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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 uroaram faculty lists provided by institutional ~ ~ _ of_ _ ~ ~ _ ~ ~ ~ ~ _ _ ~ ~ ~ ~ ~ ~ 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 ror ~Y'Y/~-oU 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. 165

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166 NSF FORM 411 (Dee 1979) Organizations are requested to complete and return this form to: NATIONAL SCIENCE FOUNDATION 1800 G Street, N.W. Washington, D.C. 20550 Eaten: UNISG This form should be returned by February 1, 1980. Your cooperation in returning the survey questionnaire 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 purposes only. Your response is entirely voluntary and your failure to provide some or all of the information will in no way adversely affect your institution. All financial data requested on this form should be re- ported in thousands of dollars; for example, an expend- iture of $25,342 should be rounded to the nearest thousand dollars and reported as $25. Where exact data are not available, estimates are ac- ceptable. Your estimates will be better than ours. NATIONA L SCI ENCE 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) FORM APPROVED OM B No. 99-R02 79 Please correct if name or address has changed (Includes aggregate data from 567 universities and colleges but ex- cludes 19 university-administered FFRDC's) Include data for branches and all organizational units of your institution, such as medical schools and agricultural experiment stations. Also include hospitals or clinics owned, operated, or controlled by universities, and integrated operationally with the 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- age if your institution administers an FFRDC If you have any questions please contact Jim Hoehn (202-634-4674). Please enter the beginning and ending dates of your institution's fiscal year for which you are reporting on this form: th rough 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 NAME OF PERSON SUBMITTING THIS FORM 1 1 1 1 1 1 1 1 1 TITLE | CODE | EXCH | NO. - 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 ~ r II: EXT :~ NAME OF PERSON WHO PREPARED THIS SUBMISSION (If different from above) ___., TITLE I C )DE | EXCH | NO, | EXT | 1111111111111111111 111111111111111111111 1111111111111 Please check and correct if necessary the name and address of your institution shown on the mailing label. DATE

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167 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. 81 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. Preclude 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 se,oarately budgets `~hat 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 conscience fields. Source of funds | expenditures | Basic research (Dollars in T (Percent of thousands) I column 1) a Federal Government | 13~0 | $ 3 431 538 | *b. State and local governments 1125 467 311 ~ Basic research is directed n 1 toward an increase of c. I dustry 150 193, 794 knowledge; it is research where the primary aim d. Institutional funds 1160 24 of the investigator is a 716 ~ 1 fuller knowledge or un- derstanding of the sub- ( 1 ) Separatel y budgeted 116 1 35 7 9 2 6 ject under study rather ~ than a practical applica- (2) Underrecovery of indirect costs and cost tion thereof. sharing 1 162 358 315 , , *e. All other sources 1175 373 ~ 845 f. TOTAL (sum of a through e) 1100 5 ,182, 729 68 .5 % *Combined data cell (See instructions for b and e). 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 1 100 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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168 _ - . ITEM 2. TOTAL ANE) 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 Illustrative disciplines . ( 1 ) Total (2) Federal Aeronautical, agricultural, chemical, civil, electrical, industrial, _ a. ENGINEERING mechanical, metallurgical, mining, nuclear, petroleum, bio- and 1410 ~ ~ $ 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 (2) 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 ~ ~ 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 sciences OCEANOGRAPHY: Chemical, geological, physical, rr~'arine geo- 429,129 307 493 physics, marine biology, biological oceanography ~ d. MATHEMATICAL ~ ND COMPUTER SCIENCES (TOTAL) | 1440 145 087 94 534 _ ___ . ~ ~ . _, (1 ) Mathematics Algebra, analysis, applied mathematics, foundations and logic, geometry, numerical analysis, statistics, topology 1441 65 637 49 043 _ _ _ __ ~ ~ (2) Computer sciences Design, development, and application of computer capabilities to data storage and manipulation, information science 1442 79 450 45 491 ... ~ ~ e. LIFE SCIENCES (TC ITAL) _ 1450 2 ~ 814 ~ 824 _ 1.810.729 Anatomy, biochemistry, biophysics, biogeography, ecology, ( 1 ) Biological embryology, entomology, genetics, immunology, m icrobiology, 1451 sciences nutrition, parasitology, pathology pharmacology, physical anthropology, physiology, botany zoology 949 ~ 993 690 ~ 805 - (2) Agricultural Agricultural chemistry, agronomy, animal science, conservation, dairy science, plant science, range science, wildlife 1452 565 697 168 849 A nesthesio logy, card iology, endoc ri nol ogy . gash roer.terol ogy, (3) Medical hematology, neurology, obstetrics. opthalmology, preventive 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 ( TOTA L ~ | devel opment and persol Al ity, socia 1 1460 | 9 9, 732 | 72 ~ 256 9. SOCIAL SCIENCES (TOTAL) 1470 290 057 153 674 _ (1) Economics Econometrics, international, industrial, labor, agriculture', public 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 (3) Sociology social structure, demography, group interactions, social problems ~1473 j _ and welfare, theory ~ | 72 ~ 669 46 ~ 739 (4) Other History of science, cultural anthropology, linguistics, socio- l l economic geography 1 1474 1 92 ~ 944 47 ~ 842 1 h. OTHER SCIENCES, To be used when she multidisciplinary and interdisciplinary 11480 1 n.e.c. (TOTAL}* aspects make the classification under one primary field impossible | | 12~3 ~ (3~30 68 ~ 994 1 1 - i. TOTAL (SUM of a through h) Check to insure that column totals are identical with l l ~ 3.431.518 . ~ ~ 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.

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169 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 tJAG) 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 Total Federal _ (1) (2) _ a. Engineering . . . . . . . . . . . . . . . 1710 $ 95 ~ 399 $ 22,060 b. Physical sciences. . . . . . . . . . . . . . 1720 64 ~ 551 32,439 c. Environmental sciences . . . . . . . . . . . . 1730 25 ~ 293 8,970 _ d. Mathematical and computer sciences . . . . . . . . 1740 27 ~ 465 3 ~ 049 e. Life sciences . . . . . . . . . . . . . . . 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} . . . . . . . . . . . 1700 $ 729 ~ 904 $ 167 ~ 975 All other sources (3) $ 73,339 32,112 16,323 94,41 h 363.910 6 036 18,863 . 26,930 . $ 561.929