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OCR for page 215
APPENDIX E
FACULTY RESEARCH SUPPORT
The names of National Science Foundation {NSF) research grant
awardees were obtained from a file maintained by the NSF Division of
Information Systems. The file provided to the committee covered all
research grant awards made in FY1978, FY1979, and FY1980 and included
the names of the principal investigator and co-principal investigators
for each award. Also available from this file was information
concerning the field of science/engineering of the research grant and
the institution with which the investigator was affiliated. This
information was used in identifying which research grant recipients
were on the program faculty lists provided by institutional
coordinators.
The names of National Institutes of Health (NIB) and Alcohol, Drug
Abuse, and Mental Health Administration (ADAMHA) research grant
recipients (principal investigators only) were obtained from the NIH
Information for Management Planning, Analysis, and Coordination
System. This system contains a detailed record of all applications
and awards in the various training and research support pro-trams of
these agencies.
For the purposes of this study, information analogous
to that available from the NSF file was extended for FY1978-80
research grant awarders and their records were matched with the
program faculty lists. Measure 13 constitutes the fraction of program
faculty members who had received one or more research grant awards
from NSF (including both principal investigators and co-principal
investigators), NIH, or ADAMHA during the FY1978-80 period.
R&D EXPENDITURES
Total university expenditures for R&D activities are available
from the NSF Survey of Scientific and Engineering Expenditures at
Universities and Colleges. A copy of the survey form appears on the
following pages
.
215
OCR for page 216
216
NSF FORM 411 (Dec. 1979} FORM APPROVED
OMB No. 99-R0279
NATIONAL SCI ENCE FOUNDATION
Washington, D.C. 20550
SURVEY OF SCIENTIFIC AND ENGINEERING
EXPENDITURES AT UNIVERSITIES AND COLLEGES, FY 1979
ICurrent and Capital Expenditures for Research,
Development, and Instruction in the Sciences and Engineering}
Organizations are requested to complete and return this Please correct if name or address has changed
form to:
NATIONAL SCIENCE FOUNDATION
18~ G Street, N.W. (Includes aggregate data from 567
Washing on, D.C. 20550
At~n UNISG universities and colleges but ex
This form should be returned by February 1, 1980. eludes 19 university-administered
Your cooperation in returning the survey questionnaire FERDC's)
promptly is very important.
Financial data are requested for your institution's
1979 fiscal year.
This information is solicited under the authority of the
National Science Foundation Act of 1950, as amended.
All information you provide will be used for statistical Include data for branches and all organizational units of your institution, such as
purposes only. Your response is entirely voluntary and medical schools and agricultural experiment stations. Also include hospitals or clinics
your failure to provide some or all of the information owned, operated, or controlled by universities, and integrated operationally with the
will in no way adversely affect your institution. clinical programs of your medical schools. Exclude data for federally funded research
and development centers (FFRDC's). A separate questionnaire is included in this pack
All financial data requested on this form should be re
ported in thousands of dollars, for example, an expend- age if your institution administers an FFRDC. If you have any questions please contact
iture of $25,342 should be rounded to the nearest Jim Hoehn (202-6344674).
thousand dollars and reported as $25. Please enter the beginning and ending dates of your institution's fiscal year for which
Where exact data are not available, estimates are ac- you are reporting on this form:
ceptable. Your estimates will be better than ours. through _
Please note in space below:
(1) Any suggestions to improve the design of the survey questionnaire, (2) any suggestions to improve
the instructions, or (3) any comments on significant change in R&D in your institution.
(Attach additional sheets, if necessarY.}
. .
PLEASE TYPE OR PRINT TITLE AREA EXCH NO.
NAME OF PERSON SUBMITTING THIS FORM CODE
1111111111111111111 1111111111111111111111111111111
NAME OF PERSON WHO PREPARED THIS TITLE AREA EXCH NO. EXT
SUBM I SSI ON ( I f different f rom above) COD E
1111111111111111111 11111111111111111111111111111111111
Please check and correct if necessary the name and address of your institution shown on the mailing label. DATE
EXT
my
OCR for page 217
217
ITEM 1. CURRENT EXPENDITURES FOR SEPARATELY BUDGETED RESEARCH AND
DEVELOPMENT (R&D) IN THE SCIENCES AND ENGINEERING, BY SOURCE OF
FUNDS AND BASIC RESEARCH, FY 1979 (Include indirect costs)
ITEMS 1. & 2. INSTRUCTIONS
Separately budgeted research and development (R&D) includes all funds expended for activities specifically organized to produce research outcomes
and commissioned by an agency either external to the institution or separately budgeted by an organizational unit within the institution. Include
equipment purchased under research project awards as part of ''current funds." Research funds subcontracted to outside organizations should also
be included. Exclude training grants, public service grants, demonstration projects, etc.
Under a. Federal Government. Report grants and contracts for R&D be all An~nriPc Of to.` mar ~A.~^-
sou roes.
r -~ bye ;~ Al tilt: rural Government Including indirect COStS from these
Under b. State and local governments. Include funds for R&D from State, county, municipal, or other local governments and their agencies. Ir~clude
here State funds which support R&D at agricultural experiment stations.
Under c. Industry. Include all grants and contracts for R&D from profitmaking organizations, whether engaged in production, distribution, research,
service, or other activities. Do not include grants and contracts from nonprofit foundations financed by industry, which should be ret
ported under All other sources.
Under d. Institutional funds. Report funds which your institution spent for R&D activities including indirect costs from the following sources:
( 1 ) General-purpose State or local government appropriations; (2) genera-purpose grants from industry, foundations, or other outside
sources; (3) tuition and fees; (4) endowment income. In addition, estimate your institution's contribution to unreimbursed indirect costs
incurred in association with R&D projects financed by outside organizations, and mandatory cost sharing on Federal and other grants.
To estimate unreimbursed indirect costs, many institutions use a university-wide negotiated indirect cost rate multiplied by the base (e.g.,
direct salaries and wages, etc.) minus actual indirect cost recoveries. If your institution now separately budgets what was previously
classified as departmental research, these data should be included in line d.
Under e. All other sources. Include foundations and voluntary health agencies grants for R&D, as well as all other sources not elsewhere classified.
Funds from foundations which are affiliated with or grant solely to your institution should be included under d. Institutional fiends.
Funds for R&D received from a health agency that is a unit of a State or local government should be reported under State~and local
governments. Also include gifts from individuals that are restricted by the donor to research.
Please exclude from your response any R&D expenditures in the fields of education, law, humanities, music, the arts, physical education, library
science, and all other Conscience fields.
Source of funds
a. Federal Government
*b. State and local governments
c. I ndustry
d. Institutional funds
( 1 ) Separatel y bu dgeted
(2) Underrecovery of indirect costs and cost
shard ng
~e. All other sources
f. TOTAL (sum of a through e)
·Combined data cell (See instructions for b and e).
1 1 1 0
1125
1150
1160
1161
1162
1175
1100
( 1 ) (2)
expenditures Basic research
_
(Dollars in (Percent of
thousands) column 1)
_
s 73~4 %
3. 431~ 538
467 311
~Basic research is directed
193 794 toward an increase of
knowledge; it is research
where the primary aim
41 of the investigator is a
716, 2 fuller knowledge or un
derstanding of the sub
35 7 9 2 6 ject u nder study rather
than a practical applica-
tion thereof.
358 315
,
373, 845
_
68.5 %
$ 5, 182, 729
Total R&D expenditures reported in line 1100 column (1) and line 1400 column (1) should be the same.
Federally financed R&D expenditures reported in line 1100 column (1 ) and line 1400 column (2) should be the same.
CONFIDENTIALITY
Information received from
individual institutions in
lines 1161 and 1162,ores-
timates for basic research
expenditures, will not be
published or released; only
aggregate totals will appear
in publications.
OCR for page 218
(3) Physics
218
Field of science
ITEM 2. TOTAL AND FEDERALLY FINANCED EXPENDITURES FOR SEPARATELY BUDGETED
RESEARCH AND DEVELOPMENT, BY FIELD OF SCIENCE, FY 1979 (Include indirect costs and equipment).
(Dollars in thousands)
Illustrative disciplines
1410 _
~ _
1420
1421
1422
1423
1424
1 1
(1) Total
( 2 ~ F ederal
a, ENGINEERING
(TOTAL)
Aeronautical, agricultural, chemical, civil, electrical, industrial,
mechanical, metallurgical, mining, nuclear, petroleum, bio- and
biomedical, energy, textile, architecture
$ 715.454
559,566
39.026
204,062
$ 474,866
448,992
26,862
b. PHYSICAL SCIENCES {TOTALl
_
(1) Astronomy
(2) Chemistry
Astrophysics, optical and radio, x-ray, gamma-ray neutrino
Inorganic, organo-metallic, organic, physical, analytical, pharma-
ceutical, polymer science (exclude biochemistry)
154,031
Acoustics, atomic and molecular, condensed matter, elementary
particles, nuclear structure, optics, plasma
_ _
Used for multidisciplinary projects within physical sciences and
for disciplines not requested separately
ATMOSPHERIC SCIENCES: Aeronomy, solar weather modifica-
tion, meteorology, extra-terrestrial atmospheres
GEOLOGICAL SCIENCES: Engineering geophysics, geology,
geodesy, geomagnetism, hydrology, geochemistry, paleomagnetism,
paleontology, physical geography, cartography, seismology, soil
sciences
OCEANOGRAPHY: Chemical, geological, physical, marine geo- I
physics, marine biology, biological oceanography I
(4) Other
c. ENVIRONMENTAL
SCI ENCES
(TOTAL)
275,680
40,798
429,129
236,872
31,227
307,493
d. MATHEMATICAL
{1) Mathematics
(2) Computer sciences
_
a. LIFE SCIENCES {TOTAL) _
(1) Biological
sciences
~-
Algebra, analysis, applied mathematics, foundations and logic,
geometry, numerical analysis, statistics, topology
Design, development, and application of computer capabilities to
data storage and manipulation, information science
Anatomy, biochemistry, biophysics, biogeography, ecology,
embryology, entomology, genetics, immunology, microbiology,
nutrition, parasitology, pathology, pharmacology, physical
anthropology, physiology, botany, zoology
_
Agricultural chemistry, agronomy, animal science, conservation,
dairy science, plant science, range science, wildlife
A n6sthesiology, cardiology, endocri noi ogy gast roenterol ogy,
hematology, neurology, obstetrics, opthalmology, preventive
medicine and community health, psychiatry, radiology! surgery,
veterinary medicine, dentistry, pharmacy
_ _ .
Used for multidisciplinary projects within life sciences
Animal behavior, clinical, educational, experimental, human
development and personality social
.
g. SOCIAL SCIENCES (TOTAL)
_
(1) Economics
(2) Agricultural
{3) Medical
(4) Other
f. PSYCHOLOGY
(TOTAL)
(2) Political science
-
(3) Sociology
-
(4) Other
Econometrics, international, industrial, labor, agriculture', public
f inance and f iscal pal icy
. _
Regional studies, comparative government, international relations,
legal systems, political theory, public administration
Comparative and historical, complex organizations, culture and
social structure, demography, group interactions, social problems
and welfare, theory
_
History of science, culture; anthropology, linguistics, socio-
economic geography
.
h. OTHER SCIENCES,
n.~.c. (TOTAL).
To be used when the multidisciplinary and interdisciplinary
aspects make the classification under one primary field impossible
i. TOTAL (SUM of a through h) Check to insure that column totals are identical with
data reported in item 1.
MEL
1450 1
l ~
.
. 1452L
1453 ~
1 1,214,442
65,637
79,450
,814,824 _
949,993
94,534
49,043
45,491
1.810.729
690,805
_
565,697
1
14"
~1460
1470 |
_. . 1
1472 1
1
1473
1474
1
AL
1 400 1
168,849
890,612
84,692
99,732
290~057
85,415
39,029
72,669
92,944
128,880
5,182,729
60,463
_ 72.256
153.674
40,641
18,452
46,739
47,842
68,994
~, ~
PLEASE EXCLUDE FROM YOUR RESPONSE ANY R&D EXPENDITURES IN THE FIELDS OF EDUCATION, LAW, HUMANITIES,
MUSIC, THE ARTS, PHYSICAL EDUCATION, LIBRARY SCIENCE, AND ALL OTHER NONSCIENCE FIELDS.
OCR for page 219
219
.
ITEM 3. CAPITAL EXPENDITURES FOR SCIENTIFIC AND ENGINEERING FACILITIES AND
EQUIPMENT FOR RESEARCH, DEVELOPMENT, AND INSTRUCTION,
BY FIELD OF SCIENCE AND SOURCE OF FUNDS, FY 1979
ITEM 3. INSTRUCTIONS
Report funds for facilities which were in process or completed during FY 1979. Expenditures for administration buildings, steam plants, residence
hails, and other such facilities should be excluded unless utilized principally for research, development, or instruction in engineering or in the sci-
ences. Land costs should be excluded. Exclude small equipment items in your current fund account costing approximately S300 or less per unit or
as recommended by the Joint Accounting Group (JAG) or as determined by your institutional policy; these are to be reported under items 1 and 2.
Facilities and equipment expenditures include the following: (a) Fixed equipment such as built-in equipment and furnishings; lb) movable scientific
equipment such as oscilloscopes and pulse-height analyzers; (c) rr~ovable furnishings such as desk; (d) architect's fees, site work, extension of utilities,
and the building costs of service functions such as integral cafeterias and bookstores of a facility; (e) facilities constructed to house separate com-
ponents such as medical schools and teaching hospitals; and (f) special separate facilities used to house scientific apparatus such as accelerators,
oceanographic vessels, and computers.
(Dollars in thousands)
Field of science |Total |Federal
O) (2)
_ .
a. Engineering . . . . . . . . . . . . . . . 1710 $ 95,399 $ 22,060
b. Physical sciences. . . . . . . . . . . . . . t720 64,551 32 ~ 439
c. Environmental sciences . . . . . . . . . . . . 1 730 25,293 8 ? 9 70
d. Mathematical and computer sciences . . . . . . . . 1740 27 ~ 465 3 ~ n4Q
e. Lifesciences. . . . . . . . . 1750 456.477 92.567
f. Psychology . . . . . . . . . . . . . . . 1760 7,803 1.767
9. Social sciences . . . . . . . . . . . . . . 1770 20,932 2,069
h. Other sciences, n.e.c. . . . . . . . . . . . . 1780 31,984 5,054
i. Total (sum of a through h) . . . . . . . . . . . 17 ~$ 729.904 $ 167.975
All
other sources
(3)
$ 73, 339
32 112
16,323
94,61 h
363,910
6.036
-
18,863 _
26,930
$ 561.929
Representative terms from entire chapter:
indirect costs
