Federal Science and Engineering Support to Higher Education Increased 10% in FY 2021

In FY 2021, three federal agencies accounted for 86.4% of all federal S&E support to higher education institutions.^{​Higher education institutions are institutions that engage primarily in providing resident or accredited instruction for a not less than a 2-year program above the secondary school level that is acceptable for full credit toward a bachelor’s degree or that provide not less than 1-year program of training above the secondary school level that prepares students for gainful employment in a recognized occupation. Included are colleges of liberal arts; schools of arts and sciences; professional schools, as in engineering and medicine, including hospitals, clinics, and research centers that are financially constituents of universities; and agricultural experiment stations.Higher education institutions are institutions that engage primarily in providing resident or accredited instruction for a not less than a 2-year program above the secondary school level that is acceptable for full credit toward a bachelor’s degree or that provide not less than 1-year program of training above the secondary school level that prepares students for gainful employment in a recognized occupation. Included are colleges of liberal arts; schools of arts and sciences; professional schools, as in engineering and medicine, including hospitals, clinics, and research centers that are financially constituents of universities; and agricultural experiment stations.} Across all federal agencies, the Department of Health and Human Services (HHS) was the largest funder of S&E support to higher education institutions (59.3% of the total, or $25.6 billion), followed by NSF (14.8%, or $6.4 billion), and the Department of Defense (DOD) ($12.4%, or $5.4 billion). The Department of Energy (DOE) and the National Aeronautics and Space Administration (NASA) accounted for 3.7% and 3.2%, respectively, of all federal S&E support to higher education institutions in FY 2021 (figure 1).

Federal obligations for R&D to higher education institutions totaled $39.5 billion, but they are highly concentrated within a few agencies. For example, HHS accounted for $24.4 billion, followed by NSF and DOD with $5.5 billion and $4.6 billion, respectively (figure 2). In FY 2021, DOE obligated $1.6 billion for R&D to higher education, while NASA obligated $1.4 billion. When it comes to other forms of S&E support, NSF accounted for 77.6% of all federal obligations for R&D plant to higher education ($325 million of $419 million), whereas DOD accounted for 47.0% of obligations for facilities and equipment for instruction in S&E ($5.3 million of $11.3 million). Federal obligations for FTTGs are also highly concentrated between two agencies, which combined account for 89.7% of all federal obligations within this category ($1.6 billion of $1.8 billion), namely, HHS at 61.3% ($1.1 billion) and NSF at 28.4% ($0.5 billion).^{​See the full set of data tables: table 8.See the full set of data tables: table 8.}

Just as federal funding for S&E support to higher education institutions was highly concentrated within a few agencies in FY 2021, so too was funding to recipient institutions. For example, in FY 2021, federal agencies obligated funding to nearly 1,100 institutions of higher education in the United States; however, the top 25 recipient institutions of federal obligations for S&E support accounted for 41.7%, or $18.0 billion, of all federal funding to all institutions of higher education (table 2). Of the $18.0 billion obligated to these 25 institutions to support S&E activities, 94.0% was for R&D, 3.0% was for FTTGs, and 2.5% was for other general support for S&E. The top 100 institutions combined received 81.0%, or $34.8 billion, of all federal funding to higher education institutions for S&E support.^{​Details available in the full set of data tables: table 17.Details available in the full set of data tables: table 17.}

In FY 2021, Johns Hopkins University was the single largest recipient of federal obligations for S&E ($1.9 billion). Of this amount, $822 million was obligated by HHS and $717 million was obligated by DOD. Total federal obligations to Johns Hopkins includes obligations to the Johns Hopkins University School of Medicine and the Johns Hopkins Applied Physics Laboratory (APL). The Johns Hopkins APL is one of 14 University Affiliated Research Centers.^{​University Affiliated Research Centers (UARCs) were officially established in 1996 by the Under Secretary of Defense for Research and Engineering (USDR&E) and served to formalize strategic relationships with research centers affiliated with universities that in some cases data back to World War II. DOD-supported UARCs are all nonprofit research organizations affiliated with a university and have a set of core competencies that are tailored to the long-term needs of the DOD. DOD’s long-term strategic relationship with UARCs requires them to provide and maintain advanced and sophisticated engineering, research, or development capabilities essential to the DOD’s mission and operations. UARCs operate as independent, trusted advisors and honest brokers, agreeing to limit their operations in order to be free from real or perceived conflicts of interest. Each UARC is sponsored by a primary sponsor who is responsible for implementing UARC policies and procedures, monitoring performance, approving all work executed by the UARC, and conducting a comprehensive review every 5 years. Although any university can receive funds from DOD to perform work, that does not make them a UARC. Rather, all DOD UARCs are approved by USDR&E after a rigorous review and competitive selection process conducted by the proposed primary sponsor. Only USDR&E can establish, transfer, or terminate a UARC.University Affiliated Research Centers (UARCs) were officially established in 1996 by the Under Secretary of Defense for Research and Engineering (USDR&E) and served to formalize strategic relationships with research centers affiliated with universities that in some cases data back to World War II. DOD-supported UARCs are all nonprofit research organizations affiliated with a university and have a set of core competencies that are tailored to the long-term needs of the DOD. DOD’s long-term strategic relationship with UARCs requires them to provide and maintain advanced and sophisticated engineering, research, or development capabilities essential to the DOD’s mission and operations. UARCs operate as independent, trusted advisors and honest brokers, agreeing to limit their operations in order to be free from real or perceived conflicts of interest. Each UARC is sponsored by a primary sponsor who is responsible for implementing UARC policies and procedures, monitoring performance, approving all work executed by the UARC, and conducting a comprehensive review every 5 years. Although any university can receive funds from DOD to perform work, that does not make them a UARC. Rather, all DOD UARCs are approved by USDR&E after a rigorous review and competitive selection process conducted by the proposed primary sponsor. Only USDR&E can establish, transfer, or terminate a UARC.} New York University, which includes the NYU Grossman School of Medicine, was the second-largest recipient of federal funding for S&E support ($908 million). Of this amount, $872 million was obligated from HHS.^{​Details available in the full set of data tables: table 18.Details available in the full set of data tables: table 18.}

Sixty-nine of the nation’s 101 HBCUs^{​The Higher Education Act of 1965, as amended, defines an HBCU as “any historically Black college or university that was established prior to 1964, whose principal mission was, and is, the education of Black Americans, and that is accredited by a nationally recognized accrediting agency or association determined by the Secretary (of Education) to be a reliable authority as to the quality of training offered or is, according to such an agency or association, making reasonable progress toward accreditation.”The Higher Education Act of 1965, as amended, defines an HBCU as “any historically Black college or university that was established prior to 1964, whose principal mission was, and is, the education of Black Americans, and that is accredited by a nationally recognized accrediting agency or association determined by the Secretary (of Education) to be a reliable authority as to the quality of training offered or is, according to such an agency or association, making reasonable progress toward accreditation.”} received federal obligations for S&E activities in FY 2021, totaling $552 million.^{​Details available in the full set of data tables: table 23.Details available in the full set of data tables: table 23.} In FY 2021, the Department of Agriculture (USDA) was the largest funder of S&E support to HBCUs with $213 million. NSF and HHS each had total S&E support obligations of $140 million and $130 million, respectively (figure 3).

The 20 HBCUs receiving the largest amounts of federal S&E support accounted for 75.4% ($416 million) of all S&E support obligations to HBCUs (table 3). These top 20 HBCUs also received 78.5% ($280 million) of all federal obligations for R&D to HBCUs, 62.8% ($64 million) of obligations for FTTGs, 87.9% ($8 million) of obligations for R&D plant, and 76.3% ($65 million) of other general support for S&E. In total, the share of federal support for FTTGs was much larger in HBCUs (18.4%) than in all universities and colleges (4.1%). Similarly, federal support for R&D plant at HBCUs was 1.6% ($9 million) of total S&E support, compared with 1.0% ($419 million) at all higher education institutions. The relative emphasis on supporting research capacity reflects a longstanding approach by federal agencies to support research capacity in minority-serving institutions.

HHEs received $3.5 billion in federal obligations for S&E support in FY 2021 (table 4). Federal support to HHEs for R&D amounted to $3.1 billion, or 89.0% of total federal S&E support to HHEs. By comparison, R&D accounted for 64.6% of federal S&E support to HBCUs and for 91.4% of federal S&E support to all higher education institutions. FTTG support to HHEs accounted for 6.0%, or $211 million, of their S&E total. However, the share of federal support for FTTGs that went to “all other HHEs” was 14.8%, compared with the share of federal support for FTTGs that went to “all other higher education institutions” (4.8%).

Forty-nine percent of the FY 2021 federal S&E support to HHEs came from HHS, with $1.7 billion in obligations. NSF was the second-leading federal agency to obligate funding to support S&E at HHEs, with $843 million (24.0%).^{​Details available in the full set of data tables: table 26.Details available in the full set of data tables: table 26.}

Federal agency obligations to tribal colleges and universities^{​The list of tribal colleges and universities is from the White House Initiative on American Indian and Alaska Native Education (see https://sites.ed.gov/whiaiane/tribes-tcus/tribal-colleges-and-universities/). In accordance with Executive Order No. 13270, “Tribal Colleges and Universities,” as extended by Executive Order No. 13316, the list includes all of the colleges cited in section 532 of the Equity in Educational Land-Grant Status Act of 1994 (7 U.S.C. 301 note), any other institution that qualifies for funding under the Tribally Controlled Community College Assistance Act of 1978 (25 U.S.C. 1801 et seq.), and Diné College, which is authorized in the Navajo Community College Assistance Act of 1978, Public Law 95-471, title II (25 U.S.C. 640a note). The statutory definition of American Indian tribally controlled colleges and universities, to which the Higher Education Act refers at §316(b)(3), 20 U.S.C. 1059c(b)(3), is in section 2(a)(4) of the Tribally Controlled College and University Assistance Act of 1978, 25 U.S.C. 1801(a)(4).The list of tribal colleges and universities is from the White House Initiative on American Indian and Alaska Native Education (see https://sites.ed.gov/whiaiane/tribes-tcus/tribal-colleges-and-universities/). In accordance with Executive Order No. 13270, “Tribal Colleges and Universities,” as extended by Executive Order No. 13316, the list includes all of the colleges cited in section 532 of the Equity in Educational Land-Grant Status Act of 1994 (7 U.S.C. 301 note), any other institution that qualifies for funding under the Tribally Controlled Community College Assistance Act of 1978 (25 U.S.C. 1801 et seq.), and Diné College, which is authorized in the Navajo Community College Assistance Act of 1978, Public Law 95-471, title II (25 U.S.C. 640a note). The statutory definition of American Indian tribally controlled colleges and universities, to which the Higher Education Act refers at §316(b)(3), 20 U.S.C. 1059c(b)(3), is in section 2(a)(4) of the Tribally Controlled College and University Assistance Act of 1978, 25 U.S.C. 1801(a)(4).} totaled $34 million in FY 2021, or 0.1% of all federal S&E support to higher education institutions (table 5). Of the $34 million in federal obligations for S&E to tribal colleges and universities in FY 2021, R&D amounted to $16 million, or 46.4% of all S&E support, whereas FTTGs totaled $12 million, or 36.1% of total S&E support. Similar to HBCUs, the distribution of types of S&E support illustrates how relatively larger shares of federal S&E obligations to tribal colleges and universities are for building research and training capacity within these institutions through FTTGs and other activities, compared with the shares of these obligations to all other institutions.

NSF continues to be the leading agency to support S&E activities within tribal colleges and universities with obligations of $18 million, or 51.6% of all federal S&E support to these institutions. USDA followed with $14 million, or 42.0%.^{​Details available in the full set of data tables: table 27.Details available in the full set of data tables: table 27.}

Effective with the FY 2021 survey cycle, the Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions (Federal S&E Support Survey) was collected as a module within the Federal Funds Survey as part of a redesign of both surveys. For FY 2021, data were obtained from 33 federal agencies (14 federal departments and 19 independent agencies) that had obligations for R&D during FY 2021 or FY 2022. Because multiple subdivisions of some federal departments completed the survey, there were 74 agency-level responses: 6 federal departments, 49 agencies (within another 8 federal departments), and 19 independent agencies. However, lower offices could also be authorized to enter data: in the Federal Funds Survey nomenclature, agency-level offices could authorize program offices, program offices could authorize field offices, and field offices could authorize branch offices. When these suboffices are included, there were 730 total respondents: 74 agencies, 98 program offices, 173 field offices, and 385 branch offices. The module collects federal S&E support data by funding agency, individually named 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 experimental development (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 instruction in S&E.
• Fellowships, traineeships, and training grants (FTTGs) 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; 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 Federal Science and Engineering Support module within the Federal Funds Survey is a census of federal agencies that fund R&D and S&E support. As such, there is no sampling error; however, survey data are still subject to some degree of unmeasurable nonsampling error which may include errors in classification or measurement of certain aspects of an agency’s S&E support. For additional information see the Survey Quality Measures within the technical notes of the survey. The full set of data tables on the FY 2021 Federal S&E Support Survey are available at https://ncses.nsf.gov/surveys/federal-support-survey/2021#data. Data for the survey are available in NCSES's interactive data tool. For more information, please contact the survey manager.

Pece CV; National Center for Science and Engineering Statistics (NCSES). 2024. Federal Science and Engineering Support to Higher Education Increased 10% in FY 2021. NSF 24-316. Alexandria, VA: National Science Foundation. Available at https://ncses.nsf.gov/pubs/nsf24316.

Christopher V. Pece
Survey Manager
NCSES
Tel: 703-292-7788
E-mail: cpece@nsf.gov

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