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APPENDIX B Questionnaires 53 PREPUBLICATION COPY—UNEDITED PROOFS

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National Research Council Assessment of Research Doctorate Programs 2006 Institutional Questionnaire Every ten or so years, the National Research Council conducts a study of national importance regarding the quality and characteristics of doctoral programs in the United States. This comparative assessment is designed to assist prospective doctoral students with selecting programs that best fit their interests and to permit programs to benchmark themselves against similar programs. The 2006 Assessment of Research Doctorate Programs collects data about the doctoral programs in over 60 areas of study in American universities. This Institutional Questionnaire is designed to collect data about institution-wide policies and practices. A. Health Benefits and Services A1. Is university-supported health care insurance part of the financial support provided to enrolled doctoral students? Yes No If no, skip to question A3 A2. Does the university-supported health insurance for doctoral students cover mental health services? Yes No NOTE: For questions that follow about postdoctoral scholars, please use this definition of a postdoctoral scholar developed by the Association of American Universities: • The appointee was recently awarded a Ph.D. or equivalent doctorate (e.g., Sc.D., M.D.) in an appropriate field; and • the appointment is temporary; and • the appointment involves substantially full-time research or scholarship; and • the appointment is viewed as preparatory for a full-time academic and/or research career; and • the appointment is not part of a clinical training program; and • the appointee works under the supervision of a senior scholar or a department in a university or similar research institution (e.g., national laboratory, NIH, etc.); and • the appointee has the freedom, and is expected, to publish the results of his or her research or scholarship during the period of the appointment. (See: http://www.aau.edu/reports/PostDocRpt.html. Accessed 6/27/06) A3. Is university-supported health care insurance part of the financial support provided to postdoctoral scholars? Yes No If no, skip to question B1 55 PREPUBLICATION COPY—UNEDITED PROOFS

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A4. Does the university-supported health insurance for postdoctoral scholars cover mental health services? Yes No B. Collective Bargaining B1. Is there a collective bargaining agreement for teaching assistants on your campus? Yes No If no, skip to question B2 B1a. Does the collective bargaining agreement for teaching assistants cover: Some teaching assistants All teaching assistants B2. Is there a collective bargaining agreement for research assistants on your campus? Yes No If no, skip to Question C1 B2a. Does the collective bargaining agreement for research assistants cover: Some research assistants All research assistants C. New Ph.D. Programs C1 . What new Ph.D. programs have been added to the university since 1995? Please list all programs added since 1995, even if not included in this study D . Research Location D1. Please list all of the zip code(s) that your institution or faculty members use when submitting proposals to potential sponsors. a. b. c. d. 56 PREPUBLICATION COPY—UNEDITED PROOFS

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[Note: The web version of the questionnaire will allow the respondent to add as many zip codes as needed.] E. Academic Year E1. How is an academic year defined at this institution? From July 1st to June 30th Other, please specify:_______________________________ F. Doctoral Student Representation in 5 Selected Fields This section collects outcomes by race/ethnicity on the full-time doctoral students who are U.S. citizens or permanent residents in each of five broad fields 1) Life Sciences, 2) Physical Sciences and Mathematics, 3) Engineering, 4) Social and Behavioral Sciences, and 5) Arts and Humanities. • If the numbers in these tables are too small to release for reasons of confidentiality, please provide the raw data to the NRC and we will aggregate over cohorts so that the size of any cell is always greater than or equal to 5. • For purposes of this question only, "Physical Sciences, Mathematics, and Engineering" in the taxonomy have been disaggregated into two separate broad fields: "Physical Sciences and Mathematics" and "Engineering." • Do not include Emerging Fields unless they are also included as part of a program in an established field within the taxonomy • Include doctoral students enrolled in your doctoral programs, whether or not they have been admitted to candidacy. • Do not include doctoral students who have declared that they only intend to earn a master's degree. • Doctoral students who "left the program" are those who are no longer enrolled at this time. • Doctoral students who "stopped out" (left but later enrolled again) should not be counted as students who left if they are currently enrolled or completed the doctoral degree. 57 PREPUBLICATION COPY—UNEDITED PROOFS

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Native Americans/Alaska Natives in the Life Sciences F1a. Please record the number of Native American/Alaskan Natives who entered the Life Sciences programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F1b. Of the Native American/Alaska Natives admitted to candidacy in the Life Sciences, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. Number still 3 years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 2000- 2001 2001- 2002 2002- 2003 2003- 2004 2004- 2005 58 PREPUBLICATION COPY—UNEDITED PROOFS

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2005- 2006 Non-Hispanic Blacks in the Life Sciences F2a. Please record the number of Non-Hispanic Blacks who entered the Life Sciences programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F2b. Of the Non-Hispanic Blacks admitted to candidacy in the Life Sciences, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. Number still 3 years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 2000- 2001 2001- 2002 2002- 2003 2003- 2004 59 PREPUBLICATION COPY—UNEDITED PROOFS

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2004- 2005 2005- 2006 Non-Hispanic Whites in the Life Sciences F3a. Please record the number of Non-Hispanic Whites who entered the Life Sciences programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F3b. Of the Non-Hispanic Whites admitted to candidacy in the Life Sciences, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. Number still 3 years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 2000- 2001 2001- 2002 2002- 2003 60 PREPUBLICATION COPY—UNEDITED PROOFS

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2003- 2004 2004- 2005 2005- 2006 Hispanics in the Life Sciences F4a. Please record the number of Hispanics who entered the Life Sciences programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F4b. Of the Hispanics admitted to candidacy in the Life Sciences, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. Number still 3 years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 2000- 2001 2001- 2002 61 PREPUBLICATION COPY—UNEDITED PROOFS

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2002- 2003 2003- 2004 2004- 2005 2005- 2006 Asians and Pacific Islanders in the Life Sciences F5a. Please record the number of Asians and Pacific Islanders who entered the Life Sciences programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F5b. Of the Asians and Pacific Islanders admitted to candidacy in the Life Sciences, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. Number still 3 years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 2000- 2001 62 PREPUBLICATION COPY—UNEDITED PROOFS

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2001- 2002 2002- 2003 2003- 2004 2004- 2005 2005- 2006 Native Americans/Alaska Natives in the Physical Sciences and Mathematics F6a. Please record the number of Native Americans and Alaska Natives who entered the Physical Sciences and Mathematics programs included in this study between 1996 and 2005. Number of Number of students Number of Number of entering doctoral who left the students who students students program without a left the program admitted to If none: enter master’s or after receiving a doctoral zero doctoral degree master’s degree candidacy 1996-1997 1997-1998 1998-1999 1999-2000 2000-2001 2001-2002 2002-2003 2003-2004 2004-2005 2005-2006 F6b. Of the Native Americans and Alaskan Natives admitted to candidacy in the Physical Sciences and Mathematics, record the number of students from each cohort listed below who completed degrees within the given number of years after enrolling. 3 Number still years 4 5 6 7 8 9 10 enrolled after or less years years years years years years years 10 years 1996- 1997 1997- 1998 1998- 1999 1999- 2000 63 PREPUBLICATION COPY—UNEDITED PROOFS

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Part E: Background Information E1. Are you: Male Female E2. What is your marital status? Mark one only Married Living in a marriage-like relationship Widowed Divorced Separated Never married E3. Not including yourself or your spouse/partner, how many dependents do you have—that is, how many others receive at least one half of their financial support from you? If No Dependents: Mark this box: Number a. 5 years of age or younger......... b. 6 to 18 years............................. c. 19 years or older ...................... E4. Including children, elderly parents or others, as appropriate, for how many people are you a primary caregiver? Number: E5. What is the highest educational attainment of your mother and father (or guardian)? Mark one for each Mother Father a. Less than high/secondary school graduation .......................................... b. High/secondary school graduate ............................................................. c. Some college........................................................................................... d. Bachelor’s degree ................................................................................... e. Master’s degree (e.g., MA, MS, MBS, MSW, etc.)................................ f. Professional degree (e.g., JD, LLB, D.Min, MD, DDS, etc.) ................. g. Doctoral degree....................................................................................... h. Not applicable ......................................................................................... 154 PREPUBLICATION COPY—UNEDITED PROOFS

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E6. In what year were you born? Year of Birth: E7. What is your citizenship status? Mark one only U.S. Citizen Since birth Naturalized Non-U.S. Citizen With a Permanent U.S. Resident Visa (“Green Card”) With a Temporary U.S. Visa E8. Are you Hispanic (or Latino)? Yes No (skip to E10) E9. Which of the following best describes your Hispanic origin or descent? Mark one only Mexican or Chicano Puerto Rican Cuban Other Hispanic – Specify Hispanic descent: _____________________________ E10. What is your racial background? Mark all that apply American Indian or Alaska Native Native Hawaiian or other Pacific Islander Asian Black or African-American White Thank you for your time! 155 PREPUBLICATION COPY—UNEDITED PROOFS

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Admitted to Candidacy Student Questionnaire Question Rationale General Rationale for Questionnaire The data collected from the student questionnaire will provide important information for prospective students seeking to compare programs within a field; academic administrators seeking to examine program quality within a field, within an institution, or across institutions; and education policy researchers seeking to explore changes or potential changes in doctoral education and their implications. Since this is the first time a student questionnaire has been administered as part of the Assessment of Doctoral Programs, its administration will be limited to five fields: English, economics, chemical engineering, physics, and neuroscience/neurobiology. Part A. Education The questions in this section are designed to collect information on your area of research, your educational progress and financial support. Time to Degree: Questions 1-3 obtain data on when you enrolled, what your research specialty is, when you were admitted to candidacy and when you expect to complete. In combination with completion data provided by programs, these data will provide a picture of how students progress through their programs. Post-Baccalaureate Credentials: Questions 4-8 obtain data on the master’s and other degrees and certificates you may have obtained before or en route to the doctorate. This information provides a fuller picture of the post-baccalaureate credentials that students in a given program obtain in order to matriculate into a program or to prepare themselves for their career. Research Opportunity: Questions 9-10 obtain data on the number of research publications you may have written and presentations given. These data provide an indication of the research experiences that students obtain in a program and offer an indicator of the extent to which students are encouraged to develop their own research interests and skills Financial Support: Questions 11-13 obtain information on the level and type of financial support that students in a program have. This information, in combination with other data on the program and institutional questionnaires, will provide valuable information on financial support. 156 PREPUBLICATION COPY—UNEDITED PROOFS

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Part B: Postgraduation Plans The questions in this section are designed to collect information on the career plans and goals of doctoral students and whether and how they have changed over time. Career Goals: Questions 1-2 obtain data on career goals both when the respondents entered the program and now. Similarly, questions 4-5 obtain data on the type of employer the respondents expected to work for when they entered their program and now. These questions will provide a picture of the kinds of career goals students in different programs have and how they change over time. Faculty Support for Career Goals: Question 3 is designed to obtain information on how supportive faculty are of students who seek a variety of career aspirations, particularly those outside of academia. Part C: Program Characteristics This section obtains data on program characteristics and the respondent’s perception of program quality. Career Skills: Numerous reports, beginning with the COSEPUP’s Reshaping the Graduate Education of Scientists and Engineers (1995), have advocated that graduate students learn a variety of career skills in addition to the substance of their discipline. Question 1 will collect data on the opportunity to acquire written and oral communication skills, proposal writing, teamwork, independent research, project management, ethics, pedagogy, and others. Question 2 focuses more specifically on opportunities to acquire teaching skills and experience. Academic Progress: Questions 3-8 and 14 collect data on how students acquire information about the expectations of their program for academic progress and the kinds and quality of feedback on their progress that they receive. Mentoring and Career Counseling: The availability of a mentor has been identified as an important key to success in graduate education. Question 9 asks whether respondents have a faculty member they consider a mentor. The availability of career advice—particularly advice that covers the range of potential employment sectors is important potentially for both student retention and career preparation. Questions 10-13 obtain data on the availability and source of career advice for doctoral students. Question 15 also asks respondents about the quality of the relationships they have with their advisors. Social Integration: Barbara Lovitts’ book, Leaving the Ivy Hall, identified the degree to which a student feels part of a department as a critical factor in determining whether a student completes a doctoral program. Questions C15, C16, C17, C18, C20, C21, and D1 collect data on the degree to which students feel supported by faculty and peers, have opportunities to interact with faculty and students, and the quality of the interaction. 157 PREPUBLICATION COPY—UNEDITED PROOFS

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Program Quality: Questions 19-24 provide respondents with an opportunity to provide their perceptions of program quality (curriculum, research experience, faculty teaching ability, dissertation supervision, and intellectual environment). Part D: Resources This section collects data on respondent perceptions of the adequacy of the resources and benefits available for doctoral students. Education and Research Resources: The availability of adequate resources is important to both the speed and quality of a student’s academic progress. Questions 1-4 collect data on respondents’ perceptions of the resources available (from the institution or program) to support their education and research. They ask for perceptions of the adequacy of computer resources, research, laboratory, or studio facilities, library resources, and on-campus work-space. Social Integration: As noted above, the degree to which a student feels part of a department as a critical factor in determining whether a student completes a doctoral program. Question D5, along with other questions, collects data on opportunities for social interaction. Quality of Life: In addition to financial support and health care benefits, support for doctoral students may also include provision of housing or housing assistance, provision of child care or financial support for child care, and recreational facilities. These pieces of the support package a doctoral student can expect—particularly students with children—may affect the ability of students to matriculate, complete in a timely manner, or complete at all. Questions 6-8 collect data on respondent perceptions of these benefits. Part E: Background Information The information collected in this section of the questionnaire will allow analysts to examine the comparative demographics of programs, and also examine how the answers to questions in Parts A-D of the questionnaire may vary across such dimensions as age, gender, race/ethnicity, citizenship status, family background, marital status, and responsibility for dependents. The participation in doctoral education of students from a variety of backgrounds is important to the academic enterprise, the conduct of research, and society in general, so understanding how doctoral education works for students across groups will provide the opportunity to evaluate success to date and areas where further progress is necessary. 158 PREPUBLICATION COPY—UNEDITED PROOFS

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The National Academies National Research Council Assessment of Research Doctorate Programs Survey of Program Quality Thank you for agreeing to participate as a rater in {taxonomy field name} in the Survey of Program Quality, a critical component of the National Research Council’s Assessment of Research Doctorate Programs. This survey asks for your judgment—and the judgment of other faculty members like you—about the quality of a sample of doctoral programs in your field. How your judgments will be used. The judgments of over 200 raters in each field will be used to calculate ratings of perceived quality for a sample of the programs, rather than all the programs in a field. Previous research (Ostriker & Kuh, 20031) has shown us how to use faculty views on the strength of different PhD programs combined with objective data concerning program characteristics to produce ratings of additional programs. These new ratings are based on objectively measured characteristics, such as publications, citations and time to degree, but imitate, to the extent achievable, the judgment criteria of the initially surveyed faculty. Thinking about your perception of a program’s quality. As part of this survey, you will be asked to rate 15 programs on a scale of 1 to 6 (1=a program not sufficient for graduate education, 6=a distinguished program). We urge you to keep two things in mind as you decide on your ratings: • Prior to rating these 15 programs, you will have the opportunity to view a list of all programs in your field. Keep this “universe” of programs in mind as you rate each of the 15 programs relative to this universe, not to each other. • Please reflect on what you consider important in a doctoral program as you decide on your ratings. To assist you, a link below each program’s name goes to an information page that lists several program and faculty characteristics, a list of the program’s faculty and a link to the program’s web site as well, should you want to seek additional information before finalizing your rating. Your efforts will improve doctoral education through benchmarking and better information about programs. The survey is being conducted by Mathematica Policy Research (MPR), an organization experienced in the conduct of confidential surveys. Your responses will be compiled by MPR and provided to the NRC for their analyses. The National Research Council staff who analyze the data will sign non-disclosure confidentiality agreements to protect the identity of individuals participating in the survey. The survey will be conducted using secure web-based survey technology and any information that could be used to identify or link responses to an individual respondent for any survey question will be maintained in storage that is secure. Your identity will be known only to the National Research Council and Mathematica Policy Research who have signed non-disclosure agreements. Only aggregate information from the survey, such as means and distributions of ratings for programs, will be included in publications from the 1 Link to citation url. 159 PREPUBLICATION COPY—UNEDITED PROOFS

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project. If you have any questions about the study or this questionnaire, please email us at NRC- Assessment@mathematica-mpr.com. I provide my informed consent to participate in this study Yes No 160 PREPUBLICATION COPY—UNEDITED PROOFS

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Instructions 1. Listed below are the 15 programs in your field that you are being asked to rate. Given the range of programs within some fields, you may or may not be familiar with all of the programs you are being asked to rate. Consequently, you will be asked two questions about each program. The first asks how familiar you are with the program and the second asks you to rate its quality. 2. Before considering programs individually, please take a moment to familiarize yourself with the larger range of programs in your field. To do so, please click on this link: Click here for a list of all institutions in the study with programs in this field: 3. To begin considering programs individually, click on the link provided for each institution. You will be taken to that program’s information page. If it was provided to the NRC, the information pages will also list a link to that program’s home page. NOTE: The two rating questions for each program will appear at the bottom of that program’s information page. Your rating will only be considered valid if both questions are answered. 4. Finally, after you have rated all 15 programs, a summary page will appear with all of your responses. Please review your responses and make any final changes at that point. Once submitted, your responses are final. Names of Programs to be Rated Information Link Cornell University link to information page Duke University link to information page Etc. SAVE—GO TO SAVE SUMMARY PAGE QUIT FOR NOW 161 PREPUBLICATION COPY—UNEDITED PROOFS

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Institution: {name} Location: {place} Program: {name} Program URL: {URL} Two types of information are presented about this program – the names of the faculty who are currently working with doctoral students, followed by a few facts about the program and its faculty. Faculty Names (Faculty spreadsheet) Core2 New3 Associated4 2 There will be a link to explain this term. 3 There will be a link to explain this term. 4 There will be a link to explain this term. 162 PREPUBLICATION COPY—UNEDITED PROOFS

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Some Facts about the Program • Number of Ph.D.s 2001-2006: _____ • % PhDs in academic positions (average 2001-2005) : ____ • Percent of entering cohort who complete in eight years or less (average for Ph.D.s admitted between 1996-97 and 1997-1998) : _____ • Median Time to Degree (average 2004-2006): ____ • Faculty % Female : ____ • Faculty % Non-white : _____ The Rating Questions 1. On a scale from 1 to 3, where 1 means you have little or no familiarity with this program and 3 means that you have considerable familiarity, how familiar are you with this program? Little or None Some Considerable 1 2 3    2. On a scale from 1 to 6, where 1 equals not adequate for doctoral education and 6 equals a distinguished program, how would you rate this program? Not Adequate For Doctoral Don’t Know Education Marginal Adequate Good Strong Distinguished Well Enough 1 2 3 4 5 6 9        SAVE—GO TO SAVE/GO TO NEXT SAVE SUMMARY PAGE PROGRAM QUIT FOR NOW 163 PREPUBLICATION COPY—UNEDITED PROOFS

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Listed below are your responses to the rating questions you answered. Please review them carefully. • NOTE - If you wish to review a program’s information sheet once again, click on the link under the university’s name • If you wish to change a response, you can do so by making the change on this page. The correct question will be updated automatically for you University/Program Name Familiarity Rating Quality Rating {name-link to info page} {inserted automatically} {inserted automatically} CAUTION: Please make sure you have thoroughly reviewed your answers. Once you click the “submit button” your responses are final. SUBMIT MY FINAL RESPONSES 164 PREPUBLICATION COPY—UNEDITED PROOFS