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ARRA Provided $5.9 Billion in Federal Science and Engineering Obligations to Universities and Colleges in FY 2009

NSF 12-320 | June 2012 | PDF format. PDF  
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by Michael Yamaner[1]

Funding provided by the American Recovery and Reinvestment Act of 2009 (ARRA) increased current-dollar federal obligations to academic institutions for science and engineering (S&E) activities by $5.9 billion in FY 2009. ARRA funding accounted for 16.2% of the $36.2 billion obligated to 1,447 academic institutions. This total represents a 27.2% increase in current dollars over FY 2008.

Total inflation-adjusted (or constant) federal obligations rose to $32.8 billion between FY 2008 and FY 2009. Excluding the funding provided by ARRA, federal support for science and engineering to academic institutions increased by $1.4 billion (5.2%) over the same time period. This is the only constant-dollar increase in obligations between FY 2005 and FY 2009 (table 1).

TABLE 1. Federal academic S&E obligations, by activity: FY 2005–09
All federal obligations Research and development R&D plant Facilities and equipment for instruction in S&E Fellowships, traineeships, 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
2005 na 28,042 na 24,684 na 422 na 40 na 1,046 na 389 na 1,462
2006 na 28,265 na 24,992 na 309 na 17 na 1,037 na 323 na 1,588
2007 na 28,182 na 24,998 na 279 na 13 na 1,101 na 222 na 1,569
2008 na 28,425 na 25,482 na 275 na 4 na 862 na 300 na 1,502
2009 5,868 30,300 5,201 27,221 404 386 0 5 22 873 45 197 194 1,618
Constant 2005 $millions
2005 na 28,042 na 24,684 na 422 na 40 na 1,046 na 389 na 1,462
2006 na 27,330 na 24,166 na 299 na 16 na 1,003 na 312 na 1,535
2007 na 26,452 na 23,463 na 262 na 12 na 1,033 na 208 na 1,473
2008 na 26,083 na 23,382 na 252 na 4 na 791 na 275 na 1,378
2009 5,314 27,438 4,710 24,650 366 350 0 5 20 791 41 178 176 1,465

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

These data are the most recent statistics from the National Science Foundation (NSF) Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions.

Categories of Academic S&E Support

Federal academic S&E obligations include six categories: research and development (88%–90% annually of total federal academic S&E obligations over the past 5 years); R&D plant; facilities and equipment for instruction in S&E; fellowships, traineeships, and training grants (FTTGs); general support for S&E; and other S&E activities (table 1).

Federal academic R&D obligations reached $32.4 billion in FY 2009 with $5.2 billion coming from ARRA funds, a 27.2% current-dollar increase (25.6% in constant dollars) over the prior year. Excluding ARRA funding, federal academic R&D obligations showed a 6.8% increase over FY 2008 in current dollars (5.4% in constant dollars). Federal obligations for general support for S&E fell by 19.3% in current dollars between FY 2008 and FY 2009 to $242 million (table 1).

Each of the four remaining S&E categories showed increased current-dollar funding levels in FY 2009 compared with FY 2008. The largest gain was $515 million (187.3%) in funding for R&D plant projects, of which most—$404 million (78.4%)—was from ARRA funds (table 1).

Agency Sources for Academic S&E Support

Collectively, the Department of Health and Human Services (HHS), NSF, and the Department of Defense (DOD) provided 86.5% of all federal and 90.2% of ARRA-funded academic S&E obligations in FY 2009. Of these agencies, HHS accounted for 58.8% of all federal and 53.8% of ARRA-funded obligations (current dollars); NSF, 18.9% of all federal and 36.3% of ARRA-funded obligations; and DOD, 8.8% of all federal and 0.1% of ARRA-funded obligations. The Department of Agriculture, Department of Energy, and the National Aeronautics and Space Administration provided most of the remaining academic S&E total (10.3% of all federal and 8.8% of ARRA-funded obligations). Even without the additional funds provided by ARRA, all six agencies showed increased constant-dollar levels for academic S&E in FY 2009 (table 2).

TABLE 2. Federal academic S&E obligations, by agency in FY 2009 rank order: FY 2005–09
All agencies HHS NSF DOD DOE USDA NASAa Otherb
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
2005 na 28,042 na 17,216 na 3,950 na 2,396 na 940 na 1,229 na 1,091 na 1,221
2006 na 28,265 na 17,163 na 4,099 na 2,570 na 902 na 1,263 na 975 na 1,293
2007 na 28,182 na 17,527 na 4,210 na 2,820 na 814 na 1,253 na 553 na 1,005
2008 na 28,425 na 17,180 na 4,404 na 2,823 na 1,089 na 1,251 na 673 na 1,003
2009 5,868 30,300 3,155 18,107 2,132 4,697 5 3,174 504 1,172 0 1,302 11 721 60 1,128
Constant 2005 $millions
2005 na 28,042 na 17,216 na 3,950 na 2,396 na 940 na 1,229 na 1,091 na 1,221
2006 na 27,330 na 16,595 na 3,963 na 2,485 na 872 na 1,221 na 943 na 1,250
2007 na 26,452 na 16,451 na 3,952 na 2,647 na 764 na 1,176 na 519 na 943
2008 na 26,083 na 15,764 na 4,041 na 2,590 na 999 na 1,148 na 618 na 920
2009 5,314 27,438 2,857 16,397 1,931 4,253 5 2,874 456 1,061 0 1,179 10 653 54 1,021

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; S&E = science and engineering; USDA = U.S. Department of Agriculture.

a NASA's R&D obligations decreased between FY 2006 and FY 2007 both because NASA excluded projects that were operational in nature in FY 2007 that were not excluded in FY 2006 and because of an overall decrease in obligations between FY 2006 and FY 2007.
b Includes data for these agencies: Departments of Commerce, Education, Homeland Security, Housing and Urban Development, Interior, Labor, and Transportation; Agency for International Development; Environmental Protection Agency; Appalachian Regional Commission; Nuclear Regulatory Commission; Office of Justice Programs (part of Department of Justice); and Social Security Administration.

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 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: $1.6 billion in FY 2009. Together HHS and DOD provided Johns Hopkins with 83.3% of its federal S&E funds. The leading 20 universities, ranked in terms of federal academic S&E obligations, accounted for 34.4% of this FY 2009 federal total (including ARRA). Nineteen of these institutions were also ranked among the top 20 recipients in FY 2008. The Massachusetts Institute of Technology's rank fell from 17 to 21 in FY 2009 and the University of Colorado all campuses' rank rose from 21 to 19 (table 3).

TABLE 3. Federal academic S&E obligations, including ARRA, to the 20 universities receiving the largest amounts, by agency: FY 2009
(Current dollars in millions)
Institution All federal
obligations
DOD DOE HHS NASA NSF USDA Other
agenciesa
All institutions 36,167.9 3,179.1 1,675.7 21,261.7 732 6,829.5 1,301.9 1,188
Top 20 institutions 12,433.3 1,107.3 401.2 8,741.5 321.4 1,497.1 143.6 221.1
Johns Hopkins U., Theb 1,565.5 522.4 4.9 782.4 203 45.3 0.6 7.0
U. MI all campuses 777.5 36.4 38.1 561.6 9.7 116 0.8 14.7
U. WA 761.8 50.8 20.5 536.1 6.6 117.5 4.9 25.4
U. PA 669.9 35.7 10.7 570.9 1.8 48.4 0.1 2.3
Columbia U. in the City of New York 667.9 13.2 25.9 499.9 8.3 104.4 0.0 16.1
U. CA, San Diego 662.1 48.2 19.4 432.2 3.4 131.1 0.0 27.8
U. CA, Los Angeles 619.4 27.8 22.1 462.6 11.7 94.6 0.2 0.3
U. WI-Madison 597.6 11.5 60.2 354.2 7.9 122.5 30.6 10.6
U. CA, San Francisco 567.3 1.6 0.4 560.6 0.6 3.2 0.0 0.9
Harvard U. 554.0 21.6 5.7 454.1 5.8 60.6 0.0 6.2
U. Pittsburgh all campuses 546.9 15.1 3.5 498 0.2 27.5 0.0 2.6
Duke U. 540.6 38.7 9.7 443.1 0.9 44.9 0.0 3.2
U. NC Chapel Hill 508.8 7.9 23.2 429.0 0.5 33.7 0.0 14.5
U. MN all campuses 500.8 7.1 51.0 304.9 4.0 83.7 32.1 18.1
Washington U. St. Louis 497.6 3.1 7.4 459.6 5.1 22.4 0.0 0.0
Stanford U. 497.5 39.6 14.8 366.2 11.7 63.5 0.0 1.8
Cornell U. all campuses 492.5 15.1 28.5 223.4 4.0 177.5 37.6 6.5
Yale U. 483.0 9.8 11.3 417.8 0.5 42.1 1.0 0.3
U. CO all campuses 469.7 15.5 9.8 271.1 27.8 88.6 1.0 56.0
PA State U. all campuses 452.7 186.2 33.8 113.7 7.9 69.5 34.8 6.7
All other academic institutions 23,734.6 2,071.8 1,274.5 12,520.2 410.6 5,332.4 1,158.3 966.9

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; S&E = science and engineering; USDA = U.S. Department of Agriculture.

a Includes data for these agencies: Departments of Commerce, Education, Homeland Security, Housing and Urban Development, Interior, Labor, and Transportation; Agency for International Development; Environmental Protection Agency; Appalachian Regional Commission; Nuclear Regulatory Commission; Office of Justice Programs (part of Department of Justice); and Social Security Administration.
b Includes funding for 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 2009.

  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 2009 federal agencies obligated $8.3 billion to 1,459 nonprofit institutions, an increase of 28.6% over the $6.5 billion reported in FY 2008 (current dollars). ARRA funds accounted for $966.3 million, or 11.6%, of the FY 2009 total. The main source of the increase in funding (78.3%) was HHS. Massachusetts General Hospital received the most federal R&D and R&D plant funds ($383 million) among nonprofits in FY 2009, with HHS providing 94.4% of this funding (table 4).

TABLE 4. Federal research and development and R&D plant obligations, including ARRA, to the 10 independent nonprofit institutions receiving the largest amounts, by agency: FY 2009
(Current dollars in thousands)
Institution All federal
obligations
DOD DOE HHS NASA NSF Other
agenciesa
All nonprofit institutions 8,319,542 1,507,481 316,896 5,467,554 187,826 553,849 285,936
Top 10 nonprofit institutions 2,517,870 855,476 27,877 1,455,202 0 158,068 21,245
Massachusetts General Hospital 382,563 17,383 0 361,207 0 3,972 0
MITRE Corp. 344,765 343,612 4 0 0 50 1,099
Brigham and Women's Hospital 324,852 6,372 0 318,080 0 400 0
Battelle Memorial Institute 302,914 255,179 27,573 1,847 0 0 18,314
Fred Hutchinson Cancer Research Ctr. 263,980 0 0 263,792 0 188 0
IIT Research Institute 232,359 229,505 0 2,853 0 0 0
Mayo Foundation 212,380 1,362 0 210,984 0 34 0
Beth Israel Deaconess Medical Ctr. 152,205 923 0 149,541 0 1,741 0
Dana-Farber Cancer Institute 150,944 1,140 300 146,898 0 2,607 0
Associated Universities Inc. 150,908 0 0 0 0 149,076 1,832
All other nonprofit institutions 5,801,672 652,005 289,019 4,012,352 187,826 395,781 264,691

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.

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

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 2009.

  Table 4 Source Data: Excel file

In FY 2009 the 10 leading nonprofit institutions in terms of these federal funds received 30.3% of the total funding to all nonprofits. Six of these recipients were hospitals or medical research institutes. Nine of these leading 10 nonprofits in FY 2009 also ranked among the top 10 in the prior year. Beth Israel Deaconess Medical Center (ranked 8th in FY 2009 and 12th in FY 2008) moved into the top 10, and the Henry M. Jackson Foundation for the Advancement of Military Medicine (ranked 11th in FY 2009 and 7th in FY 2008) fell out of the top 10 (table 4).

Data Sources, Limitations, and Availability

Gross domestic product implicit price deflators were used to convert current to constant dollars in this report. The data on federal S&E obligations to academic and nonprofit institutionspresented here were obtained from 19 agencies that responded to the FY 2009 Survey 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.

  • Research and development 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 instruction in S&E.
  • 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 is funds used for scientific projects and support for activities within a specified discipline; 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 on the FY 2009 Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions will be available online at http://www.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, 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
ARRA Provided $5.9 Billion in Federal Science and Engineering Obligations to Universities and Colleges in FY 2009
Arlington, VA (NSF 12-320) [June 2012]


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