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Science and Technology in the Academic Enterprise: Status, Trends, and Issues (1989)
Government-University-Industry Research Roundtable (GUIRR)

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TOTAL ACADEMIC EXPENDITURES AND REVENUES 2-35

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Total Academic Operating Expenditures: Purpose For the past 2 decades, over-all academic expenditure patterns have remained generally stable, with research accounting for 10 percent to 15 percent; education-related activities, 60 percent to 65 percent; public service, less than 5 percent; and other operations--hospitals, self-financing enterprises such as bookstores and dormitories, and federally financed research and development centers--accounting for more than 20 percent. Total national academic operating expenditures reached $110 billion in 1988. Figure 2~8: Total Academic Operating Expenditures by Purpose 12OI coot 80 en JO 20 S1988 Billions 1120 0 1958 1963 1968 ~ Education 1~3 Research O Public Service ~ other 1 nD An 60 40 20 . O 1 983 1 988 Figure 2~9: Distribution of Total Academic Operating Expenditures by Purpose 00 dO7- 207n 0% r ~ 007. 807. only 4070 2070 1958 1963 1968 _ I 0z 1 973 1 978 1 9831 988 Education =3 Research O Public Service ~ Other NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 1988 constant dollars to reflect real long-ter'`~ growth trends. DEFINITION OF TERMS: Academic institutions include 185 doctoral institutions, 1,224 comprehensive institutions, and 1,38$ 2-year institutions, the latter of which award primarily 2-year associate or technician degrees. Operating expenditures consist of educational and general current-fund expenditures for instruction, research, public service, academic support, student services, institutional support, operation and maintenance of plant, scholarships and fellowships, and educational and mandatory transfers for debt service; and for auxiliary enterprises and federally funded research and development centers, but exclude expenditures from institutional plant fund accounts. Education includes instructional expenditures, including departmental research not separateh,r budgeted; current operating expenditures for libraries, operation and maintenance of plant, scholarships and fellowships, and student services. Research includes current fund expenditures for separately budgeted research and development. Public Service includes funds budgeted specifically for non-instructional services beneficial to groups external to the institution. Other includes hospitals, auxiliary enterprises, and (~HDCs) administered by universities. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primal data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2-36

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Total Academic Operating-Revenues: Sources Over the past three decades, total academic operating revenues have increased more than 400 percent, accounting for inflation, exceeding $110 billion in 1988. This represents an average real growth rate of 6.4 percent per year since 1958. State funds and income from tuition contributed most to this growth; total federal funds to academic institutions have essentially been level since the late 1960s and, consequently, have declined as a share of academic revenues from 20 percent in 1968 to 10 percent in 1988. Figure 2~50: Academic Institution Operating Revenues by Source of Funds ,20 Moo Cot an do S1988 Blillons 120 100 RO 60 40 20 o, , 1958 1 963 O 1 968 1973 1978 19831988 ~] Federal ~ State/Locol ~} Tuition 3 Private ~ Endowment =1 Other Rtl7^ Ins 20% o% - Flgure 2~51: Dlatrlbution of Academic Institution Operating Revenues by Source of Funds ~ oox 807O 607. Cow 0X 1958 1963 1968 1973 1978 1983 1988 ED f - erol ~ Stote/Local ~ Tuition ED Privote ~ Endowment =3 Other NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 1988 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Academic institutions include 185 doctoral institutions, 1,224 comprehensive institutions, and 1,38$ 2-year institutions. Federal sources include (1) dollars appropriated or made available by the federal government to public or private institutions of higher education for current operating expenses, such as land-grant appropriations and revenue sharing funds and; grants and contracts for specific research projects; and other types of programs, such as administrative allowances for student aid; excludes funding for federally funded research and development centers (FRRDCs). Tuition include all assessments against students for current operating purposes, but charges for room, board, and other services rendered by auxiliary enterprises are not included. State/Local sources include dollars appropriated or made available by state and local governments to public or private institutions of higher education for current operating expenses and or for specific projects or programs. Private income includes private gifts and grants that are directly related to instruction, research, or public service; moneys received as a result of gifts, grants, or contracts from a foreign government are included, as well as an estimated dollar amount for contributed services. Endowment income includes the unrestricted income of endowment and similar funds. Other includes sales and services fees from educational activities; revenues derived from the sales of goods or services, and revenues from hospitals and t~KDCS. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2-37

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Doctoral Institution Operating Expenditures: Purpose Total operating expenditures for doctoral institutions exceeded $65 billion in 198S, maintaining a 60-percent share of total academic expenditures since 1973. For the past two decades, over-all expenditure patterns of doctoral institutions have remained generally stable. Of total operating expenditures, research accounts for almost 20 percent, with education-relate_ activities accounting for 50 percent, and other operations--hospitals, self-financing enterprises (such as bookstores and dormitories), and federally funded research and development centers (FFRDCs)--accounting for 25 percent. Allure 2-52: Doctoral lnstit~nlo.. Operating Expenditures by Purpose 70~ 60j ~1 dO 3O 2OI V I T 1958 1963 1968 S 1988 Silltons ~70 60 50 40 30 20 10 O 1973 1978 1983 1988 1 - Education 1~ Research 3 Public Ser~lce ~ Other 207. 0 1 on7- Flgure 2~53: Dlstrlbidlon of Doctoral institution Operating Expenditures by Purpose Percent 6070 ~1 60% 1 958 1 963 1 968 1973 1978 ~ Education =3 Research G Public Service 53 Other 20% NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 1988 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades; they include 116 public and 69 private institutions. Education includes instructional expenditures, including departmental research not separateh~r budgeted; current operating expenditures for libraries, operation and maintenance of plant; scholarships and fellowships; and student services. Research includes current-fund expenditures for separated budgeted research and development. Public Seance includes funds budgeted specifically for non-instructional services beneficial to groups external to the institution. Other includes hospitals, auxiliary enterprises, and federally funded research and development centers (~HDCs) administered by universities. SOURCE: National Science Foundation, Division of Policy Research and Apsis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2-38

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Doctoral Institution Expenditures: Per Faculty and Student While growth in doctoral institution faculty and enrollments have slowed during the past decade, total expenditures of doctoral institutions have continued to rise. From 1978 to 1988, accounting for inflation, operational expenditures per faculty member have risen by more than 40 percent, reaching $260,000 in 1988. Education expenditures per student rose more than 30 percent between 1978 and 1988, reaching $9,500 in 1988. Figure 2~54: Doctoral Institution Operating Expenditures per Faculty Member 300 2SO 200 150 _ 100 ~ Figure 2~55: Doctoral InstltutIon Education Expenditures per Student $1988 Thousends S1988 Thousands , 300 10 r 1 10 j250 J200 150 100 8 6 1 4 14 ~4 2 5 ~///////////////////~////~50 ;~; 19 58 1963 1968 1973 1978 1983 t 988 1958 1963 1968 1973 1978 1983 1988 ~3 Oper Expend/Faculty 1~3 Educ Expend/Student NOTE: Financial data are expressed in 1988 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades; they include 116 public and 69 priorate institutions. Operating Expenditures consist of educational and general current-fund expenditures for instruction, research, public service, academic support, student services, institutional support, operation and maintenance of plant, scholarships and fellowships, and educational and mandatory transfers for debt service, and for auxiliary enterprises and federals funded research and development centers. They exclude expenditures from institutional plant-fund accounts and Pell Grants. Educational Expenditures includes instructional expenditures, including departmental research not separately budgeted; current operating expenditures for libraries, operation and maintenance of plant, scholarships and fellowships, and student services. Faculty members include all instructional members of the instruction or research staff whose major regular assignment is instruction, including those with release time for research. Students include all full-time students plus a full-time equivalent of part-time students as reported by doctoral institutions. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data sources: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Salaries, Tenure, and Fringe Benefits of Full-time Instructional Faculty, Fall Enrollment in Institutions of Higher Education; Financial Statistics of Institutions of Higher Education; American Council on Education; National Association of State Universities and Land Grant Colleges. 2-39

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Doctoral Institution Operating Revenues: Sources Total doctoral institution operating revenues reached nearly $66 billion in 1988. State funds, income from tuition, and funds from hospitals and auxiliary enterprises contributed most to this growth. Since 1973, federal funds for R&D have accounted for a steady 10 percent share of total doctoral revenues, with federally financed research and development centers accounting for around 7 percent. Figure 2~56: Revenues of Doctoral Institutions by Source of Funds ~ 1988 Billions 60 so an 30 fit Figure 2~57: Distribution of Revenues of Doctoral Institution_ by Source of Funds . . An 40 An 20 1O v T O 8 1963 1968 197` 1978 1983 1988 Fed R&D ~ FFRDCs [Z:1 Fed Other 1 - State/Locol ~3 Tu;lion ~ Endow/Pri9 Other An' 607. 1 OO^o lS07. 6C,. 40% ~ //' 1 sse 196` 1 968 197 ~1 978 ~ ~0~0 - ~ a_ A% ts88 Em Fed RhD aim F FRDCe ~ Fed Other Em Sto10/Locol ~ Tultion if Endow/Pr~3 Other NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 19 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades; they include 116 public and 69 private institutions. Federal R&D includes grants and contracts for specific research projects. FFRDCs includes funds for university- administered federally funded research and development centers. Other Federal includes dollars appropriated or made available by the federal government to public or private institutions of higher education for current operating expenses, such as land- grant appropriations and revenue sharing funds, or other types of programs such as administrative allowances for student aid; excludes Fell Grants. Tuition includes all student assessments for current operating purposes. Sta~e/Local sources include dollars appropriated or made available by state and local governments to public or private institutions of higher education for current operating expenses and or for specific projects or programs. Endowment/Private income includes the unrestricted income of endowment and similar funds; income from private gifts and grants that are directs related to instruction, research, or public service. Other includes sales and services of educational activities and revenues derived from the sales of goods or services that are incidental to the conduct of instruction, research, or public service, including hospitals. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2 40

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Doctoral Institution Operating Revenues: By Governance During the 1960s and early 1970s, public doctoral institution total revenues grew faster than those of private institutions, raising the public-institution share of total doctoral revenues from half in 1958 to two-thirds in 1973, where it has remained steady. In 198S, public doctoral institutions received $44 billion; private doctoral institutions received $22 billion. Figure 2-58: Operating Revenues of Doctoral Institutions by Institution Governance 70 60 50 40 30 An in S 1988 Billions 70 60 c c L L L t c cm , r ~TV r c r r L 1 ~ r r r r l I I L T T r 1958 1963 1968 1973 1978 ~3 Private ~ Public 30 20 10 O 1983 1988 Figure 2-59: Dlstrlbutlon of Operating Revenues of Doctoral Instit~nlons by Institutlon Governance non so% Ann ~///////~//////////////////////~;x 1958 1963 1968 1973 1978 1983 1988 1 0070 8070 Ins 407. 20% ~ Private ~ Public NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 1988 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Operating revenues consist of educational and general current-fund revenues from federal, state, and local appropriations (excluding Fell Grants); tuition income; government grants and contracts; private gifts' grants, and endowment income; sales and services of educational activities; and other revenues, including hospitals and PPRDCs. Private doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades, and are under the control of-or affiliated with~non-profit, independent organizations with or without religious affiliation; they include 69 institutions. Public doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades, and are under the control of--or affiliated with--federal, state, local, state and local, or state-related agencies; they include 116 institutions. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 241

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Operating Revenues: Private Doctoral Institutions For the past three decades, student tuition and fees have constituted a steadily growing share of private doctoral institution revenues, increasing from 18 percent in 1958 to 26 percent in 1988. The federal share nearly doubled during the 1960s, from 17 percent in 1958 to over 32 percent in 1966, then declined steadily for the past two decades, down to 16 percent in 1988. The shares of private contributions and endowment income have been relatively stable at 9 percent and 6 percent, respectively. The share from other revenues sources--hospitals, auxiliary enterprises and federally funded research and development centers (FFRDCs)--declined from 39 percent in 1958 to 30 percent in 1968, then returned to a 40 percent by 1988. Figure 2-60: Private Doctoral Institution Operating Revenues by Source $1 988 BTlIlc- 25 ~i_ 20~ 15V 10 s ?S · ^^~ 20 ~ c 10 5 1958 1963 1968 1973 1978 1983 1988 ~ Federal t~ State/Locol =3 Tuition 3 Private 1~3 Endowment ~ All Others ~ L , : 40 ;e 20% 0% Figure 2~61: Distribution of Private Doctoral Institution Operating Revenues by Source 607. I I 1 1 1 1 1 e l ~ ~ 407: /' // // _~_ ~ 207. ~ _ . ~0z 1958 1963 1968 1973 1978 1983 1988 Federal ~ Stote,~Locall=3 Tuition Privets 1= Endowments All Others NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 19 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Private doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades, and are under the control of-or affiliated with~nonprofit, independent organizations with or without religious affiliation; they include 69 institutions. Federal sources include (1) dollars appropriated or made available by the federal government to public or private institutions of higher education for current operating expenses, such as land-grant appropriations and revenue sharing funds and (2) federal government grants and contracts for specific research projects or other types of programs such as administrative allowances for student aid; excludes Fell Grants. Tuition and fees include all assessments against students for current operating purposes. State/Local sources include dollars appropriated or made available by state and local governments to public or private institutions of higher education for current operating expenses and or for specific projects or programs. Private income includes gifts and grants that are directly related to instruction, research, or public service. Endowment income includes the unrestricted income of endowment and similar funds. Other includes sales and services of educational activities, and auxiliary enterprises including hospitals and tl~DCs. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2~2

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Operating Revenues: Public Doctoral Institutions For the past three decades, state and local funds have constituted a large and stable share of public doctoral institution revenues, with a 39 percent share during the late-1988s. The federal government share has declined steadily for the past two decades, from 20 percent in 1968 to 12 percent in 1988. The revenue share from tuition has been stable at around I l percent over the three-decade period; private contributions and endowment income together have averaged about 5 percent. Other revenues sources--hospitals, auxiliary enterprises and federally funded research and development centers (FFRDCs)--have maintained a relatively steady 30-percent share. Flours 2-62: Public Doctoral Institution Operating Revenues by Source so: 40 20 1 ~ S 1988 8111ions ~50 40 an on 10 V ~ 1 1 ~ 1 1 O 1958 1963 1968 1973 1978 1983 1988 E~3 Federal 1 - State/Locol 1~ TuTtlon Private 1~l Endowment ~ All Others 10070 60% 20% 07 Figure 2-63: Dlstrlbutlon of Public Doctoral Institutlon Operating Revenues by Source . D% 20% 0% 1958 1963 1968 1973 1978 1983 1988 Federal ~ Stale/Locall=3 Tuition ~ Private If Endowments All Cohere NOTE: Data series within the figures are not overlapped; top line represents total. Financial data are expressed in 1988 constant dollars to reflect real long-term growth trends. DEFINITION OF TERMS: Public doctoral institutions include those institutions (1) which have granted an average of ten or more Ph.D. degrees per year in the natural sciences or engineering over the past two decades and (2) are under the control of--or affiliated with~federal, state, local, state and local, or state-related agencies. They include 116 institutions. Federal sources include (1) dollars appropriated or made available by the federal government to public or private institutions of higher education for current operating expenses, such as land-grant appropriations and revenue sharing funds and (2) federal government grants and contracts for specific research projects or other types of programs such as administrative allowances for student aid. Excludes Pell Grants. Tuition and fees include all student assessments for current operating purposes. Staie/Local sources include dollars appropriated or made available by state and local governments to public or private institutions of higher education for current operating expenses and or for specific projects or programs. Private income includes private gifts and grants that are directly related to instruction, research, or public service. Endowment income includes the unrestricted income of endowment and similar funds. Other includes sales and services of educational activities and auxiliary enterprises including hospitals and F^DCs. SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection. Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education. 2~3

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Representative terms from entire chapter:

doctoral institution