 342,069.9 3,151.7 749.8 0.0 0.0 0.0
Brigham and Women's Hospital 286,955.6 285,781.7 1,164.1 9.8 0.0 0.0 0.0
Battelle Memorial Institute 281,048.5 43,704.7 214,947.2 0.0 0.0 20,235.1 2,161.6
Fred Hutchinson Cancer Research Ctr. 262,061.9 261,855.4 5.0 201.6 0.0 0.0 0.0
SRI International 214,452.5 45,341.6 156,968.5 11,238.8 0.0 903.6 0.0
Mayo Foundation for Medical Education and Research 214,388.7 212,826.8 1,110.6 0.0 0.0 0.0 451.3
Henry M. Jackson Foundation for the Advancement of Military Medicine 183,418.7 41,576.4 141,098.5 743.8 0.0 0.0 0.0
IIT Research Institute 150,628.2 10,463.9 140,164.3 0.0 0.0 0.0 0.0
Dana-Farber Cancer Institute 129,322.9 127,847.3 1,475.6 0.0 0.0 0.0 0.0
All other nonprofit institutions 4,733,759.5 3,141,676.4 618,590.4 325,612.2 200,604.5 108,938.9 338,336.9

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.

aIncludes data for the Departments of Agriculture, Commerce, Education, Homeland Security, Housing and Urban Development, the Interior, Labor, and Transportation; the Agency for International Development; the Environmental Protection Agency; the Nuclear Regulatory Commission; the Office of Justice Programs (part of the Department of Justice); and the Social Security Administration.

NOTE: Detail may not sum to total due to rounding.

SOURCE: National Science Foundation, National Center for Science and Engineering Statistics, Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions, FY 2011.

Table 4 Source Data: Excel file

In FY 2011, the 10 leading nonprofit institutions in terms of federal obligations received 34.8% of the total funding to all nonprofits. Six of these recipients were hospitals or medical research institutes. Eight of these leading 10 nonprofits also ranked among the top 10 in FY 2010. The Dana-Farber Cancer Institute (ranked 11th in FY 2010 and 10th in FY 2011) and the Henry M. Jackson Foundation for the Advancement of Military Medicine (ranked 13th in FY 2010 and 8th in FY 2011) moved into the top 10, and Research Triangle International (ranked 5th in FY 2010 and 15th in FY 2011) and the Association of Universities for Research in Astronomy (ranked 6th in FY 2010 and 42nd in FY 2011) fell out of the top 10 (table 4).

Data Sources, Definitions, and Availability

Gross domestic product implicit price deflators were used to convert current to constant FY 2005 dollars in this InfoBrief. The data on federal S&E obligations to academic and nonprofit institutions presented here were obtained from 19 agencies that responded to both the FY 2010 and FY 2011 Surveys of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions. The survey collects federal S&E support data by funding agency, institution, type of activity, type of institution, and geographic location.

The six funding categories of federal S&E support are defined as follows:

  • R&D includes all direct, indirect, incidental, or related costs resulting from or necessary to perform R&D by private individuals and organizations under grant, contract, or cooperative agreement.
  • R&D plant includes all projects whose principal purpose is to provide support for construction; acquisition; renovation; modification; repair; or rental of facilities, land, works, or fixed equipment for use in scientific or engineering R&D.
  • Facilities and equipment for S&E instruction includes all programs whose principal purpose is to provide support for construction; acquisition; renovation; modification; repair; or rental of facilities, land, works, or equipment for use in S&E instruction.
  • Fellowships, traineeships, and training grants includes all fellowship, traineeship, and training grant programs that are directed primarily toward the development and maintenance of the scientific workforce.
  • General support for S&E includes funds used for scientific projects and support for activities within a specified discipline; their explicit purpose is not specified.
  • Other S&E activities includes all academic S&E obligations that cannot be assigned elsewhere and activities in support of technical conferences, teacher institutes, and programs aimed at increasing precollege and undergraduate students’ scientific knowledge.

The full set of detailed statistical tables from the FY 2010 and FY 2011 Surveys of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions will be available online at http://nsf.gov/statistics/fedsupport/. Individual tables 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 Science and Engineering Obligations to Universities and Colleges Drop by 11% in FY 2011
Arlington, VA (NSF 14-309) [March 2014]


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