Appendices

Appendix A: Technical Notes
Appendix B: Detailed Statistical Tables
Appendix C: Bibliography


Appendix A. Technical Notes

Data Source

This report is based on information collected through the Survey of Earned Doctorates (SED), conducted annually by the National Academy of Sciences for the NSF and other Federal agencies since 1957. Data are collected directly from the individual doctorate recipients, and include a complete enumeration of the individual's educational history. Information from this survey becomes part of the Doctorate Records File, which comprises over 1,185,000 records for doctorates awarded since 1920 by regionally accredited universities and colleges. Data on doctoral degrees such as the Ph.D. or D. Sc. are collected in these surveys, but not on first-professional degrees such as the J.D. or M.D. Approximately 94 percent of the annual cohort of doctorate recipients responded to the questionnaire, which is distributed through the cooperation of the Graduate Deans. Partial data from public sources, such as graduation commencement programs, were added to the file for those doctorate recipients who had not responded. The data for a given year include all doctorates awarded in the 12-month period ending June 30th of the referenced year.

Possible Sources of Survey Error

The SED is a universe survey of all recipients of research doctorates; therefore it is not subject to sampling error. Data obtained from this survey are subject to nonsampling error, however. Nonsampling errors may result from a variety of factors, including nonresponse to the survey or to a particular item; differences in interpreting questions; respondent errors; and errors made in recording the data. It is difficult to quantify the nonsampling error from all possible sources. The following provide known information concerning the three major sources of nonsampling error for the SED: survey nonresponse, item nonresponse, and errors made in recording the data.

Survey Nonresponse

The response rate to the SED is high for a voluntary survey of individuals. The response rate averages 94 percent over the period for which data are presented in this report. For nonrespondents to the survey, information on field of study, doctorate institution, sex, and baccalaureate is obtained from public sources such as commencement programs, and added to the file. Data are not imputed for the other variables in the survey.

An analysis of the sources of nonresponse indicated that survey nonresponse is related to institutions, not to characteristics of the doctoral recipients. Half of the nonresponse in 1995 was accounted for by 3 percent of the institutions in the survey. In general, these institutions employed methods for collecting the survey data that resulted in low response rates or did not have any residency requirements for their doctoral programs.

Item Nonresponse

Persons who respond to the survey may choose not to provide the information requested in a particular question or may inadvertently skip an item on the survey form. The public sources already cited (e.g., commencement programs) may provide additional information. The data items reported in the tables in this report are listed in Table A-1 with response rates, showing the extent of information obtainable from any sources for doctorates. For example, the item that concerned baccalaureate-origin institution was available for 95.8 percent of the doctorate recipients in 1995.

Errors Made in Recording Data

The SED forms are processed on a continual basis throughout the year. When the forms are received from the Graduate Schools, they are reviewed for completeness to determine whether there is enough information to be considered a response. If so, they are ready for data entry.

The results of an evaluation showed that the error rate is less than one percent. Because the SED is a survey of individuals, an error in recording a data item affects only that item for that individual. The evaluation found that the error rate per item was .002 for the on-line data entry method.

Carnegie Classification of Institutions of Higher Education

The classification system for institutions used in this study was modified from the 1987 Carnegie Classification of Institutions. Using this classification, five types of institutions were identified, as follows.

Research Universities are the 125 leading universities in terms of Federal financial support of research and development; they awarded at least 50 Ph.D.'s each year. Examples include University of California at Berkeley (CA), University of Texas at Austin (TX), Duke University (NC), and University of Chicago (IL).

Doctoral Universities are the major doctoral-granting institutions. The established doctoral programs of these institutions have awarded at least 20 Ph.D.'s in any field, or 10 Ph..D.'s in three or more fields. Examples include Iowa State University (IA), University of South Florida (FL), Howard University (DC), and Rensselaer Polytechnic Institute (NY).

Master's Colleges and Universities offered a full range of baccalaureate programs and are committed to graduate education through the master's degree. They award 20 or more master's degrees annually in one or more disciplines. Examples include Glassboro State College (NJ), Old Dominion University (VA), Creighton University (NE), and Aquinas College (MI).

Baccalaureate Colleges are predominantly bachelor's-degree granting institutions that award 40 or more of their degrees in liberal arts fields. Institutions such as Oberlin College are included, even though they have master's degree programs. This category also includes a group of colleges that awarded less than half their degrees in liberal arts fields, but were too small (i.e., less than 1,500 students) to be considered "master's." Examples of colleges in this category include Reed (OR), Bryn Mawr (PA), College of Charleston (SC), and Fisk University (TN).

Specialized Institutions focused primarily on technical, professional, or corporate programs in a range of areas such as theology, medicine, engineering, business, art, music, law, and teaching. Examples of specialized institutions include New Jersey Institute of Technology, Princeton Theological Seminary (NJ), University of Oklahoma Health Science Center, and Teacher's College of Columbia (NY).

Requests for additional information concerning the survey methodology and analysis should be directed to Susan T. Hill at the following address:

Division of Science Resources Studies
National Science Foundation (Room 965)
4201 Wilson Boulevard
Arlington, VA. 22230
(703) 306-1774


Appendix B. Detailed Statistical Tables

List of Tables

B-1 U.S. vs. foreign baccalaureate-origin institutions of S&E 1991-95 doctorate recipients, by field of doctorate
B-2 Foreign 1991-95 S&E doctorate recipients who earned baccalaureates at U.S. institutions, by visa type and region/country of citizenship
B-3 Top 25 baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorates, by field of doctorate
B-4 Baccalaureate-origin institutions of 1991-95 science and engineering doctorate recipients, by Carnegie Classification of U.S. institutions and field of doctorate
B-5 Top 25 "research universities" that were baccalaureate-origin institutions of 1990-95 science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorates, by field of doctorate
B-6 Top 25 "doctoral universities" that were baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorates by field of doctorate
B-7 Top 25 "master's colleges and universities" that were baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorates, by field of doctorate
B-8 Top 25 "baccalareate colleges" that were baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorate by field of doctorate
B-9 Top 24 "specialized institutions" that were baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients, ranked according to total S/E doctorate by field of doctorate
B-10 Attendance at two year colleges for 1991-95 science and engineering (S&E) doctorate recipients (U.S. citizens only) who attended a 2-year college, by field of doctorate: 1991-95
B-11 Baccalaureate-origin institutions of all 1991-95 science and engineering (S&E) doctorate recipients, by sex and Carnegie Classification of U.S. institutions
B-12 Top 25 baccalaureate-origin institutions of 1991-95 female science and engineering (S&E) doctorate recipients, ranked according to total S&E doctorates, by field of doctorate
B-13 Baccalaureate-origin institutions of all 1991-95 science and engineering (S&E) doctorate recipients, by race/ethnicity and by Carnegie Classification of U.S. institutions
B-14 Top 25 baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients who were Hispanic U.S. citizens, by field of doctorate
B-14a Top 29 institutions that were baccalaureate origins of 1991-95 science and engineering (S&E) doctorate recipients who were citizens, ranked according to total S&E doctorates, by field of doctorate
B-14b Top 27 institutions that were baccalaureate origins of 1991-95 science and engineering (S&E) doctorate recipients who were Mexican-American U.S. citizens, ranked according to total S&E doctorates, by field of doctorate
B-14c Top 23 institutions that were baccalaureate origins of 1991-95 science and engineering (S&E) doctorate recipients who were "other Hispanic" U.S. citizens, ranked according to total S&E doctorates, by field of doctorate
B-15 Top 20 baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipients who were American Indian U.S. citizens, by field of doctorate
B-16 Top 26 baccalaureate-origin institutions of 1991-95 science and engineering (S&E) doctorate recipient who were black U.S. citizens, by field of doctorate
B-17 HBCU institutions that were baccalaureate origins of 1991-95 science and engineering (S&E) doctorate recipients who were black U.S. citizens, ranked according to total S&E doctorates, by field of doctorate
B-18 Baccalaureate-origin institutions of 10 or more science and engineering doctorates, ranked according to total, S&E doctorates, by field of doctorate: 1991-95
B-19 Foreign baccalaureate-origin institutions of 10 or more 1994 science and engineering recipients, by field of doctorate
B-20 Top 25 foreign baccalaureate-origin institutions of 1994 non-U.S. science and engineering (S&E) doctorates, by field of doctorate


Appendix C. Bibliography

Hardy, Kenneth R. "Social Origins of American Scientists and Scholars." Science, Vol. 185 (August 1974), pp. 497-506.

Harmon, Lindsey R. A Century of Doctorates: Data Analysis of Growth and Change. Washington, DC: National Academy of Sciences, 1978.

Harmon, Lindsey R. "A Multiple Discriminant Analysis of High School Background Data for the Doctorates of 1958," Scientific Manpower Report, No. 4, Washington, DC: National Academy of Sciences-National Research Council, Office of Scientific Personnel, December 1964.

Hill, Susan T. Undergraduate Origins of Recent Science and Engineering Doctorate Recipients. Washington, D.C.: National Science Foundation, 1992.

Knapp, R.H. and H.B. Goodrich. Origins of American Scientists. Chicago, IL: Univ. of Chicago Press, 1952.

Maxfield, Betty D. Persistence in Higher S/E Education: S/E Baccalaureate to S/E Doctorate Productivity of U.S. Baccalaureate-Granting Institutions. Report to the National Science Foundation, Washington, DC: Office of Technology Assessment, September 1987.

National Academy of Sciences. Doctorate Recipients from United States Universities: 1958-1966. Publication 1489. Washington, DC: National Academy of Sciences, 1967.

National Academy of Sciences-National Research Council. Doctorate Production in United States Universities: 1920-1962, with Baccalaureate Origins of Doctorates in Sciences, Arts, and Professions. Publication 1142. Washington, DC: 1963.

National Academy of Sciences-National Research Council. Doctorate Production in United States Universities: 1936-1956, with Baccalaureate Origins of Doctorates in Sciences, Arts, and Humanities. Publication 582. Washington, DC: 1958.

National Research Council, Office of Scientific and Engineering Personnel. Summary Report 1984: Doctorate Recipients from United States Universities. Washington, DC: National Academy Press, 1986.

National Research Council, Office of Scientific Personnel. Report on Doctoral Programs. Publication OSP-MS-1. Washington, DC: National Research Council, December 1968.

National Science Foundation. "Baccalaureate Sources of Science and Engineering Manpower." Reviews of Data on Science Resources, No. 15. Washington, DC: National Science Foundation, December 1968.

Solorzano, Daniel G. "The Baccalaureate Origins of Chicana and Chicano Doctorates in the Physical, Life, and Engineering Sciences: 1980-1990". Journal of Women and Minorities in Science and Engineering, Vol. 1, No. 4, 1994.