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Below are the first 10 and last 10 pages of uncorrected machine-read text (when available) of this chapter, followed by the top 30 algorithmically extracted key phrases from the chapter as a whole.
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OCR for page 37
SUMMARY OF MAJOR TRENDS
2-3
OCR for page 38
National R&D: Character
Total U.S. R&D expenditures in 1988 were more than $125 billion. Accounting for inflation,
they have increased by about 400 percent since 1953. Basic research has increased sharply, from
less than $3 billion (1988 dollars) in 1953 to more than $18 billion in 1989; as a result, its share of
total R&D has risen from less than 10 percent to about 15 percent during the same period.
Applied research has fluctuated between 20 percent and 25 percent; development has accounted
for 65 percent to 70 percent of total R&D.
Figure 2-1: U.S. R&D Expenditures by Type
of Research and Development
140r
12D 1~
. _ _
100 _
80 _
60 _
~0
20
1 40
S1988 Billions 100%
120
~ 100
|80
80%
60
60 d0~:
.......
O v , i ,
1953 t 959 1965
1971 1977 1983
HI Basic Research 9 Applied Research
=9 Development
Figure 2-2: DIstrlbutlon of R&D Expenditures
by Type of Research and Development
Percent
on
At)
1 989
070 ~
1953 1959 1965
~ 100%
480%
~6070
40~
20%
0%
1971 1977 1983 1989
~} Basic Ro~orch EEI Applied Research
EN Development
NOTE: Data series within the figures are not overlapped; top line represents total. Flnanciial data are expressed in 1988
constant dollars to reflect real long-term growth trends.
DEFINITION OF TERMS: R&D expenditures include current-fund expenditures for all research and development activities that
are separately budgeted and accounted for. Basic Research is the systematic study where the primary aim of the investigator is
directed toward fuller knowledge or understanding of the subject under study, rather than a practical or commercial application
thereof. Applied Research is the systematic study where the primary aim of the investigator is directed toward gaining
knowledge or understanding necessary for determining the means by which a recognized and specific need or commercial
objective may be met. Development is the systematic use of the knowledge or understanding gained from research, directed
toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and
processes.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data sources: National Science Foundation, Division of Science Resource Studies, Survey of Federal Funds for
Research and Development; Sunrey of Federal Support to Universities, Colleges, and Non-profit Organizations, Survey of
Scientific and Engineering Expenditures at Universities and Colleges; Sunrey of Industrial Research and Development.
2~
OCR for page 39
Academic R&D: Share of-Total U.S. R&D
During the 1960s, academic institutions assumed a more prominent role within the nation's
over-all R&D system. Their share of U.S. basic research expenditures increased from 25 percent in
1953 to half by the early 1970s, where it has remained; their share of all basic and applied
research went from 15 percent to 25 percent, that of total research and development from
5 percent to 10 percent.
Figure 2-3: Academic Share of
U.S. R&D Expenditures
6070
507
407
307
2070
O
r
/
_
Percent
10~ ~_ ____________--------------_________- ~ 10%
07 ' ' ' ' ' 1 ' ' ' ' ' 1 ' ' ' ' ' 1 ' ' ' ' ' 1 ' ' ' ' ' 1 ' ' ' ' ' 07
1953 1959 1965 1971 1977 1983 1989
6070
507
40%
307
2070
~~~~~ Total RED Research Basic Research
DEFINITION OF TERMS: Academic R&D Expenditures include current fund expenditures within higher education institutions
for all research and development activities that are separately budgeted and accounted for. This includes both sponsored
research activities (sponsored by federal and non-federal agencies and organizations) and university research separately
budgeted under an internal application of institutional funds; and excludes training grants, public service grants, demonstration
projects, and departmental research expenditures that are not separately budgeted. Total RED includes all non-capital national
expenditures for the conduct of basic research, applied research, and development. Research includes all non-capital national
expenditures for basic and applied research. Basic Research includes all non-capital national expenditures for the conduct of
basic research. Basic research is the systematic study where the primaq aim of the investigator is directed toward fuller
knowledge or understanding of the subject under study, rather than a practical or commercial application thereof. Applied
research is the systematic study where the primary aim of the investigator is directed toward gaining knowledge or
understanding necessary for determining the means by which a recognized and specific need or commercial objective may be
met. Development is the systematic use of the knowledge or understanding gained from research, directed toward the
production of useful materials, devices, systems, or methods, including design and development of prototypes and processes.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data sources: National Science Foundation, Division of Science Resource Studies, Survey of Federal Funds for
Research and Development; Survey of Federal Support to Universities, Colleges, and Non-profit Organizations; Survey of
Scientific and Engineering Expenditures at Universities and Colleges; Survey of Industrial Research and Development.
2-S
OCR for page 40
Academic R&D: Share of U.S. GNP
Academic R&D as a percentage of the nation's gross national product rose sharply and
continuously during the 1950s and 1960s, from 0.07 percent in 1953 to 0.25 percent by 1968; after
falling to 0.21 percent in the 1970s, it has reached a new high of 0.27 percent in the late l980s.
The federal funding share of academic R&D grew from 0.04 percent in 1953 to 0.17 percent by
1968; after declining during 1970s, it returned to 0.16 percent by 1988.
Figure 2~: Total and Federal Academic R&D Funds
as Percents of U.S. GNP
0307
0.25%
0.2070
O. 1 5%
0.10%
0.05% ,__
0.00% ' ' I I 1 1 ' l I I 1 1 1 1 1 1 1 1
1 953
Percent
-
, _
/ '
,
,/
.`
0307
0.2570
0.2070
0.15
0.10~
0~05%
0.00%
1 989
1959 1965 1971 1977 1983
Total ~~~~~ Federal
DEFINITION OF TERMS: Total academic R&D expenditures include current-fund expenditures within higher education
institutions for all research and development activities that are separately budgeted and accounted for. This includes both
sponsored research activities (sponsored by federal and non-federal agencies and organizations) and university research
separately budgeted under an internal application of institutional funds; and excludes training grants, public sconce grants,
demonstration projects, and departmental research expenditures that are not separated budgeted. Federal funds include grants
and contracts to academic institutions for R&D (including direct and reimbursed indirect costs) by agencies of the federal
government; excludes funds for tP~DCs. Gross national product is the estimated total market value of all goods and seances
produced annually in the United States.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are Continuities within data series or gaps in data collection.
Primary data sources: National Science Foundation, Division of Science Resource Studies, Sunder of Scientific and Engineering
Expenditures at Universities and Colleges; U.S. Department of Commerce, Bureau of Economic Analysis, Survey of Current
Business and Commerce.
2
OCR for page 41
Doctoral Institution Grouch Patterns: R&D Expenditures
An index of total and federal funding of R&D within doctoral institutions reveals a pattern of
strong growth during the 1950s and 1960s, little or no growth in the 1970s, and strong increases in
the l980s.
Flqure 2~5: Index of Doctoral InatItutlon
Total and Federal R&D Funds
120
100
80
60
40
20
o
Index (1 988=1 00)
~ '`
. ~
1 I I I 1 1 ' ' '
120
i'/
a'
100
80
60
40
_ 20
' 1 ' ' ' ' 1 ' ' ' ' 1 ' ' ' ' 1 ' ' ' ' o
1958 1963 1968 1973 1978 1983 1988
1978 1 983
Total R&D Funds ~~~~- Federal R&D Funds
NOTE: Index based on financial data computed in 1988 constant dollars.
DEFINITION OF TERMS: Total RED Funds include all current-fund expenditures within doctoral institutions for all research
and development activities that are separately budgeted and accounted for. This includes both sponsored research activities
(sponsored by federal and non-federal agencies and organ~tions3 and university research separately budgeted under an
internal application of institutional funds; and excludes training, public service, demonstration projects, and departmental
research separately budgeted and ~DCs. Federal RED Funds include grants and contracts by agencies of the federal
government for R&D (including direct and reimbursed indirect costs) made to doctoral institutions; excludes funds for
~DCs. Doctoral institutions are institutions that have granted an average of 10 or more Ph.D. degrees per year in the
natural sciences or engineering over the past two decades. They include 116 public and 69 private institutions.
SOURCE: National Science Foundation, Division of Polipy Research and Analysis. Database: CASPAR. Some of the data
within this data base are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data source: National Science Foundation, Division of Science Resource Studies, Survey of Scientific and Engineering
Expenditures at Universities and Colleges.
2-7
OCR for page 42
Doctoral Institution Growth Pauerns:-Revenues and Expenditures
An index of total operating revenues and expenditures for doctoral institutions reveals strong,
steady real growth during the past three decades.
Figure 2-6: Index of Doctoral InstItutlon Operating
Revenues and E,cpendRures
120
100
80
60
40
20
1 ndex ( 1 988= 1 00)
120
o ,,,,1,,,,111111,...
1958
f
1 00
I'
-
80
60
40
_ 20
, l O
1988
1 1 1 1 1 1 1 1 1
1
1978 1983
1963 1968
1 973
~ Revenues -~~~~ Expenditures
NOTE: Index based on financial data computed in 1988 constant dollars.
DEFINITION OF TERMS: Reveres consist of current-fund revenues from federal, state, and local appropriations; tuition
income, government grants and contracts; private gifts, grants, and endowment income; sales and services of educational
activities; and revenues from hospitals, auxiliary enterprise, and FFRDCs. Excluded are revenues for capital purposes and Fell
Grants. Doctoral institutions include those institutions which have granted an average of 10 or more Ph.D. degrees per year in
the natural sciences or engineering over the past two decades. They include 116 public and 69 private institutions. Expendin~res
consist of current-fund expenditures for instruction, research, public service, academic support, student services, institutional
support, operation and maintenance of plant, scholarships and fellowships, and educational and mandatory transfers and
expenditures for hospitals, alLxilialy enterprises, and truDCs. Excludes expenditures from institutional plant fund accounts.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General
Information Survey (HEGIS): Financial Statistics of Institutions of Higher Education.
2~
OCR for page 43
Doctoral institution Growth Patterns: Personnel
An index of doctoral institution personnel reveals strong growth for total faculty until 1970s,
and no growth in the 1980s; for scientists and engineers, it shows uninterrupted growth for three
decades. For research personnel it shows growth through the 1960s, a levelling off in the 1970s,
and strong increases in l980s.
Figure 2~7: Index of Doctoral Instllution Employment
of Total Faculty, FTE Scientists and Engineers,
and FTE Investlgatore
120
100
80
60
40
20 _
o I I I 1 1 '
1958 1963 1968 1973
Index (1988=1 00)
' ' ' 1 ' ' ' ' 1 ' ' '
· Total Faculty
~ S&E Personnel
100
80
60
40
_ 20
' 1 ' ' ' ' 1 ' ' ' ' O
1 988
1978 1983
FTE Investigators
DEFINITION OF TERMS: Total Faculty include all instructional members of the instruction or research staff of doctoral
institutions whose major regular assignment is instruction, including those with release time for research. S&E Personnel include
all scientists and engineers including both facula and non-faculty personnel and postdoctorates, employed by higher education
institutions (plus a full-time equivalent for part-time employees), within the following broad fields: physical sciences, engineering,
environmental sciences, life and health sciences, mathematics and computer sciences, and social and behavioral sciences. [-ok
Investigators (full-time equivalent) include those scientists and engineers conducting funded (separately budgeted) academic
R&D; the full-time equivalent is an estimate, derived from the fraction of faculty time spent in those research activities, non-
faculty scientists and engineers employed to conduct research in campus facilities (except t~KDCs), and postdoctoral
researchers working in academic institutions.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data sources: U.S. Department of Education, National Center for Education Statistics, Higher Education General
Information Survey (HEGIS): Salaries, Tenure, and Fringe Benefits of Full-time Instructional Faculty, American Council on
Education; National Science Foundation, Division of Science Resource Studies, Survey of Scientific and Engineering Personnel
Employed at Universities and Colleges.
2-9
OCR for page 44
Doctoral Institution Growth Patterns: Enrollments
An index of total and graduate student enrollments reveals strong growth until the mid-1970s
and little growth thereafter.
Figure 2~8: Index of Total and Graduate Enrollment
in Doctoral Institutions
120
100
80
40
Index (1988=1 00)
20 _
' ' ' ' 1 ' ' ' ' 1 ' ' '
o ,,,,1,,,,I,,,11
1958 1963 1968
120
100
-
-
/
80
60
40
_ 20
O
1 988
1973 1978 1983
~ Total Enrollment ~~~~ Graduate Enrollmt
DEFINITION OF TERMS: Total Enrollment include all full-time students (plus a full-time equivalent of part-time students) as
reported by doctoral institutions. Graduate Enrollment include all full-time students (plus a full-time equivalent of part-time
students) who hold a bachelors degree, or equivalent, and are working toward an advanced degree including a first professional
degree. Doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees per
year in the natural sciences or engineering over the past two decades. They include 116 public and 69 private institutions.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this data base are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General
Information Survey (HEGIS): Fall Enrollment in Institutions of Higher Education.
2-10
OCR for page 45
Doctoral Institution Growth Patterns: S&E Degrees
An index of bachelors degrees in the sciences and engineering, granted by doctoral
institutions, reveals strong growth until the mid-1970s, then slowing growth during the 1980s. The
growth in Ph.D. degrees was also steep during the 1960s, with decline during 1970s, and a return
to early-1970s levels by 1988.
Figure 2~9: Index of Doctoral Institutlon Ph.D. and Bachelors
Degrees Awarded in Science and Engineerlng
120
100
80
60:
40 '
20 _ _ 20
o ,,,,1,,,,1,,,11,,~1 ~''11 1 '' o
1958 1963 1968 1973 1978 1983 1988
Index (1988= 100)
,,:
,''Y
1 20
100
_ 80
_ 60
_ 40
-~~~~ Science/Eng Ph.D.s ' Science/Eng BS Degs
DEFINITION OF TERMS: Science/Engu~eenr~g PhD.s and Science/En`pnernng B.S. Degrees include those in life sciences,
including agricultural, biological, medical, and other health sciences; physical sciences, including astronomy, chemistry, and
physics; engineering, including aeronautical and astronautical, chemical, civil, electrical, and mechanical engineering;
environmental sciences, including oceanography, atmospheric and earth sciences; mathematics and computer science, including
all fields of mathematics and computer-related sciences; and social and other, including economics, political science, psychology,
and sociology. Doctoral institutions are higher education institutions that have granted an average of 10 or more Ph.D. degrees
per year in the natural sciences or engineering over the past two decades. Ibey include 116 public and 69 private institutions.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data source: U.S. Department of Education, National Center for Education Statistics, Higher Education General
Information Survey (HEGIS): Degrees and Other Formal Awards Conferred.
2-11
OCR for page 46
Doctoral Institution Growth Patterns: Per-Person Expenditures
An index of average operating expenditures per faculty member, as well as education
expenditures per student and-per degree granted, reveals steady growth during the 1960s, no
growth during the 1970s, then rapid growth through the l980s.
Flqure 2-10: Index of Doctoral Instit~dlon Per-Unit
Expenditures
120
100
80
60
40
20
1963 1968 1973
Expends/Faculty
Educ Expends/Degree
NOTE: Index based on financial data computed in 1988 constant dollars.
Index (1988=1 00)
O ''''1''
1958
1
1
1
1
1
120
100
80
60
an
.
_ 20
l O
1988
1978 1983
Educ Expends/Student
DEFINITION OF TERMS: E~endBures consist of current-fund expenditures for instruction, research, public seance, academic
support, student services, institutional support, operation and maintenance of plant, scholarships and fellowships, and
educational and mandatory transfers and expenditures for hospitals, auxiliary enterprises, and ~RDCs. Excludes expenditures
from institutional plant fund accounts and Fell Grants. Educaiional Erpendidwes include current-fund expenditures for
instruction, academic support, student services, institutional support, operation and maintenance of plant, scholarships and
fellowships, and educational and mandatory transfers. Faculty include all instructional members of the instruction or research
staff whose major regular assignment is instruction, including those with release time for research. S-ents include HI full-time
students plus a full-time equivalent of part-time students as reported By doctoral Institutions. Degrees include all degrees
undergraduate and graduate~in all academic disciplines. Doctoral institutions are institutions that have granted an average of 10
or more Ph.D. degrees per year in the natural sciences or engineering cover the past two decades. They include 116 public and
69 private institutions.
SOURCE: National Science Foundation, Division of Policy Research and Analysis. Database: CASPAR. Some of the data
within this database are estimates, incorporated where there are discontinuities within data series or gaps in data collection.
Primary data sources: U.S. Department of Education, National Center for Education Statistics, Higher Education General
Information Survey (HEGIS): Degrees and Other Formal Awards Conferred, Fall Enrollment in Institutions of Higher
Education, Financial Statistics of Institutions of Higher Education; American (council on Education; National Association of
State Universities and Land Grant Colleges.
2-12
Representative terms from entire chapter:
separately budgeted
