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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
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
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.
(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.
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
