Defense Research Capacity at Historically Black Colleges and Universities and Other Minority Institutions Transitioning from Good Intentions to Measurable Outcomes (2022) / Chapter Skim
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4 DoD Investments and Capacity-Strengthening at Institutions of Higher Education
4 DoD Investments and Capacity-Strengthening at Institutions of Higher Education
Pages 75-108
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From page 75... ...
The chapter then shifts to a discussion of infrastructure, looking at the largest HBCU/MI performers as compared with other institutions of higher education. 1 The data collection and analyses described throughout this chapter may be considered the first step in a proposed long-term effort to examine the DoD funding landscape for institutions of higher education, current levels of institutional research capacity, and opportunities for partnerships and growth.
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From page 76... ...
• If capacity is underutilized, what are potential constraints or underlying factors that have contributed to such underutilization or that might impede an increase in utilization of available capacity for R&D at HBCU/MIs? • How does HBCU/MIs' utilization of current research capacity impact specific R&D outputs, including capacity for commercialization and tran sition of research into defense acquisition, and the growth of institutional R&D enterprises?
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From page 77... ...
Major Research Instrumentation program records 2017–2021, used as a proxy measure for institutional capacity to bring in major scientific awards and perform the requisite research; (3) NSF institutional profiles 2011–2017, which include information on the number of R&D personnel, graduate students, and principal investigators at all surveyed institutions of higher education; and (4)
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In select analyses, the committee found it useful to isolate MSIs as a fourth category of interest. The comparative data approach underscores that research conclusions specific to MIs may not necessarily be applicable to the broader category of MSIs.
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From page 79... ...
. OVERVIEW OF DOD INVESTMENTS AT ALL INSTITUTIONS OF HIGHER EDUCATION Tables 4-1 through 4-5 provide a high-level view of total DoD funding at HBCU/MIs, MSIs, and other institutions of higher education between FY 2010 and FY 2020.
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From page 80... ...
For each cell total, if an award included both a prime awardee and subawardees, the subawardee transactions were removed to prevent inflating the cell totals. The research area was assigned based on the prime award for most transactions; it was assigned based on subaward activity only if the prime award transactions were not part of the sample.
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From page 81... ...
TABLE 4-4 Median DoD Award Amount for HBCU, Non-HBCU MI, Non-HBCU MSI, and Other Institutions Awards Equal to or Above the 95th Percentile of Funding, by Award Type, FY 2010 Through FY 2020 Award Type HBCU Non-HBCU MI Non-HBCU MSI Other All Institutions Grants $3,014,122 $2,241,000 $4,138,506 $4,790,324 $4,667,205 Contracts $2,947,359 $3,444,552 $6,284,132 $6,514,885 $6,347,839 Overall $2,999,335 $2,514,279 $4,499,962 $5,260,772 $5,049,704 NOTES: The totals do not include institutions that reportedly received $0 or less in funding. For each cell average, if an award included both a prime awardee and subawardees, the subawardee transactions were removed to prevent inflating the cell averages.
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From page 82... ...
. As a reminder, in select analyses, the committee found it useful to isolate MSIs as a fourth category of interest.
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From page 83... ...
However, upon closer examination of the data, a subset of HBCU/MIs emerged as institutions with demonstrated success in securing large DoD grants and contracts. In this section, the committee provides an overview analysis of the HBCU/MIs that received the highest amount of DoD funding in order to extract findings related to institutional representation across funding categories, consistency of funding across years, and expanded funding portfolios.
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From page 84... ...
TABLE 4-6 Annual DoD Funding Totals (in thousands of dollars) for Top-Funded HBCU and Non-HBCU MI Institutions, FY 84 2010–2020 Institution 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Total New Mexico State University $19,866 $14,962 $14,718 $22,584 $23,991 $15,379 $14,100 $10,621 $18,139 $14,941 $8,305 $177,606 Florida International $4,193 $2,689 $4,180 $5,391 $1,959 $4,674 $4,494 $8,611 $12,225 $17,750 $10,190 $76,356 University University of Texas at San $1,042 $5,604 $2,359 $3,829 $4,883 $6,308 $2,967 $2,982 $7,935 $6,608 $6,542 $51,059 Antonio University of Texas at El $1,541 $3,684 $3,185 $4,180 $3,747 $5,449 $668 $3,314 $3,231 $3,143 $7,395 $39,537 Paso Jackson State University $6,020 $5,792 $1,363 $2,925 $1,276 $2,654 $3,331 $2,386 $1,592 $1,218 $598 $29,155 North Carolina A&T State $2,327 $3,157 $5,336 $613 $157 $6,176 $272 $1,485 $1,214 $2,318 $3,282 $26,337 University Norfolk State University $1,224 $5,245 $785 $0 $1,476 $11,439 $815 $1,168 $893 $1,224 $1,190 $25,459 Howard University $2,146 $3,061 $2,412 $1,640 $3,373 $3,486 $1,550 $1,634 $1,424 $1,455 $2,808 $24,989 Florida A&M University $4,613 $3,589 $2,194 $3,219 $1,391 $935 $971 $1,620 $870 $1,083 $1,458 $21,943 Morgan State University $50 $1,755 $1,169 $1,927 $2,911 $2,703 $2,761 $498 $490 $1,160 $5,407 $20,831 Tuskegee University $1,406 $1,497 $2,019 $1,732 $1,506 $1,738 $790 $1,127 $3,010 $801 $2,585 $18,211 Hampton University $256 $5,367 $1,443 $765 $847 $1,541 $1,834 $751 $2,626 $339 $1,610 $17,379 University of California, $755 $713 $429 $265 $890 $1,845 $2,085 $2,695 $1,103 $3,520 $1,899 $16,199 Merced Prairie View A&M $505 $516 $521 $399 $213 $10,000 $499 $266 $367 $1,577 $1,300 $16,163 University Alabama A&M University $650 $50 $892 $711 $125 $1,200 $4,517 $1,278 $652 $287 $4,511 $14,873 NOTES: HBCUs are in bold, and other MIs are in standard font.
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Blank cells indicate unavailable or entirely missing observations. SOURCE: www.usaspending.gov.
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F Drake State Community and $1,414 $1,414 Technical College Jackson State University $294 $72 $155 $126 $184 $66 -$13 $249 $34 $35 -$2 $1,200 Morehouse College $748 $748 Kentucky State University $576 $576 Fisk University $150 $140 $147 $437 Texas A&M University-Corpus Christi $40 $72 $138 $109 $0 $359 Tuskegee University $160 $100 $0 $90 $0 $350 NOTES: HBCUs are in bold, and other MIs are in standard font.
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Blank cells indicate unavailable or entirely missing observations; zeroes are included only in cells where values were reported. SOURCE: www.usaspending.gov.
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From page 88... ...
and HBCU/MIs Expenditures Expenditures Johns Hopkins University 1 1,262,988 Georgia Institute of Technology 2 523,399 Pennsylvania State University, University Park and 3 300,261 Hershey Medical Center Uniformed Services University of the Health Sciences 4 281,375 University of Texas at Austin 5 156,351 Utah State University 6 144,630 Massachusetts Institute of Technology 7 139,924 University of Southern California 8 133,937 University of California, San Diego 9 98,923 University of Maryland 10 94,079 University of Washington, Seattle 11 93,841 Colorado State University, Fort Collins 12 92,283 University of Michigan, Ann Arbor 13 83,880 Carnegie Mellon University 14 73,262 University of Dayton 15 72,068 New Mexico State University (MI; R2) 68 19,487 Florida International University (MI; R1)
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From page 89... ...
. Looking at total DoD funding, the top MIs -- New Mexico State University, Florida International University, University of Texas at San Antonio, and University of Texas at El Paso, all Hispanic-Serving Institutions -- received substantially more funds, collectively, than the 10 HBCUs on the list, collectively.
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From page 90... ...
Notably, seven of the top 15 non-HBCU/MIs maintain DoD distinct legal entities (e.g., university-affiliated research centers) , which impacts their capacity to secure and execute DoD research (see Box 4-2)
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From page 91... ...
Additionally, the committee notes that where Tribal Colleges and Universities have been successful in obtaining DoD research funding, this has come from the development of strong partnerships; in most cases, these institutions are also located in proximity to a DoD lab or another entity. For example, Navajo Technical University in New Mexico has received funds from the Army Research Laboratory.
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From page 92... ...
Although these two strategic approaches used different datasets and timelines, together they helped to create a snapshot of institutional capacity to serve as DoD performers. Using this snapshot of R&D-capable HBCU/MIs can serve to assess current levels of capacity, aspects of disparities between funding or capacity, and opportunities to expand research capabilities.8 An additional way to view the potential to expand the opportunities for HBCU/MIs to carry out DoD research is to compare DoD funding to these institutions with that of other federal agencies (Table 4-11)
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From page 93... ...
CAPACITY AT HBCU/MIS In addition to funding active research endeavors, the broad spectrum of HBCU/MI engagement in defense research opportunities can be supported through strategic investments in infrastructure (including laboratories, physical facilities) , personnel and administrative support, programmatic support and design (e.g., reduction of faculty teaching loads, training in DoD grants/contracts, incentives to conduct DoD-related research)
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Equipment and Technologies Based on a review of the publicly available databases and testimonies from panelists at the committee's public workshops, better-resourced institutions (institutions that have a better record in acquiring and maintaining important equipment to execute defense research) are more competitive in their efforts to secure defense research opportunities.
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From page 95... ...
To examine DoD investments in institutional research infrastructure, the committee assessed funding data for three DoD programs with an established focus on supporting institutional infrastructure, two that are open opportunities for all institutions, the Multidisciplinary University Research Initiative (MURI) and the Defense University Research Instrumentation Program (DURIP)
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From page 96... ...
For each cell total, if an award included both a prime awardee and subawardees, the subawardee transactions were removed to prevent inflating the cell totals. Blank cells indicate unavailable or entirely missing observations; zeroes are included only in cells where values were reported.
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From page 97... ...
The numbers of full-time graduate research students, R&D support personnel, and principal investigators provide indicators about the capacity to carry out DoD research. Based on committee expertise and testimonies from panelists at National Academies public meetings, research productivity is lower when an academic institution is challenged with insufficient infrastructure to manage grant awards, high faculty teaching loads, and the lack of graduate students and postdoctoral researchers.12 Furthermore, the ratio of graduate students to faculty actively doing research is an indicator of the potential for an academic institution to perform research (Fisher, 2009; Hearn et al., 2006; Litwin, 2009; Neuman and Terosky, 2007; Romainville, 1996)
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From page 98... ...
TABLE 4-13 Median Number of R&D Personnel and Graduate Students for the 25 HBCUs with the Highest DoD Funding 98 Median 2nd Quartile 3rd Quartile Full- Comparison: Comparison: 2nd Quartile 3rd Quartile 2nd Quartile 3rd Quartile Time Median Full- Median Full- Median Comparison: Comparison: Median Comparison: Comparison: Carnegie Grad Time Grad Time Grad R&D Median R&D Median R&D R&D Median R&D Median R&D Institution Classification Students Students Students Personnel Personnel Personnel PIs PIs PIs Clark Atlanta Doctoral 198 468 628 254 332 738 19 82 157 University Universities: High Research Activity Delaware State Doctoral 82 468 628 286 332 738 38 82 157 University Universities: High Research Activity Florida Doctoral 308 468 628 1554 332 738 92 82 157 Agricultural Universities: and Mechanical High Research University Activity Hampton Doctoral 149 468 628 287 332 738 45 82 157 University Universities: High Research Activity Jackson State Doctoral 190 468 628 401 332 738 56 82 157 University Universities: High Research Activity
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Morehouse Doctoral 468 628 127 332 738 22 82 157 College Universities: High Research Activity North Carolina Doctoral 359 468 628 1016 332 738 163 82 157 Agricultural and Universities: Technical State High Research University Activity Tennessee State Doctoral 284 468 628 454 332 738 61 82 157 University Universities: High Research Activity University Doctoral 48 468 628 190 332 738 16 82 157 of Maryland Universities: Eastern Shore High Research Activity Bethune- Baccalaureate 0 3 4 0 79 46 0 19 27 Cookman Colleges: Arts University & Sciences Focus Morgan State Baccalaureate 208 3 4 301 79 46 63 19 27 University Colleges: Arts & Sciences Focus Spelman College Baccalaureate 3 4 91 79 46 24 19 27 Colleges: Arts & Sciences Focus continued 99
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TABLE 4-13 Continued 100 Median 2nd Quartile 3rd Quartile Full- Comparison: Comparison: 2nd Quartile 3rd Quartile 2nd Quartile 3rd Quartile Time Median Full- Median Full- Median Comparison: Comparison: Median Comparison: Comparison: Carnegie Grad Time Grad Time Grad R&D Median R&D Median R&D R&D Median R&D Median R&D Institution Classification Students Students Students Personnel Personnel Personnel PIs PIs PIs Claflin Baccalaureate 0 0 22 111 0 37 13 1 8 University Colleges: Diverse Fields Oakwood Baccalaureate 0 22 0 0 37 0 1 8 University Colleges: Diverse Fields University of Baccalaureate 0 0 22 269 0 37 30 1 8 Arkansas Pine Colleges: Bluff Diverse Fields Alabama A&M Master's 118 88 59 418 0 63 32 5 23 University Colleges & Universities: Larger Programs Prairie View Master's 218 88 59 431 0 63 80 5 23 A&M University Colleges & Universities: Larger Programs
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Fayetteville State Master's 0 10 23 471 0 313 47 11 40 University Colleges & Universities: Medium Programs Lincoln Master's 10 23 0 0 313 0 11 40 University of the Colleges & Commonwealth Universities: of Pennsylvania Medium Programs Norfolk State Master's 0 10 23 205 0 313 54 11 40 University Colleges & Universities: Medium Programs Southern Master's 10 23 0 0 313 0 11 40 University at Colleges & New Orleans Universities: Medium Programs Tuskegee Master's 113 10 23 47 0 313 7 11 40 University Colleges & Universities: Medium Programs Savannah State Master's 0 5 23 494 58 19 26 30 6 University Colleges & Universities: Smaller Programs continued 101
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. Blank cells indicate unavailable or entirely missing observations; zeroes are included only in cells where values were reported.
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In addition, these data suggest the need for further recognition of different strategies pursued by institutions for building programmatic research capacity (Fisher, 2009; Hearn et al., 2006; Litwin, 2009) , such as those implemented by non-doctoral institutions, and the important role these institutions play in the DoD research arena and in preparing undergraduates for DoD-related research careers.
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From page 104... ...
Ultimately the technology transfer process can lead to a transitioning of the research to the marketplace, in this case, defense acquisition programs or the like. There are excellent examples of how major DoD investments in university R&D have significantly contributed to building university R&D infrastructure and capacity, led to the establishment of some of the world's greatest R&D research laboratories and centers, and resulted in significant commercialization.
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From page 105... ...
The historical absence of any major or sustained DoD investments in S&T on HBCU/MI campuses is likely a significant factor in the persistent lack of R&Drelated outputs such as intellectual property generation and commercialization. Low S&T funding and low commercialization outputs, in turn, may significantly impact the ability of HBCU/MIs to demonstrate economic value to local and regional tech and innovation ecosystems.
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Paper commissioned by the Committee on Defense Research at Historically Black Colleges and Universities and Other Minority Serving Institutions. AIR (American Institutes for Research)
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From page 107... ...
Paper commissioned by the Committee on Defense Research at Historically Black Colleges and Universities and Other Minority Serv ing Institutions. https://www.nationalacademies.org/our-work/defense-research-at-historically black-colleges-and-universities-and-other-minority-serving-institutions.
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