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Annual Report of the University Research Board and the Office of Research and Project Administration 2012-2013 Table of Contents

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Annual Report of the University Research Board and the Office of Research and Project Administration 2012-2013 Table of Contents ANNUAL REPORT OF THE UNIVERSITY RESEARCH BOARD AND THE OFFICE OF RESEARCH AND PROJECT ADMINISTRATION 2012-2013 TABLE OF CONTENTS SECTION I: OFFICE OF RESEARCH AND PROJECT ADMINISTRATION COMMENTARY AND ANALYSIS I. EXPENDITURES FOR SPONSORED RESEARCH ....................................................................... 2 BACKGROUND AND OVERVIEW ........................................................................................................ 2 FY 2012-2013 STATISTICS .............................................................................................................. 2 CAMPUS BASED SPONSORED RESEARCH (EXCLUSIVE OF PPPL) ......................................................... 3 CHART 1 HISTORY OF SPONSORED RESEARCH EXPENDITURES ......................................................... 4 TABLE 1 5 YEAR HISTORY OF SPONSORED PROJECTS EXPENDITURES BY SPONSOR ........................... 5 TABLE 2 5 YEAR HISTORY OF SPONSORED PROJECTS EXPENDITURES BY PRIME SPONSOR ................ 6 TABLE 3 5 YEAR HISTORY OF SPONSORED PROJECTS EXPENDITURES BY DIVISION .......................... 7 CHART 2 BREAKDOWN OF EXPENDITURES ...................................................................................... 8 CHART 3-1 FUNDING % BY SPONSORS ............................................................................................ 9 CHART 3-2 FUNDING % BY PRIME SPONSORS ............................................................................. 10 CHART 4-1 COMPARSION OF GOVERNMENT SPONSORED EXPENDITURES- 5 YEAR HISTORY ............. 11 CHART 4-2 COMPARSION OF PRIME GOVERNMENT SPONSORED EXPENDITURES- 5 YEAR HISTORY ... 12 CHART 5-1 COMPARSION OF NON-GOVERNMENT SPONSORED EXPENDITURES- ............................... 13 CHART 5-2 COMPARSION OF NON-GOVERNMENT SPONSORED EXPENDITURES WITH FUNDS MOVED TO SPONSOR ............................................................................................................. 14 CHART 6 PLASMA PHYSICS LABORATORY EXPENDITURES BY AMOUNT AND PERCENTAGE ................ 15 II. STATISTICAL DATA TABLE 4 SUMMARY OF SPONSORED EXPENDITURES BY DEPARTMENT OR PROGRAM ........................ 17 TABLE 5 SUMMARY OF SPONSORED EXPENDITURES BY SPONSOR ................................................... 19 TABLE 6 SUMMARY OF SPONSORED EXPENDITURES BY PRIME SPONSOR ........................................ 21 TABLE 7-1 MASTER SUMMARY OF SPONSORED RESEARCH BY DEPARTMENT AND SPONSOR ............. 23 TABLE 7-2 MASTER SUMMARY OF SPONSORED RESEARCH BY DEPARTMENT AND PRIME SPONSOR ... 27 III. ACTIVE SPONSORED PROJECTS SUMMARY OF ACTIVE SPONSORED PROJECTS BY DEPARTMENTS OR PROGRAMS ............................ 31 SECTION I THIS SECTION FOCUSES ON SPONSORED RESEARCH EXPENDITURES FOR THE ACADEMIC YEAR 2012-2013. - 1 - ORPA EXPENDITURES FOR SPONSORED RESEARCH COMMENTARY AND ANALYSIS I. EXPENDITURES FOR SPONSORED RESEARCH BACKGROUND AND OVERVIEW As a world-renowned research university, Princeton seeks to achieve the highest levels of distinction in the discovery and transmission of knowledge and understanding. Conducting cutting-edge research and having an unparalleled commitment to teaching are at the core of the University’s mission. Sponsored research accounts for about a quarter of the University’s total operating budget. Consequently, the health of Princeton’s research enterprise is vitally important to the University’s success. Approximately 85% of Princeton’s extramural research funding comes from U.S. government sources (this includes prime Federal sources). Federal funding for research in the U.S. has been on the decline in recent years, and automatic federal budget cuts from the sequestration mandated by the Budget Control Act of 2011 have exacerbated this trend. The National Science Foundation nationally funded nearly 1,000 fewer new grant applications during the 2013 fiscal year. The nation’s largest source of biomedical research funding, the National Institutes of Health, cut its 2013 fiscal year budget by 5% — or $1.55B. These two agencies alone fund approximately 60% of Princeton’s sponsored research. Despite the challenges in the global economy and declines in funding agency budgets, Princeton continues to sustain a strong research engine and its faculty continue to attract substantial funding for their state-of-the-art research endeavors. Sponsored research expenditures for Princeton’s main campus totaled a record high of $199M for fiscal year 2013. The Princeton Plasma Physics Laboratory (PPPL) recorded an additional $81M in sponsored research expenditures during the same period. Continued vigilance of the funding landscape, both federal and private, will be critical to future growth and responsible stewardship of the University’s research portfolio. FY 2013 Statistics Several tables and charts are provided to illustrate historical trends in sponsored research for Princeton’s main campus and PPPL. Expenditures are described in actual dollars and have not been corrected for inflation. Chart 1 details sponsored research expenditures since FY2001. The grand total of FY2013 sponsored research expenditures for the University and PPPL combined was $279.7M, a slight increase over the previous fiscal year. University main - 2 - campus expenditures totaled $199.1M, an increase of 3.4%. During the same time period, PPPL’s expenditures totaled $80.6M, a 3.5% decrease compared to the previous year. The Natural Sciences departments saw the largest gain in research expenditures, increasing 7.2% from $79.1M to $85.2M. There was a slight gain in the Centers, Institutes and non-Departmental category, up 3.3% from $26.7M to $27.6M. The School of Engineering and Applied Sciences was flat ($70.2M to $70.6M) while Humanities and Social Sciences departments were down by 4.2% ($16.3M to $15.6M). Sponsored Research at Princeton University (Exclusive of PPPL) Funding for Princeton researchers is provided by a variety of external sponsors, and historically, the primary source has been Federal agencies. This pattern continued in FY 2013, with federal and state government funding providing $146.9 million in research support. This comprises 73 percent of all sponsored research expenditures at the University (Chart 3-1). When Prime sources are included, the percentage is almost 85% (Chart 3-2). The five leading government sponsors were the National Science Foundation, National Institutes of Health, Department of Defense agencies (including the Army, Air Force, Navy, DARPA, NSA, and DTRA), Department of Energy, and National Aeronautics and Space Administration. These agencies provided, respectively, $55.9M, $40.6M, $23.7M, $14.4M, and $4.9M in research funding during FY2013 (Table 1 and Chart 3-1). If Prime sources are included, it increases to $59.4M, $44.7M, $30.8M, $18.3M, and $7.0M, respectively (Table 2 and Chart 3-2). Chart 4-1 presents a five-year comparison of government-sponsored expenditures from FY2009-2013, and Chart 4-2 categorize federally funded subawards from industry and private organizations by their prime source of funds. Funding from non-government sources comprised the balance of the total research expenditures in FY2013 (Chart 5-1). This category includes foundations, industry, and private/other entities (e.g., educational institutions, hospitals, foreign entities), which together represent 26.6% of Princeton’s sponsored-research expenditures. When expenditures are moved to their Prime sources, it becomes about 15.3% (Chart 5-2). It is noteworthy that many of the projects ($22.3M) in the private/other category are subawards from other academic institutions, centers or consortia that have received funding from federal sources. This points to a growing trend toward interdisciplinary and multi-institutional research collaborations that are increasingly encouraged and fostered by sponsors. - 3 - Chart 1 HISTORY OF SPONSORED RESEARCH EXPENDITURES 300 250 200 150 100 Expenditures Expenditures ($ in Millions) 50 0 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 PPPL 72.2 77.9 68.6 71.3 78.2 80.2 73.7 74.7 74.7 80.1 87.8 83.4 80.6 Campus 113.9 129.6 138.0 142.3 148.0 143.6 145.0 151.2 157.6 176.8 192.9 192.3 199.1 Total 186.1 207.5 206.6 213.6 226.2 223.8 218.7 225.8 232.4 256.9 280.8 275.7 279.7 ‐ 4 ‐ SECTION I TABLE 1 5 YEAR HISTORY BY SPONSOR SPONSORED PROJECT EXPENDITURES ($1,000) Sponsors, Campus 2009 2010 2011 2012 2013 NIH 41,742 45,137 45,839 43,248 40,584 NSF 39,637 41,459 45,824 48,656 55,877 DOD 17,465 24,177 25,967 21,103 23,737 DOE 7,527 8,736 13,131 14,721 14,361 NASA 4,953 5,024 4,804 4,015 4,936 DOC 3,905 4,456 5,155 4,651 4,227 NJ 1,213 871 1,068 720 561 Other (DOI, EPA, FAA, AID, ED, Misc) 1,763 2,253 2,105 1,575 1,738 NEH and NEA 290 374 202 207 186 TOTAL GOVERNMENT 118,495 132,488 144,096 138,898 146,206 TOTAL FOUNDATION 12,491 12,194 12,102 12,037 13,853 TOTAL PRIVATE/OTHER 18,358 21,385 21,940 24,585 24,639 TOTAL INDUSTRIAL 8,299 10,729 14,801 16,803 14,439 TOTAL, CAMPUS $157,643 $176,796 $192,940 $192,323 $199,138 Sponsors, Plasma Physics Lab DOE 74,605 79,759 87,126 81,530 78,013 State of NJ (1) 0 0 0 0 TOTAL GOVERNMENT 74,604 79,759 87,126 81,530 78,013 TOTAL FOUNDATION 0 0 0 0 0 TOTAL INDUSTRIAL 89 149 126 131 238 TOTAL PRIVATE/OTHER 23 171 588 1,733 2,336 TOTAL, PPPL 74,716 80,079 87,840 83,394 80,588 GRAND TOTAL, CAMPUS & PPPL $232,359 $256,875 $280,780 $275,717 $279,725 - 5 - SECTION I TABLE 2 5 YEAR HISTORY BY PRIME SPONSOR* SPONSORED PROJECT EXPENDITURES ($1,000) Sponsors, Campus 2009 2010 2011 2012 2013 NIH 45,106 48,898 49,374 47,027 44,762 NSF 41,723 43,684
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