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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 (NIH) 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 programs 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 awardees 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. 221

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222 NSf FORM 411 (Dec. 1979) FORM APPROVED OMB No. 99-R0279 NATIONAL SCIENCE FOUNDATION Washington, D.C. 20550 SURVEY OF SCIENTIFIC AND ENGINEERING EXPENDITURES AT UNIVERSITIES AND COLLEGES, FY 1979 (Current 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: NATI ONAL SC I ENC E FOU N DATION lS00 G Street, N.W. (Includes aggregate data from 567 Washington, D.C. 20550 universities and colleges but ex- Attn: UNISG This form should be returned by February 1, 1980. eludes 19 university-administered Your cooperation in returning the survey questionnaire FFRDC'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 (202-634-4674). 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 l TITLE IA EAI EXCH I NO I NAME OF PERSON SUBMITTING THIS FORM _ CODE I I I I I I I I I I I I I I I I I I I I I I I I I T I 1 TTTTT1 I T TTTrT~ I I I I I I I . . NAME OF PERSON WHO PREPARED THIS | AREA EXT SUBMISSION (If different from above) T _ _ _ TITLE CODE EXCH NO. I ~ ~ ~ ~ ~ ~ I ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ I ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ ~ T T TITTlL ~ ~ ~ ~ ~~ Please check and correct if necessary the name and address of your institution shown on the mailing label. DATE EXT

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223 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 by all agencies of the Federal Government including indirect costs from these sou roes. Under b. State and local governments. Include funds for R&D from State, county, municipal, or other local governments and their agencies. Include 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 re- 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 Stagehand 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 nonscience fields. Source of funds ( 1 ) (21 . expenditures Basic research (Dollars in (Percent of thousands) column 1) . $ 73.4 % 3. 431~ 538 467 311 ~ Basic research is directed 19 3 794 toward an increase of knowledge; it is research where the primary aim of the investigator is a 716, 241 fuller knowledge or un- derstanding of the sub- 35 7 9 2 6 tech u nder study rather than a practical applica- tion thereof. 358, 315 373,845 . 68 5 . $ 5, 182, 729 . % a. Federal Government 1110 fib. State and I ocal govern meets 1 1 25 c. I ndustry 1 1 50 d. Institutional funds 1 1 60 ( 1 ) Separately budgeted 1 1 6 1 (2) Underrecovery of indirect costs and cost sharing 1 1 62 ~e. All other sources f. TOTAL (sum of a through e) 1 1 75 1 1 00 Combined data cell (See instructions for b and e). Total R8`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, or es- timates for basic research expenditures, will not be published or released; only aggregate totals will appear in publications.

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224 . 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) Field of science Illustrativedisciplines (1) Total (2) Federal _ __. 1 Aeronautical, agricultural, chemical, civil, electrical, industrial, a. ENGINEERING mechanical, metallurgical, mining, nuclear, petroleum, bio- and 1410 (TOTAL) I biomedical, energy, textile, architecture $ 715 454 $ 474 866 ~ ! ~ ~ b. PHYSICAL SCIENCES (TOTAL) 1420 559 566 448, 992 ~ ,. ( 1 ) Astronomy Astrophysics, optical and radio, x-ray, gamma-ray, neutrino 1421 39 ~ 026 26, 862 t2) Chemistry Inorganic, organo-metallic, organic, physical, analytical, pharma- _ _ ceutical, polymer science (exclude biochemistry) 1422 204, 062 154, 031 (3) Physics Acoustics, atomic and molecular, condensed matter, elementary particles, nuclear structure, optics, plasma 1423 275, 680 236, 872 _ . _ _ _ (4) Other Used for multidisciplinary projects within physical sciences and for disciplines not requested separately 1424 40, 798 31,227 ATMOSPHERIC SCIENCES: Aeronomy, solar weather modifica- tion, meteorology, extra-terrestrial atmospheres c. ENVIRONMENTAL GEOLOGICAL SCIENCES: Engineering geophysics, geology, SCIENCES geodesy, geomagnetism, hydrology, geochemistry, paleomagnetism, | 1430 (TOTAL) paleontology, physical geography, cartography' seismology, soil l sciences OCEANOGRAPHY: Chemical, geological, physical, rr~arine geo- 429,129 307,493 physics, marine biology, biological oceanography . d. MATHEMATICAL AND COMPUTER SCIENCES (TOTAL) 1440 1 145.087 94 s34 (1 ) Mathematics | Algebra, analysis, applied mathematics, foundations and logic, geometry, numerical analysis, statistics, topology 1441 j 65,637 49,043 (2) Computer sciences Design, development, and application of computer capabilities to ! data storage and manipulation, information science 1442 79, 4so 45,491 e. LIFE SCIENCES (TC lTAL) ~ 1450 2, 814.824 _ 1.810.729 Anatomy, biochemistry, biophysics, biogeography, ecology, to) Biological embryology, entomology, genetics, immunology, microbiology, 1451 1 sciences nutrition, parasitology,pathology,pharmacology,physical 949 993 690 805 anthropology, physiology, blatant, zoology (2) Agricultural Agricultural chemistry, agronomy, animal science, conservation, dairy science, plant science, range science, wildlife 1452 s65,697 _ 168,849 Anesthesiology, cardiology, endocrinology gastroenterology, (3) Medical hematology, neurology, obstetrics. opthaimology, p'Pventi\'e 1453 medicine and community health, psychiatry, radiology. surgery, 1,214,442 890,612 veterinary medicine, dentistry, pharmacy _- (4) Other Used for multidisciplinary projects within life sciences 1454 84,692 60,463 f. PSYCHOLOGY Animal behavior, clinical, educational, experimental, human (TOTAL) development and personality, social 1 1460 99, 732 72 ~ 256 g. SOCIAL SCI ENCES (TOTAL) ~ 290,057 153 ~ 674 (1) Economics | Econometrics, international, industrial, labor, agriculture', public | 1 finance and fiscal policy 1471 85,415 40,641 (2) Political science | Regional studies, comparative government, international relations, | | legal systems, political theory, public administration ~ 1472 39,029 18,452 | Comparative and historical, complex organizations, culture and I l (3) Sociology | social structure, demography, group interactions, social problems ~ 1473 1 | and welfare, theory ~ ! 72,669 46,739 1 - 1 1 (4) Other | History of science, cultural anthropology, linguistics, socio- l l 1 economic geography 1 1474 1 92 ~ 944 47 ~ 842 - 1 1 ~ h. OTHER SCIENCES,| To be used when the multidisciplinary and interdisciplinary ~ 1480 | n.e.c. (TOTAL)* | aspects make the classification under one primary field impossible I | 128,880 68,994 1 1 1 1 i. TOTAL (SUM of a through h) Check to insure that column totals are identical with l l data reported in item 1. ~ 1400 1 5 ,182, 729 3 .431, 538 PLEASE EXCLUDE FROM YOUR RESPONSE ANY R&D EXPENDITURES IN THE FIELDS OF EDUCATION, LAM, HUMANITIES, MUSIC, THE ARTS, PHYSICAL EDUCATION, LIBRARY SCIENCE, AND ALL OTHER NONSCIENCE FIELDS.

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225 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 halls, 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 $300 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; (b) movable scientific equipment such as oscilloscopes and pulse-height analyzers; (c) movable 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 a. Engineering . b. Physical sciences. c. Environmental sciences. d. Mathematical and computer sciences . e. Life sciences . f Psychology . 9. Social sciences h. Other sciences, n.e.c. i. Total (sum of a through hi . Total (1) 1710 . . . $ 95,399 . 64,551 25 293 , 27,465 456 ~ 477 7 803 . 20,932 31,984 - $ 729e 904 Federal (2) $ 22,060 32 439 , . 8,970 3,n4s . 92.567 1.767 . 2,069 5 054 . ~ _ $ 167.975 All other sources (3) . . _ $ 73,339 32,112 16 323 . 94,41 h 363 910 . 6 036 . . 18,863 Z6 930 . , .. _ . $ 561.929 _ . . . 1720 1 730 1740 1750 1 760 1770 1 780 17bo