Notes

[1] Federally funded research and development centers (FFRDCs) associated with universities are tallied separately and are examined in greater detail in chapter 4. FFRDCs and other national laboratories (including federal intramural laboratories) also play an important role in academic research and education, providing research opportunities for both students and faculty at academic institutions.

[2] For this discussion, an academic institution is generally defined as an institution that has a doctoral program in science or engineering, is a historically black college or university that expends any amount of separately budgeted R&D in S&E, or is some other institution that spends at least $150,000 for separately budgeted R&D in S&E.

[3] Despite this delineation, the term "R&D" (rather than just "research") is primarily used throughout this discussion because data collected on academic R&D do not always differentiate between research and development. Moreover, it is often difficult to make clear distinctions between basic research, applied research, and development.

[4] The academic R&D reported here includes separately budgeted R&D and related recovered indirect costs, as well as institutional estimates of unreimbursed indirect costs associated with externally funded R&D projects, including mandatory and voluntary cost sharing.

[5] Federal grants and contracts and awards from other sources that are passed through state and local governments to academic institutions are credited to the original provider of the funds.

[6] This follows a standard of reporting that assigns funds to the entity that determines how they are to be used rather than to the one that necessarily disburses the funds.

[7] It also likely includes some amount of research funding from the above-named sources that universities are unable to accurately code for reporting to the Academic R&D Survey of Research and Development Expenditures at Universities and Colleges.

[8] The medical sciences include fields such as pharmacy, neuroscience, oncology, and pediatrics. The biological sciences include fields such as microbiology, genetics, epidemiology, and pathology. These distinctions may be blurred at times because boundaries between fields often are not well defined.

[9] In this section of the chapter and section, "Doctoral Scientists and Engineers in Academia," the broad S&E fields refer to the computer sciences, environmental sciences (sometimes referred to as "earth, atmospheric, and ocean sciences"), life sciences, mathematical sciences, physical sciences, psychology, social sciences, other sciences (those not elsewhere classified), and engineering. The more disaggregated S&E fields are referred to as "subfields." The third section, "Outputs of S&E Research: Articles and Patents," groups the broad fields and subfields slightly differently (see sidebar, "Bibliometric Data and Terminology" and appendix table 5-32).

[10] The discussion of federal support for academic R&D in the previous section is based on reporting by performer, i.e., academic institutions. This section is based on reporting by funder—the government agencies that provide R&D support to academic institutions. Performing and funding series may differ for many reasons. For a more detailed discussion of the differences between these two sources, see chapter 4 sidebar, "Tracking R&D: Gap Between Performer- and Source-Reported Expenditures."

[11] The recent creation of the Department of Homeland Security (DHS) should have major implications for the future distribution of federal R&D funds, including federal academic R&D support, among the major R&D funding agencies. DHS's Directorate of Science and Technology is tasked with researching and organizing the scientific, engineering, and technological resources of the United States and leveraging these existing resources into technological tools to help protect the homeland. Universities, the private sector, and the federal laboratories are expected to be important DHS partners in this endeavor.

[12] Another hypothesis is that some of the difference may be due to many public universities not having the incentive to negotiate full recovery of indirect costs of research because the funds are frequently captured by state governments.

[13] Although the number of institutions receiving federal R&D support between 1973 and 1994 increased overall, a rather large decline occurred in the early 1980s, most likely due to the fall in federal R&D funding for the social sciences during that period.

[14] Part of the decline in R&D equipment intensity may be due to a threshold effect, i.e., institutions not reporting purchases of equipment under a certain dollar threshold. There is some evidence that the minimum dollar value at which purchases of research equipment are reported in the Survey of Research and Development Expenditures at Universities and Colleges has been increasing over the years, leading to some equipment that would have been reported in earlier years not being reported in more recent years.

[15] Research-performing academic institutions are defined as colleges and universities that grant degrees in science or engineering and expend at least $1 million in R&D funds. Each institution's R&D expenditure is determined through the NSF Survey of Research and Development Expenditures at Universities and Colleges.

[16] Research space here is defined as the space used for sponsored R&D activities at academic institutions that is separately budgeted and accounted for. Research space is measured in NASF, the sum of all areas on all floors of a building assigned to, or available to be assigned to, an occupant for a specific use, such as research or instruction. NASF is measured from the inside faces of walls. Multipurpose space that is at least partially used for research is prorated to reflect the proportion of time and use devoted to research.

[17] Some of this space will likely replace existing space and therefore will not be a net addition to existing stock.

[18] Institutional funds may include operating funds, endowments, tax-exempt bonds and other debt financing, indirect costs recovered from federal grants/contracts, and private donations.

[19] Some additional indirect federal funding may come through overhead on grants and/or contracts from the federal government. To the extent these funds are ultimately used for renovation or construction of facilities, they are reported as institutional funding because it is the institution that decides how they are spent.

[20] Discussion of cyberinfrastructure is limited to networking because the Survey of Science and Engineering Research Facilities addresses only computing and networking capacity for research and instructional activities rather than all facets of cyberinfrastructure.

[21] The "bricks and mortar" section of the Survey of Science and Engineering Research Facilities asks institutions to report on their research space only. The reported figures therefore do not include space used for other purposes such as instruction or administration. In the cyberinfrastructure section of the survey, however, respondents were asked to identify all of their cyberinfrastructure resources, regardless of whether these resources were used for research.

[22] There have been discussions of a possible merger of Abilene and National Lambda Rail.