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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. 235

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236 NSf FORM 411 (Dee 1979) FORM APPROVED OMB No. 99-R0279 NATIONAL SCI ENCE FOUNDATION Washington, D.C. 20550 SURVEY OF SCIENTI FIC 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: NATIONAL SCIENCE FOUNDATION ~S00 G Street, N.W. (Includes aggregate data from 567 Washington, D.C. 20550 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 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 All financial data requested on this form should be re- and development centers (FFRDC's). A separate questionnaire is included in this pack- 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 . . you are reporting on this form Where exact data are not available, estimates are ac- 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 O R PR I NT T AREA NAME OF PERSON SUBMITTING THIS FORM ITLE CODE EXCH NO. 1111111111111111111 1llllllllllllllllllll 1111 111 NAME OF PERSON WHO PREPARED THIS AREA ~ ~ SUBMISSION (If different from above) TITLE CODE EXCH NO. EXT 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1 1~ Please check and correct if necessary the name and address of your institution shown on the mailing label. DATE EXT

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237 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. 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 the 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 conscience fields. Source of funds | Hi) | Basic research (Dollars in (Percent of thousands) column 1) a. Federal Government 1 110 3.431 ~ 538 73.4 % b. State and I ocal govern men ts 1 1 25 467 311 ~ Basic research is directed c. I ndustry 1 150 19 3 794 toward an i ncrease of knowledge; it is research where the primary aim d. Institutional funds 1160 of the investigator is a 716,241 fuller knowledge or un- derstanding of the sub- (1) Separately budgeted 1161 357 926 jeer under study rather _ . ~ than a practical applica- (2) Underrecovery of indirect costs and cost tion thereof. sharing 1 162 358,315 *e. All othersources e 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 1100column (1) and line l400 column (2) should be thesame. 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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238 __ ~ ITEM 2. TOTAL AND FEDERALLY FINANCED EXPENDITURES FOR SEPARATELY BUDGETED RESEARCH AND DEVELOPMENT, BY FIELD OF SCIENCE, FY 1979 (Include indirect costs and equipment). Field of science j Illustrativedisciplines a. ENGINEERING (TOTAL) b. PHYSICAL SCIENCES (TOTAL) __ (1) Astronomy (2) Chemistry 1- Aeronautical, agricultural, chemical, civil, electrical, industrial, mechanical, metallurgical, mining, nuclear, petroleum, bio- and I biomedical, energy, textile, architecture L 410 1 420 1421 1422 1423 1424 1430 i 1 (3) Physics (4) Other c. ENVIRONMENTAL SCI ENCES (TOTA L) (Dollars in thousands) (1) TotaI (2) Federal Astrophysics, optical and radio, x-ray, gamma-ray, neutrino Inorganic, organo-metallic, organic, physical, analytical, pharma- ceutical, polymer science (exclude biochemistry) $ 715 454 559,566 39~026 $ 474,866 448,992 26 862 ? __ 204,062 154,031 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- physics, marine biology, biological oceanography 275, 680 236, 872 40, 798 429, 129 1 d. MATH EMATICAL AND COMPUTER SCI ENCES (TOTAL) 1440 1 145 08 7 _ _ __ .. _ , (1) Mathematics _ AInahr:~ :~n~lvoie ar~r~~;~l rno~l~ ~;_~ 4~ :~ - and:_ (2) Computer sciences e. LIFE SCIENCES (TC TAL) 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 - (1) Biological sciences Anatomy, biochemistry, biophysics, biogeography, ecology, embryology, entomology, genetics, immunology, microbiology, nutrition, parasitology, pathology, pharmacology, physical anthropology, physiology, botany, zoology (2) Agricultural Agricultural chemistry, agronomy, animal science, conservation, dairy science, plant science, range science, wildlife A nesthesiology, card iology, endocri nol 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 1454 Animal behavior, clinical, educational, experimental, human development and personality, social (3) Medical - (4) Other f. PSYCHOLOGY (TOTAL) - 9. SOCIAL SCI ENCES (TOTAL) ( 1 ) Econom ics 1441 1442 1450 1 451 1 452 1453 Econometrics, international, industrial, labor, agriculture', public finance and fiscal 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, cultural anthropology, linguistics, socio- economic geography (2) Political science (3) Sociology (4) Other 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. 31,227 307,493 94 534 _ . _, 1 65 637 , 79,450 _ 2.814~ 824 _ 949,993 565,697 _ _ 1460 . _ 1470 _ _- 1471 _ . _ 1 472 _ 473 1474 1 480; 1 1400 1,214,442 84,692 99 732 290 057 , 85,415 39,029 72,669 92,944 128,880 5,182,729 49 043 45,491 1 810 729 . . 690,805 168,849 890,612 60,463 72.256 153~674 40,641 18,452 46,739 47,842 68,994 .431,538 1 PLEASE EXCLUDE FROM YOUR RESPONSE ANY R&D EXPENDITURES IN THE FIELDS OF EDUCATION, LAtY, HUMANITIES, MUSIC, THE ARTS, PHYSICAL EDUCATION, LIBRARY SCIENCE, AND ALL OTHER NONSCIENCE FIELDS.

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239 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 Total (1) Federal (2) All other sources (3) a. b. c. d. Mathematical and computer sciences . e. Life sciences . f. Psychology . 9. Social sciences h. Other sciences, n.e.c. Engineering Physical sciences. Environmental sciences. 1710 1 720 1 730 1 740 1750 1 760 1 770 1 780 1700 $ 95,399 64,551 25,293 27,465 456 477 7.803 20,932 $ 22,060 32,439 8,970 3,044 92.567 1.767 2,069 31,984 5,054 $ 729.904 1$ 167~975 $ 73,334 32,112 16,323 74,41 h 363.910 6.036 18,863 26,930 $ 561.929 i. Total (sum of a through h) .