**Directorate for Social, Behavioral, and Economic Sciences**

**FY 2001** **GPRA Performance Report**

# *Draft*: November 6, 2001

The purpose of this report is to present evidence on the performance and
results achieved by the Directorate for Social, Behavioral, and Economic
Sciences during FY 2001. It responds to the Government Performance and
Results Act (GPRA) requirements and is meant to inform the SBE Advisory
Committee and the Foundation-level GPRA process.

This report focuses on the *Outcome goals and indicators* of the
National Science Foundation's FY 2001 Performance Plan. These goals are
linked to the Foundation's strategic goals:

**People** -- Development of "a diverse, internationally competitive and
globally-engaged workforce of scientists, engineers, and well-prepared
citizens."

**Ideas** -- Enabling "discovery across the frontier of science and
engineering, connected to learning, innovation, and service to society."

**Tools** -- Providing "broadly accessible, state-of-the-art
information-bases and shared research and education tools."

These goals are presented in greater length in Appendix A, along with
other performance goals that will be addressed at the Foundation level
in the NSF FY 2001 GPRA report. The NSF FY 2001 GPRA Performance Plan of
March 2001 gives the full picture of NSF goals and plans to achieve
them. Its web address is: <http://www.nsf.gov/od/gpra/start.htm>.

This SBE report gives an overview of the Directorate, discusses its
approach to evaluating performance, and then presents information to
demonstrate research and education results of each organizational unit
with respect to the strategic outcomes. Since there were no SBE
Committees of Visitors in FY 2001, the information consists of detailed
examples of how SBE activities contributed to the accomplishment of NSF
goals. Similar information is also presented for selected investment
process and management goals.

## SBE's MISSION AND PRIORITIES

The Social, Behavioral, and Economic Sciences Directorate (SBE) supports
research to advance understanding of the behavior of human
beings---individually and in groups and organizations---and the
economic, political, and social consequences of their behavior. SBE also
supports the Foundation's international activities, providing U.S.
scientists with access to centers of excellence in science and
engineering research and education throughout the world. To improve
understanding of the science and engineering enterprise, SBE provides
informational tools for tracking the human, institutional, and financial
resources that make up the nation's science and engineering
infrastructure.

SBE's FY 2001 budget was about \$164.4 million, comprising 4.9 percent
of the Foundation's budget for research and related activities. The
Directorate's budget was divided among its four divisions, with 40.2
percent to the Division of Social and Economic Sciences (SES), 34.5
percent to the Division of Behavioral and Cognitive Sciences (BCS), 15.7
percent to the Office of International Science and Engineering, and 9.6
percent to the Science Resources Statistics Division.

## BACKGROUND INFORMATION ABOUT SBE AND THIS REPORT

## The Role of the Directorate in Supporting Research and Education

The highest SBE priority is to improve the quality of life in the United
States by enriching understanding of the knowledge base about people.
The social, behavioral, and economic sciences play a unique role in this
regard because so many of the research results are intensely
practical---in education, in the formulation of social and economic
policy, in the management of business, and in numerous other vital
areas.

Most of the Directorate's research funding is managed by two divisions:

-   Division of Social and Economic Sciences (SES), divided into
    clusters of Economic, Decision, and Management Sciences; Social and
    Political Sciences; and Methods, Cross-Directorate, and Science and
    Society Programs.

-   Division of Behavioral and Cognitive Sciences (BCS). Its component
    clusters are Anthropological and Geographic Sciences; and Cognitive,
    Psychological and Language Sciences.

The Office of International Science and Engineering (INT) facilitates
the advancement of NSF's goals through international activities that
promote partnerships between U.S. and foreign researchers, enhance
access to critical research conducted outside of the United States, and
broaden the base of knowledge about mutually beneficial science and
technology opportunities abroad. INT programs provide the expertise and
networks to stimulate cooperation with scientists in virtually all
countries of the world and all fields supported by the Foundation. INT
supports U.S. participation in international workshops and symposia, the
exploratory phases of collaborative research, U.S. participation in
selected multinational scientific bodies, and individual research
training. INT supports the development of human resources for science
and engineering by providing valuable international experiences to U.S.
students and researchers in the early stages of their careers.

In fulfilling its mission, INT performs these principal functions:

-   Coordinates, on behalf of the Foundation, the formulation and
    implementation of an international strategy for attaining Foundation
    goals;

-   Provides venture capital for stimulating international cooperation
    and for increasing the international experiences of U.S. scientists
    and engineers early in their careers;

-   Acts as NSF's primary source of international information and
    expertise.

The SBE Directorate is also responsible for providing data and analysis
on the science and engineering enterprise in the United States and from
an international perspective for policy-makers, researchers, and others;
this is the mission of the Division of Science Resources Statistics
(SRS). SRS works closely with other Federal agencies, academic
institutions, industry, foreign, and multi-national organizations to
identify and meet key data needs for policy decision making. Key
products include: Congressionally mandated reports, statistical reports
from national surveys, special topic reports, and public use data bases.

In each of these areas, SBE is key to national efforts. In many of the
SBE sciences, NSF is the most important source of support and can
therefore strongly influence the direction of research. SRS is the
principal source of science resources data for the nation and is
recognized internationally as a center of excellence for information on
science and engineering. INT provides leadership not just within NSF but
also government wide in international science and engineering issues.

SBE supports a diversified portfolio of research projects, including a
significant amount of high-risk research[^1]. We give substantial
emphasis to investigators just beginning their careers, to research
keyed to NSF initiatives, and to shared infrastructure to advance
science across a wide front, traditionally in the form of large data
bases but now much more broadly via SBE\'s Infrastructure Initiative.
SBE engages in several grant review and funding partnerships with other
agencies, principally NIH, EPA, HUD, Commerce, Labor, and Education.

## Sources of Evaluative Information

The information presented in this report came from the following
sources:

-   Ongoing collections of nuggets of SBE research and their societal
    outcomes, collected from program officers, researchers, and the news
    media.

-   Programs' annual reports and divisions\' summaries, included as
    attachments.

-   Data collected pertaining to the Science Resources Studies
    Division's two goals of producing timely and relevant information on
    the national and international science and engineering enterprise.
    These consists of internal management reports on individual surveys
    and a number of surveys of data users.

-   Data on management performance produced by the NSF Enterprise
    Information System (EIS) -- Attachment H.

## Special Emphasis Areas in FY 2001

In FY2001, SBE provided support within a number of special emphasis
areas. Most prominent was support in the general area of shared social
and behavioral science resources, including new awards in special
competitions pertaining to major NSF priority areas: Biocomplexity in
the Environment (BE), Information Technology Research (ITR), and
Nanoscience Science and Engineering. INT tries to ensure that each NSF
or SBE special emphasis area takes full advantage of international
collaboration, particularly via international partnerships.
Additionally, INT encouraged development of human resources by means of
summer institutes overseas for U.S. graduate students and by including
students and junior faculty in international research projects.

## Use of Merit Review Criteria 

The Directorate has fully integrated the two NSF generic merit review
criteria into its operations. Program officers regularly employ both of
these criteria in evaluating proposals and making award decisions, and
directions to reviewers and review panels clearly articulate the
importance of addressing these criteria. Discovery at the frontiers of
science has long been an explicit part of our criteria, and assessing
the Directorate\'s many projects with clear ties to societal outcomes --
including the integration of research and education -- has resulted in
insuring that each program\'s overall grant portfolio contains a
substantial mix of projects with potentially broad societal impact.

The three FY 2000 COV reports gave very direct information on the degree
to which the new merit review criteria are applied. All of the 15
ratings given to individual programs were "successful."

## DIRECTORATE RESULTS: EXAMPLES OF PERFORMANCE AND RESULTS 

This section of the report gives specific examples of how SBE funded
research contributed to the accomplishment of GPRA goals.[^2] These
examples are taken from SBE divisions' special reports. As such, they
represent only a fraction of the successful projects that SBE has
funded.

## Appendix A \-- NSF FY 2001 Annual Performance Goals

## Appendix B -- Division of Behavioral and Cognitive Sciences

**Appendix C -- Division of Social and Economic Sciences**

**Appendix D -- Office of International Science and Engineering**

**Appendix E -- Division of Science Resources Statistics**

**Appendix F -- SBE Support for Priority Areas**

**Appendix G -- CAREER Program Awards**

**Appendix H -- Status of Selected FY 2001 Investment and Management
Goals**

# Appendix A

# 

### OUTCOME GOAL TABLE

![](media/image1.wmf)

**Attachment B**

# Behavioral and Cognitive Sciences

The Division of Behavioral and Cognitive Sciences (BCS) supports
research to develop and advance scientific knowledge focusing on human
cognition, language, social behavior and culture, as well as research on
the interactions between human societies and the physical environment.

BCS programs consider proposals that fall squarely within disciplines,
but they also encourage and support interdisciplinary projects, which
are evaluated through joint review among Programs in BCS, as well as
joint review with programs in other Divisions, and NSF-wide
multi-disciplinary panels, as appropriate.

All programs in BCS consider proposals for research projects,
conferences, and workshops. Some programs also consider proposals for
doctoral dissertation improvement assistance, the acquisition of
specialized research and computing equipment, group international
travel, and large-scale data collection. BCS participates in special
initiatives and competitions on a number of topics, including human
dimensions of global change, and infrastructure to improve data
resources, data archives, collaboratories, and centers.

The 10 programs/areas in BCS are organized into two groups called
clusters. The **Anthropological and Geographic Sciences Cluster** is
composed of the Physical Anthropology Program; the Cultural Anthropology
Program; the Archaeology and Archaeometry Program, the Geography and
Regional Sciences Program; and Environmental Social and Behavioral
Sciences activities. The **Cognitive, Psychological, and Language
Sciences Cluster** contains the Cognitive Neuroscience Program; the
Developmental and Learning Sciences Program; the Human Cognition and
Perception Program; the Linguistics Program; and the Social Psychology
Program. This Division Annual GPRA Report provides some of the
highlights of these programs. Cognitive Neuroscience activities for FY
2001 were distributed across various programs, including Human Cognition
and Perception, Linguistics, Social Psychology, Developmental and
Learning Sciences, and Physical Anthropology.

Overall, BCS received 1500 proposals during FY 2001 (including 46
withdrawals) and made 426 awards. This does not include dissertation
awards.

# ANTHROPOLOGICAL AND GEOGRAPHIC SCIENCES CLUSTER

Physical Anthropology Program

***[People]{.underline}---*** The Physical Anthropology Program seeks to
develop a diverse, internationally competitive and globally engaged
workforce in a number of ways.

1)  By definition, the majority of awards involve global activities.
    Those who study the behavior and ecology of nonhuman primates (nhp)
    must travel to non-US locations to study the animals. In many, if
    not most, cases the researchers involve students and professionals
    from the host country as well as from the US. Likewise, as the
    fossil record for human evolution exists outside our borders, there
    are significant opportunities for international collaborations and
    training. The other major branch of physical anthropology, human
    biology and genetics, again must undertake much of its data
    gathering in non-US locations. Here too, we fund opportunities for
    training as well as technology transfer.

2)  The Physical Anthropology Program each winter solicits requests for
    supplements from PIs with active awards. As long as the request will
    provide a productive learning experience for the student, the
    supplements are recommended for funding. PIs are especially
    encouraged to provide these to members of underrepresented
    communities. In FY01 the program funded 11 undergraduate students (7
    females; 4 males) working with 9 PIs.

3)  The Physical Anthropology Program maintains an active Doctoral
    Dissertation Improvement program. During FY01 19 of the 36 actions
    taken were to recommend an award (52% success rate). Approximately
    half the awards went to females. The funding of dissertation awards
    is deemed to be a major investment in the future of the discipline
    and the return both in people and ideas far exceeds the investment.
    These awards often set the direction of the student\'s research
    agenda for the next stage in his or her career and the basis for
    future proposals.

4)  Women constitute more than half the membership in the American
    Association of Physical Anthropology. However, the demographics do
    indicate some biases \-- for instance there are few full Professors
    in the area of human genetic variation. Thus, there is the need to
    ensure that reviews are solicited from a broad range of scholars.
    Additionally, the need for representation is kept in mind when
    constituting the advisory panel \-- currently there are 3 women and
    2 men on the panel. Several physical anthropologists who are members
    of under-represented minorities have served on other panels, e.g.
    IGERT.

*Nugget 1:*

**Juan Martinez-Cruzado** (U Puerto Rico Mayaguez) 9904252 Ethnic
Contributions to the Puerto Rican Mitochondrial Gene Pool

One branch of physical anthropology seeks to illuminate human population
history: When did populations inhabit specific regions of the world?
What pathway did humans follow in their migrations? And so on.

Prof. Martinez-Cruzado\'s research aims to estimate the relative
contribution of the women of sub-Saharan, European and indigenous
Americans to the Puerto Rican mitochondrial (mtDNA is inherited only
through the matriline) gene pool. Martinez-Cruzado is sampling more than
1,000 households from 28 municipalities for mtDNA haplotypes. Haplotypes
are DNA patterns that are usually restricted in their geographic
distribution: there are some that are characteristic of locations in the
Americas, others of circumscribed regions of Africa etc. Of the 728
mtDNAs tested to date 63% are Native American, 26% sub-Saharan African
and 11% European. Martinez-Cruzado is currently analyzing the genetic
patterns in light of historical documents related to the slave trade and
sugar plantations, migrations from the Canary Islands, and political
policies. For example, non-coastal municipalities have a generally lower
frequency of African haplotypes and this agrees with the distribution
pattern of sugar mills and migration patterns.

Beyond the scientific results, this award is offering big payoffs in
terms of student participation. Eighteen undergraduate students have
worked in the laboratory thus far: six have since entered doctoral
programs and 4 are in medical school. Eleven traveled to the American
Society of Human Genetics meeting in 2000 (Table 1. It is important to
note that many physical anthropologists attend the ASHG) In April, 2002
approximately the same number will attend the American Association of
Physical Anthropology meetings.

This award was supported in part by the EPSCoR program

*Nugget 2*

**Todd Disotell** (NYU) 9506892 CAREER:

PI: Todd Disotell

New York University

This CAREER award to Dr. Disotell assisted in the establishment of a
molecular anthropology laboratory for the analysis of the Old World
Monkey (cercopithecoid) evolution. This branch of the primate tree is
rich in species. Until the advent of molecular approaches to systematics
the relationships among these species were contentious. In addition to
unraveling taxonomic, adaptive and phylogenetic aspects of
cercopithecoid evolution, molecular approaches allow the study of the
impact of behavioral phenomena (e.g. mating patterns) on genetic
structure of the groups.

Disotell\'s productivity is very impressive - both in scholarly output,
the educational component and outreach to the community. Disotell
directed the dissertation research of four graduate students and
numerous undergraduates. He serves as the faculty mentor/sponsor of the
NYU Undergraduate Research Conference in which more than 40 students
present their research to the university community. He has lectured on
his research on an international scale, as well as at minority community
colleges, universities and high schools. He gave a seminar to the NYC
Medical Examiner\'s office on the importance of human variation,
published in peer-reviewed journals, as have students, and co-authored a
book on nonhuman primate molecular evolution. He acknowledges that the
CAREER award also formed the basis for his success in obtaining further
support.

***[Ideas]{.underline}---*** As noted above, physical anthropology is,
in a sense, a historical science. In addition to establishing the
relationships between and among extant human populations, it seeks to
establish humanity\'s place in nature. For more than a century
anthropologists have sought to determine our place within the order
Primates. Over the past decade it has become clear (largely through the
support of this program) that chimpanzees are our closest living
relative and that chimps are closer to us genetically than they are to
other apes. In addition to establishing the shape of the evolutionary
tree and speed at which branches evolve, it is as interesting to
determine the whys and wherefores. How is it that we evolved bipedal
locomotion? How much genetic change is needed to change the anatomy of a
long-armed, short-legged ancestor (if that\'s what it was) into ours?
This latter point enters into an exploding area of research known as
evo-devo: the evolution of developmental processes. Over the past
decade, it has become eminently clear that much of the difference
between any two closely related species of mammals is due to minor
adjustments in ontogeny, rather than major reorganizations. For
instance, if the brain cells in specific areas of a fetal go through
just a few more division cycles, one can imagine neurological and
cognitive alterations.

The Physical Anthropology Program has supported much work in the these
areas that lead to a clearer understanding of who we are as a species
and how we got to be this way. The fact that this is of societal import
is reflected in appearance of Tim White\'s (9910344) discoveries on the
cover of *Time* twice in the last 24 months.

*Nugget 1*

**Cynthia Beall** (Case-Western Reserve) 0084355: High Risk Research in
Anthropology \--Exhaled Nitric Oxide of Andean and Tibetan High Altitude
Natives.

The branch of physical anthropology that seeks to understand the
mechanisms (physiological, behavioral, genetic) by which humans adapt to
extreme conditions has long focused much attention on adaptation to high
altitude. In this sphere, many seek to understand how adequate oxygen is
delivered to tissues when starting from a smaller pool of oxygen
molecules in the air and lung. Over the last ten years has revealed that
nitric oxide is intrinsic to this process, so that the respiratory cycle
is actually a three gas system NO/CO~2~/0~2~. A rather complex series of
interactions of lung tissues, enzymes and gases developed. As the
ancestry of our species is one which evolved at sea level, and as people
only recently have moved into high elevations, one can ask whether the
response might be maladaptive or adaptive and whether it is malleable or
fixed.

Several years ago, Beall received a POWRE award (0074567) to develop
techniques for measuring NO. Beall then undertook the first study to
test the hypothesis that high-altitude natives of the Andes and Tibetan
Plateau have lower concentrations of NO in the lung than do low-altitude
natives living at low elevations. Contrary to the hypothesis both
high-altitude samples had high rather than low levels of exhaled NO as
compared with sea level. This implies that there are inherited
variations in the enzyme that controls NO synthesis that allows for
improved oxygen delivery to tissues, which implies a very rapid ability
to evolve genetic adaptation to extreme conditions. Beall was
interviewed about these surprising findings in **The Chronicle of Higher
Education** **and Science News**, as well as presenting the findings at
national meetings. The results of this High Risk award are to be
published in **Science** within the month.

*Nugget 2*

**Jane Phillips-Conroy and Thore Bergman** (Washington University)
9711216 Dissertation Research: Determinants of Male Reproductive Success
in a Baboon Hybrid Zone: A Behavioral and Genetic Analysis.

While anthropologists have long studied behavior as well as genetics, it
is only with the advent of recombinant biotechnology that they could
attack questions on the interplay of behavior and genetics. For instance
it was long stated that dominance hierarchies in nonhuman primates
served to allow dominant males (supposedly the biggest, strongest, most
fit) to father the majority of the next generation; hence reinforcing
the \"survival of the fittest\" view of natural selection. As physical
anthropologists obtained the technology to determine parentage in nhp
groups it became clear that this was an overly simplistic assessment.
Female choice of mates, as well as other factors, too could play
critical roles.

In this dissertation improvement award, the PIs investigate a
particularly interesting situation in Ethiopia. In the Awash National
Park the ranges of two closely related species of baboons, hamadryas and
anubis baboons, overlap. Hamadryas males herd females into one male
units (OMUs) that are actively maintained while anubis males compete for
and guard only estrous females. Hybrids do occur on occasion and hybrid
males were said to have intermediate behavior. The PIs used a variety of
genetic approaches to assess to the short-term reproductive success of
these strategies. They found that once again the initial assumptions
could be overly simplistic, e.g. for the assumption that male mating
behavior and reproductive strategy will be correlated with ancestry. In
fact, hybrid males are intermediate in some measures of behaviors (e.g.
time spent with non-estrous females) but are not so in other measures
(e.g. proximity to non-estrous females). They also disproved the
often-made assumption that hybrid males will have lower mating and
reproductive success \-- there are successful and unsuccessful males
across the behavioral spectrum. They also tested a number of hypotheses
relating to female reproductive strategies

***[Tools]{.underline}---*** Physical anthropologists utilize tools from
a wide range of overlapping disciplines ranging from molecular biology
labs (population genetics) to field ecology (nhp behavior) to remote
sensing (paleoanthropology). In all of these areas large amounts of data
are generated that are conducive to the establishment of digital
libraries, databases, web-based archives and the like.

During the past year two SBE Infrastructure awards were made in support
of physical anthropology proposals:

A collaborative endeavor involving:

> Jeanne Beck (Coriell Institute) 0094928 and Oliver Ryder (Zoological
> Society of San Diego) 0094993 Integrated Primate Biomaterials and
> Information Resource and
>
> Kenneth Kidd (Yale University) 0096588. A Genetic Database for
> Anthropology.

The Beck/Ryder award will support a number of interrelated activities
that will advance research in physical anthropology, evolutionary
biology, neuroscience and any others that may require information and/or
biomaterials from nonhuman primates. Coriell, the nation\'s premier
tissue repository, will receive materials from the ZSSD for creation of
cell cultures. These cultures or lines are an inexhaustible resource for
the harvesting of nhp DNA. The quality control, documentation,
provenance, taxonomic identification etc will be assured and the
resource will be open to all qualified researchers. Unlike past practice
that limited samples to those who had the right connections, this will
be an open democratizing resource. Even when samples were freely shared,
there were more than a few instances where time and resources were
wasted due to inaccurate information about the identity of the
materials. While Coriell has distributed DNA from its limited nhp
holdings in the past, they have had 1 or 2 individuals from an
idiosyncratic mix of species. With ZSSD, museums, National Primate
Centers and field researchers, their Scientific Advisory Board is
helping them to compile a series of holdings that reflects variation
within, as well as between, species, as well as identifying those
species for which samples would be most valuable. The San Diego
Supercomputer Center

(<http://www.npaci.edu/online/v5.19/zoo.html>) is another collaborator
as is International Species Information System (ISIS). ISIS is the
organization that houses information (pedigrees, medical histories etc)
on captive primates at hundreds of zoos around the world. In concert
with the SDSC they will develop means to access their database as well
as existing and to-be-developed resources that will hold data on
environmental parameters, images of the specific animals that donated
materials, scent patterns and the like.

The effort by Ken Kidd at Yale will lead to major development of an
Allele Frequency Database (ALFRED) for humans
(<http://info.med.yale.edu/genetics/kkidd/contents.html>) The amount of
data available on genetic variation in human populations is huge and
growing. To date, these data were not available in a central location.
With the support of this Infrastructure award physical anthropologists
will be able to access data on populations in a single format at a
single location. Kidd and his Scientific Advisory Board are conducting
discussions with several journals so that data are deposited in the
resource at the time of publication. Here, as with the Primate
Bioresource, there also will be significant potential for practical
applications (e.g. pharmaceutical development).

*Functional Genomics*

The Physical Anthropology program, in concert with the Cognitive
Neuroscience competition, are supporting investigations by a team at
Wayne State University related to the evolution of the human brain and
its remarkable cognitive abilities. Lawrence Grossman (9910679:
*Molecular Evolution of Aerobic Energy in Primates: The Cytochrome bc1
Complex*) and Morris Goodman (0118696: *Genomic Changes that During
Human Origins Increased the Brain\'s Cognitive Capacities*) postulate
that adaptive changes in the expression and structures of brain
functioning proteins may have been the crucial process responsible for
humankind\'s unrivaled cognitive abilities and complex mental behavior.
They are searching for the underlying positively selected genomic
changes using the methods of functional genomics and molecular
phylogenetics. Their search focuses on the anterior cingulate cortex
(ACC), a neocortical region involved in monitoring and modifying
task-specific behaviors (executive function) that require novel
responses or overriding interfering responses and that may separate
humans from other primates. A unique population of spindle shaped
projection neurons is present in the ACC in humans and with lesser
numbers of cells in common and bonobo chimpanzees (the sister-group of
humans), gorillas (next closest relative), and orangutans but not in any
other primates or other mammals. Thus, there is reason to hypothesize
that Darwinian positive selection acted during the more recent stages of
humankind\'s evolutionary history on the genes encoding proteins
involved in the ACC\'s cellular architecture and function. DNA arrays
will be used to analyze gene expression levels of thousands of genes
that encode proteins that function in the ACC. Comparing the expression
levels of these thousands of genes in the human vs. chimpanzee ACC will
identify candidate genes \-- those genes that show marked species
differences in expression levels. As the candidate genes are likely to
be involved in functionally interacting biochemical pathways, this gene
expression data in the ACC should assist cognitive neuroscientists in
elucidating the role of the ACC in human cognition. This approach builds
upon their previous work showing a number of proteins that are part of
the mitochondrial oxidative energy metabolism pathway have undergone
such bursts of positively selected amino acid replacements. This
one-year project will show the validity of this approach and will set
the stage for a more widespread and comprehensive attack in the future
to characterize some of the important genetic changes that allowed the
emergence of the large-brained primates.

Cultural Anthropology Program

***[People]{.underline}---*** The Cultural Anthropology program has
several special funding opportunities specifically devoted to attaining
this goal:

-   The dissertation research program, which reviewed 144 proposals and
    made 33 awards in FY 2001.

-   The REU Supplements, which received five requests and supported all
    of them.

-   The "Research Experience for Graduates (REG) supplements, which are
    unique to this program, of which the program received five requests
    and made four awards.

-   The Scholars Award for methodological training, unique to this
    program. In FY 2001 the program received no proposals for this
    award.

-   The Summer Institute for Research Design for cultural anthropology
    graduate students, takes a dozen Ph.D. students each summer and
    trains them in research design and data analysis using an array of
    specialized computer programs.

*Nuggets:*

Dr. Gary Chick (9514223) finished his project studying the cultural
biases and interests of machine tool employers, students and vocational
training programs in Pennsylvania. The project found that the
educational programs were not designed to instill the work goals most
valued by the employers, and that students were not exposed to the best
aspects of machine tool work such as the opportunity to develop one's
personal expressive abilities through working with high-end machines.
The PI has given reports of his project to the participating schools and
shops, which they were very grateful for as this research will allow
them to redesign their programs to better serve the educational needs of
the participants.

Dr. Jeffrey Johnson (9527896) finished three years of his on-going
Summer Institute for Research Design in Cultural Anthropology. During
the three years of this award the Institute hosted 45 Ph.D. students
from around the country for 3 weeks of intensive training in research
design and methods. Special training was effected in the use of
Anthropak, a computer program-package of techniques for analysis of
ethnographic data. Seven other well-known specialists in research design
and methodology cooperated in teaching at the Institute during this
time. This specialized training enhanced the student's abilities to
conduct social scientific research.

***[Ideas]{.underline}\-\--*** The Cultural Anthropology program has
supported three major projects on the sources of cultural capital of
immigrant school children in the US. It is a terrible fact to report
that immigrant children do worse in American schools the more years they
are enrolled. Instead of enjoying the relative wealth, civil liberties
and personal freedoms of U.S. society to attain a higher performance
level than they were enabled to achieve by their relatively poor
third-world education, the research shows that many students learn an
"oppositional" attitude in school, that they are disparaged minorities
whose advancement will be blocked by discriminatory social structures.
These research projects try to understand the variation in each
immigrant community, to understand why some students learn to excel
while others learn to fail.

Dr. Alex Stepick (9511515) finished his project studying the academic
performance of 300 beginning high school students in four schools over
five years. The schools were in the Miami, Florida area, the students
were drawn from first and second generation Nicaraguan, Cuban, Mexican,
Haitian, West Indian and several other African nationality families.
Sixteen graduate students and six undergraduates, drawn from diverse
ethnic groups, were training as research assistants in the project. The
research findings are under analysis, but the major findings are that
academic achievement is associated with positive, close relationships
with at least one adult, usually the mother; that the support of an
extended family is significant; that assimilation and Americanization
are associated with decreased academic performance and more intra-family
conflict; that ethnic identity grows in response to discrimination and
prejudice encountered in the wider society; and that extended contact
under conditions of equality produces better ethnic relations.

An enduring topic of interest in cultural anthropology is the economic
development of the second and third world in interaction with the first
world in general, and with the powerful U.S. culture and economy in
particular. The research themes revolve around the effects of U.S.
cultural dominance on the programs supported and the effects of
simplistic programs searching for quick fixes on complex local realities
with extensive and meaningful histories.

Dr. Janine Wedel (9320974) finished her research on the cultural
underpinning of foreign aid programs to Eastern Europe. Her research
points out the excessive reliance on "Big Six" consulting firms using
"fly in-fly out" consultants with little expertise in local realities.
The project showed the importance of relationships, between Easterners
and Westerners and among Easterners, which shape the outcome of nearly
all grant aid to Central and Eastern Europe, Russia and Ukraine. The
research also identified "transactors", players in small informal groups
who work together for mutual gain while formally representing different
parties. Her research has been widely reported on in the popular media.

***[Tools]{.underline}\-\--*** Cultural Anthropology has supported the
Human Relations Area Files, a database of ethnographic information that
serves all major academic institutions. This database collects and codes
qualitative ethnographic information on a sample of cultures drawn from
around the world. The cultural anthropology program has supported a
workshop to assess the state of the art, which then resulted in a
six-year summer workshop to teach researchers the design and methodology
of comparative, cross-cultural analyses.

Archaeology & Archaeometry Program

***[People]{.underline}\-\--*** The Archaeology Program addresses NSF's
the diverse competitive workforce goal in several ways.

1.  It works in conjunction with the Society for American Archaeology
    and provides funds to encourage the participation of Native
    Americans in archaeological research. This effort will only be
    effective if of long duration and, contingent on satisfactory
    progress the Program recognizes a long-term commitment. Details are
    described in one of the nuggets below.

2.  It monitors the success rate of female applicants and ensures that
    women are actively involved in the review process through inclusion
    in both ad hoc and panelist review.

3.  It encourages the inclusion of undergraduate and graduate students
    in research projects. One successful example is presented in a
    nugget below.

4.  The Program maintains an active doctoral dissertation competition.
    In FY2000 it reviewed 77 proposals and funded 34 of them - a success
    rate of 44%. Archaeology dissertation awards provide an important
    source of funding within the discipline and serve a significant role
    in training young professionals. These grants often set the
    framework for a young Ph.D.\'s future research and provide the basis
    for subsequent proposals submitted to NSF.

5.  The Program awarded 13 REU supplements totaling \$68,048.

*Nugget 1*: 9818087 Joe Watkins, Society for American Archaeology

*Native American Scholarships for Training in Archaeology*

While much of American archaeology is directed towards understanding the
United States' past, the direct present day descendents of these
prehistoric peoples play little role in this scientific process. Very
few Native Americans or Native Hawaiians are trained in archaeology and
this situation seems not only inappropriate but is also inimical to
increased scientific understanding of this past. Unfortunately, in some
regions of the US antagonism rather than cooperation has characterized
Native American -- archaeologist relationships and this situation is
largely based on lack of knowledge and understanding. The Society of
American Archaeology established a fellowship program to permit Native
Americans -- high school, undergraduate and graduate students -- to
obtain archaeological training. It permitted one student a year to
participate in an archaeological field project or in relevant course
work. Students competed for the scholarship and were asked to address,
among other criteria, how the knowledge obtained would be transferred
back to the one's home community.

Through this NSF award, and a following currently active grant, the
Society of American Archaeology has been given funds to increase both
the number and size of annual awards. If continued for an extended
number of years the impact on Native American archaeological training
will be significant.

*Nugget 2*: 9503035 Michael Glascock, University of Missouri Columbia

*Future Directions of the Archaeometry Laboratory at MURR*

Michael Glascock is a nuclear scientist affiliated with the University
of Missouri research reactor. He receives funds to conduct neutron
activation analysis of obsidian (volcanic glass widely used in
prehistory to make stone tools) and pottery. By conducting trace element
analysis it is often possible to obtain distinctive chemical
fingerprints which allow artifacts to be traced back to their raw
material source. By this means one can reconstruct prehistoric trade
routes, interaction between individuals in different settlements or
within different parts of the same settlement and such knowledge
provides insight into underlying economic social and political systems.
While archaeologists need not understand how to operate a reactor or
details of nuclear physics, to be an intelligent user of neutron
activation data a significant amount of technical expertise is required.
Much of this involves statistical analysis and an understanding of how
raw data, which consists of multiple element concentrations, can be
manipulated. Such approaches are rarely taught in anthropology graduate
programs. The NSF has funded Dr. Glascock's laboratory for many years
and in addition to conducting analyses, Dr. Glascock has established a
formal training program. Each year students from other institutions with
samples to analyze are brought to the laboratory for instruction. They
are taught how to prepare their samples and thus gain hands on
experience. They are also taught relevant statistics and learn to
utilize MURR programs to analyze and interpret their own data. Because
this laboratory has been funded for over a decade, this has resulted in
a knowledgeable cadre of archaeological researchers.

***[Ideas]{.underline}\-\--*** All human societies, past and present,
interact with, are sustained by and affect the natural world around
them. In small-scale prehistoric groups these links are tight and
archaeologists can employ a wide range of techniques both to reconstruct
prehistoric environments and to understand human interaction with them.
Many of the milestones in human development such as the Neolithic
Revolution -- the domestication of plants and animals -- result from the
establishment of new relationships between people and the world in which
they live. Archaeologists benefit from examining this interaction
because it provides new insight into human behavior. However they can
also use this knowledge to address broader socially relevant questions.
Archaeological data allow scientists to examine long term processes that
become evident only when data span millennia rather than decades.

Both archaeology nuggets presented below illustrate the societal benefit
that may emerge from environmentally situated archaeological research.
One provides insight into patterns of forest fires that in recent years
have ravaged the Western United States and describes an unexpected
interaction between fire frequency and human population density. The
other suggests that traditional agricultural practices have the
potential to increase agricultural productivity on currently unoccupied
lowland tropical savannas.

The Archaeology Program relies heavily on review panels to provide
balance between high risk and less-high risk projects. It also runs a
special high-risk competition (separate from SGER) which provides awards
of up to \$20,000 for clearly high-risk projects. It employs an
abbreviated review process and in FY01 two of three applications were
funded: a success rate of 67%.

*Nugget 1*: 9700544 Donald K. Grayson, University of Washington.

*Dissertation Research: Anthropogenic Landscapes? The Effect of
Prehistoric Human Populations on Fire Frequency and Vegetation on the
Northern Columbia Plateau.*

This is a doctoral dissertation project and the research was conducted
by Ms Elizabeth Scharf. NSF funds were used to recover 14 sediment cores
from 7 lake basins in Eastern Washington. These were radiocarbon dated
and oxygen isotope, carbon isotope, nitrogen isotope, pollen and
charcoal identification analyses conducted. With this information it was
possible to use multivariate statistical techniques to examine the
relationships between people, animal, plants, landforms, climate and
fire over a thousand year period. This long-term approach allowed Ms
Scharf to examine lag factors between, for example, forest fire, human
activity, temperature and rainfall. Her analysis strongly suggests that
there is a negative relationship between fire and human presence,
perhaps because people eliminate dead wood through controlled burning
(such as fires for cooking and warmth). There appears to be a positive
relationship between fires and temperature with a lag of 84 years.
Precipitation and fire, surprisingly, showed no correlation.

Forest fires in the Western United States endanger people and property.
Significant funds are expended in controlling such conflagrations and
any information which can predict the frequency, probability and
location of such occurrences in a given year may contribute
substantially to human well being.

*Nugget 2*: 9610312 Clark Erickson, University of Pennsylvania

*Dissertation Research: Agricultural Change in the Bolivian Amazon*

This doctoral dissertation project was conducted by Mr. John Walker.
Clark Erickson, Mr. Walker's advisor has carried out archaeological
research in the eastern Amazonian lowlands of Bolivia for many years. He
has demonstrated that a region uninhabited today once sustained a large
agricultural population and that agriculture was made possible through
the use of raised fields. These were fertilized and situated high enough
above flood level to provide a surface with the requisite moisture
content for growing crops. The fields are no longer used and Mr. Walker
wanted to understand why they were abandoned. Two hypotheses had been
proposed: one argued that the arrival of the Spanish disrupted the local
subsistence system; the second the other that some other cause -- likely
climatic -- was involved. Mr. Walker collected radiocarbon samples to
dating two individual field systems. While one set of fields was
abandoned well before the colonial period, the other ceased to function
when Spanish first entered the region.

This suggests that social rather environmental change played an
important role in the abandonment process and implies that were raised
field agriculture introduced to this, and environmentally similar
regions in other parts of the world, it could serve as an important food
source.

***[Tools]{.underline}\-\--*** Archaeologists are dependent upon
laboratories to date specimens, analyze chemical composition to
determine raw source and manufacturing techniques, to reconstruct past
environments through chemical and biological means. Analytic data can
also be used to determine prehistoric diet and mobility through trace
element and isotopic examination of human bone and tooth. Through an
annual Archaeometry competition the Archaeology Program supports
laboratories both to provide service to archaeologists and to develop
new relevant techniques. In FY 2000 the Program made 7 new and
continuing awards to support research and service in the areas of
neutron activation, tree ring dating, bone isotope analysis, radiocarbon
dating and obsidian hydration dating. These awards help to support an
infrastructure that is crucial for advancing archaeological knowledge.

In the past the Archaeology Program also made awards for the support of
anthropological collections. These grants allowed institutions to
conserve both objects and related documentation and to develop methods
to make these maximally available for research purposes. While the
competition has been discontinued, its benefits continue to emerge.

*Nugget 1*: 9707808 Jeremy Sabloff, University of Pennsylvania

*Sitio Conte, Panama Archaeological Records Research Access and Archival
Preservation Project*

In 1940 a team of archaeologists from the University of Pennsylvania
Museum excavated the important pre-Columbia site of Sitio Conte. Thirty
burials and caches containing a broad and rich array of material
remains, including many gold objects, were uncovered. The remains are
not only impressive but also anthropologically important because they
provide insight into the development and functioning of an early Middle
American prehistoric culture. While the collection had been catalogued,
relevant materials such as field notes, photographs, maps,
correspondence and administrative records had not been itemized and were
stored separately. Thus it was very difficult for a researcher to use
the collection in an efficient manner and it had rarely been studied.
With NSF support all documents, field maps etc. were recorded in the
same database as the artifacts thus making possible access to the
combined information. Scanned images of all archival material were made
available to both scholars and students (as well as the general public)
on the Museum's web site, together with a finding aid.

This project is important for two reasons. It makes a major database
available to an essentially unlimited number of interested individuals.
It also provides a model, which can be used both at the University of
Pennsylvania Museum as well as other institutions.

*Nugget 2*: 9896289 Bonnie Blackwell, Williams College

*ESR Dating at Archaeological Sites in Europe and Asia.*

While radiocarbon dating provides accurate age determinations for events
over the last 40,000 years and a second technique, potassium-argon
dating, covers a multi million year span these work only in sites which
are of appropriate age and which contain appropriate datable materials.
Unfortunately in many cases one or both of these criteria are not met
and it is extremely difficult to address many important questions such
as the emergence of anatomically and behaviorally modern humans because
the age of relevant materials can not be determined. Animal teeth
however are found in many sites and ESR (electron spin resonance)
provides a means to measure the extent to which radiation has changed
electron distribution within a sample. Because the degree of change is
time dependent it provides a potential means for determining age. In
this grant Drs. Bonnie Blackwell and Anne Skinner have applied ESR to
samples from a number of significant paleoanthropological sites. More
importantly however they have worked to improve the technique itself
through controlled laboratory simulation studies and through analysis of
teeth which have been dated by other means. ESR has a spotty history and
has yielded mixed results, in part because the underlying mechanisms
through which electron change occurs is poorly understood. Thus the
technique is not reliable and trusted at present. This research, because
it serves to improve ESR analysis itself, is important. This tool, if
properly developed, can be applied to teeth of many ages in diverse
parts of the world. It will allow scientists from many disciplines --
not just paleoanthropologists -- to address a wide range of time related
questions.

Geography and Regional Sciences Program

***[People]{.underline}---*** The Geography and Regional Science (GRS)
Program has undertaken a number of activities designed to strengthen and
diversify the community of scholars who teach and engage in research on
geography and related topics. The program has actively supported
doctoral candidates through Doctoral Dissertation Research Improvement
(DDRI) awards. More than 80 DDRI proposals were evaluated in FY 2001,
with awards being made to 32 promising young students. Through DDRI
awards, GRS funds help enable students to conduct field work in the
locales best suited for their inquiries, use databases that would
otherwise be too expensive to access, or employ equipment that will
enable their research to be disseminated in the best scholarly journals.
Even those doctoral candidates who have not been supported benefit from
rigorous but constructive external peer review, thereby enabling them to
better plan and conduct their first independent research projects.

The GRS program also has been an active supporter of Research
Experiences for Undergraduates (REU). REU supplements were made for
14 awards during FY 2001. A majority of the 16 undergraduate students
who were added to project research teams and who engaged in
semi-independent research projects (usually resulting in presentations
at professional meetings and/or publications) were women, and about a
quarter were members of underrepresented groups.

-   With support from a GRS DDRI award, Brent McCusker of Michigan
    State U completed his doctoral dissertation research on the impact
    of land reform policies in South Africa on land-use patterns and on
    the livelihoods of rural residents. Working in cooperation with the
    University of the North in Sovenga, South Africa, McCusker used
    quantitative and qualitative interviews, interpretation of remotely
    sensed imagery, and geographic information system-based analyses.
    The research resulted in a rejection of the initial hypothesis that
    land reform transferring land into the hands of communal property
    associations would result in an intensification of land use. In
    fact, land transferred into communal holdings was underutilized.
    Among the factors that seemed to be responsible for the short-term
    failure of the reform efforts were the general disorganization of
    transferred farm units, the presence of too many participants in
    communal property management, the lack of labor and skills among
    participants, the lack of participation by younger community
    members, and the underuse of capital stock. In addition to
    completing his dissertation, McCusker has published two journal
    articles, and he now is working as a post-doc fellow at West
    Virginia U. His research will have broader educational benefits,
    because a crew from Cambridge Studios filmed him conducting
    fieldwork. This film will be used in a public television documentary
    on how geographers use scientific processes to conduct research. A
    companion film also will be forthcoming for use in conjunction with
    a major college textbook. (The award supporting this project was
    BCS‑9907061; David Campbell and Brent McCusker; Michigan State U.)

***[Ideas]{.underline}\-\--*** The Geography and Regional Science
Program provided support during FY 2001 for frontier-expanding research
across the diverse range of topics and scientific approaches that
characterize geographic inquiry. Among the most exciting realms for
GRS-supported research were studies of human-environmental interaction,
both in more rural settings in developing nations and in more urbanized
settings of the U.S. and other developed nations. Of special concern to
geographers have been the identification, analysis, and modeling the
interaction of different processes across a broad range of spatial,
temporal, and organizational scales. These inquiries hold the promise of
shedding new light on fundamental interactions among human and natural
systems, and they provide valuable information and insights that can be
immediately used by land-use and resource managers and other public and
private decision-makers.

Another general line of inquiry in which geographers have been
especially active with GRS support has been developments in geographic
information science. Through advancement of data-collection and
--analytic approaches using rapidly evolving geographic information
technologies like geographic-information and global-positioning systems,
researchers have provided methodological advances that are transforming
the conduct of geography and many related fields. Also strong has been
innovative research on the ways that people visualize geographic
information, with one team led by Alan MacEachren of Penn State
University having received significant support through an Information
Technology Research (ITR) award managed by GRS. The GRS-managed Center
for Spatially Integrated Social Science (CSISS) at the University of
California-Santa Barbara also is continuing its efforts to develop new
spatial analytic tools and to promote their use to broaden and enhance
relevant geographic inquiry that complements approaches in a range of
other social and behavioral science disciplines.

-   A collaborative project conducted by C. Cindy Fan of
    U California-Los Angeles and Kam-Wing Chan of U Washington concluded
    during FY 2001. This project examined factors that influence highly
    heterogeneous patterns of migration within China using analyses of
    census data, surveys of more than 1,500 urban residents, and
    interviews with nearly 1,600 migrants. The findings of this project
    highlight the role of socioeconomic segmentation resulting from the
    sociopolitical control mechanisms employed by the state. The role of
    institutional structure is especially pronounced through the use of
    the household registration (hukou) system, which has a strong impact
    on the provision of services and job opportunities. Most rural
    peasants moving to cities are not granted urban citizenship and are
    treated as \"outsiders\" to the urban society. The experiences of
    these \"temporary migrants\" contrasts with state-sponsored
    \"permanent migrants\" who have ready access to institutional
    resources. The project also explored gender-based dimensions of
    Chinese migration. Among the projects findings are that the complex
    migration policies have led many women to pursue marriages that
    enable them to move into more developed regions in order to better
    pursue economic opportunities. Many publications have resulted from
    this project, with Fan alone participating in the publication of
    seven journal articles and five book chapters, with a full book
    currently being written. The project also provided valuable learning
    opportunities, as one grad student completed her M.A. thesis based
    on this effort and has since earned her Ph.D. and joined the faculty
    of State U New York-Albany. (The awards supporting this project were
    BCS‑9618500; C. Cindy Fan; UCLA and BCS‑9618385; Kam-Wing Chan;
    U Washington.)

***[Tools]{.underline}\-\--*** The GRS Program has supported the
development of new tools through a number of research projects focusing
on geographic information science. Geographers and scientists from other
social sciences also have taken the lead in the development of new
resources to develop and enhance valuable general-purpose databases.
Most notable in FY 2001 was an SBE Infrastructure award (with additional
funding from GRS as well as the MMS and DRMS programs) to the University
of Minnesota-Twin Cities to establish the National Historical Geographic
Information System (NHGIS) to upgrade and enhance U.S. Census databases
from 1790 to the present, including the digitization of all census
geography so that place-specific information can be readily used in
geographic information systems. The NHGIS consists of three major
components. (1) The data and documentation component will gather all
extant machine-readable census summary data, fill holes in the surviving
machine-readable data through data entry of paper census tabulations,
harmonize the formats and documentation of all files, and produce
standardized electronic documentation according to the recently
developed Data Documentation Initiative (DDI) specification. (2) The
mapping component will create consistent historical electronic boundary
files for tracts, minor civil divisions, counties, and larger geographic
units. (3) The data-access component will create a powerful but
user-friendly, Web-based browser and extraction system based on the new
DDI metadata standard. The system will provide public access free of
charge to both documentation and data and will present results in the
form of tables or maps. Through these activities, the NHGIS will become
a resource that can be used widely for social science training, by the
media, for policy research at the state and local levels, by the private
sector, and in secondary education.

-   During FY 2001, NSF support for core activities of the Varenius
    Project ended. The Varenius project was a five-year effort designed
    to build on the strengths of the National Center for Geographic
    Information and Analysis, for which GRS provided core support from
    FY 1989 through FY 1997. Varenius was designed to advance the new
    field of geographic information science (GIScience) by conducting
    basic research, building a community of scientists interested and
    active in the field, developing a suite of research agendas, and
    contributing educational materials. U California-Santa Barbara was
    the lead institution in this effort, with major subawards going to
    U Minnesota-Twin Cities, State U New York-Buffalo, and U Maine. In
    addition, scientists and practitioners from a broad range of other
    academic institutions, private-sector firms, non-profit
    organizations, and government agencies participated in Varenius
    activities. A centerpiece of Varenius activities were the conduct of
    nine specialist meetings on topics in three major areas: Cognitive
    Models of Geographic Space, Computational Models of Geographic
    Concepts, and Geographies of the Information Society. Between 20 and
    40 individuals (including both junior and senior scholars)
    participated in each meeting. Varenius also provided 33 small seed
    grants to facilitate developmental projects by researchers at a
    diverse set of institutions. Through these efforts, Varenius helped
    to catalyze and bring together an active new interdisciplinary
    research community. The success of these efforts was evident in the
    participation of nearly 400 scholars at the GIScience 2000 meeting
    in October 2000. (The Varenius Project was supported through NSF
    Award BCS‑9600465; Michael Goodchild; U California-Santa Barbara.)

Environmental Social and Behavioral Science Activities

***[People]{.underline}---*** The Environmental Social and Behavioral
Science (ESBS) program element in SBE/BCS supports a range of projects
that bridge social and behavioral science disciplines. In addition to
supporting two large Human Dimensions of Global Change (HDGC) centers
and managing funds for special competitions like the NSF-EPA Decision
Making and Valuation for Environmental Policy (DMVEP) competition, ESBS
funds are used for a number of focused activities.

The development and expansion of a more effective workforce to engage in
environmental social and behavioral science is a critical part of a
number of ESBS projects. Both of the HDGC centers engage in a range of
activities designed to enhance and diversify the scientific workforce
addressing human-environmental interaction with special emphasis on
people and their institutions. ESBS funds also helped to foster
increased international collaboration. Funds expended in FY 2001
provided an additional \$50,000 for organizers of the Fourth Open
Meeting of the international Human Dimensions of Global Change community
to enable them to subsidize the participation of approximately twenty
additional researchers from less-developed nations in Africa and Asia at
this major meeting, which was held in early October 2001 in Rio de
Janiero, Brazil. By enabling these scholars to participate at the open
meeting, U.S. researchers had a greater opportunity to develop
collaborative relationships with counterparts in lands that are critical
areas of interest and future research.

-   The Center for the Study of Institutions, Population, and
    Environmental Change (CIPEC) at Indiana University-Bloomington
    conducts a summer institute that enables 20 faculty and advanced
    graduate students each year to immerse themselves in new
    perspectives and techniques for examining interactions between
    institutional behavior and forest ecosystem dynamics. In addition,
    CIPEC has supported an average of six grad students and/or post-doc
    fellows annually, and it has substantially increased the number and
    range of environmental social science courses available in the
    curriculum through the addition of six new faculty lines since its
    inception in 1996. (BCS‑9521918; Emilio Moran;
    Indiana U-Bloomington)

***[Ideas]{.underline}\-\--*** The ESBS program element supports
research that explicitly looks to promote interdisciplinary research
across a broad range of social and behavioral sciences. Much of this
research also seeks to bridge traditional gaps separating the social and
behavioral sciences from the natural sciences and engineering. For
example, the Decision Making and Valuation for Environmental Policy
competition (managed in FY 2001 at NSF by Rachelle Hollander, Ann
Bostrom, and Sandra Schneider), which is jointly sponsored by NSF and
the Environmental Protection Agency, supports research that will lead to
improved environmental decision making through the development of
practical, credible approaches for estimating the monetary and
non-pecuniary benefits and costs of environmental policies. Among
special topics on which the competition now is focusing are ecosystem
valuation, research linking individual environmental values with group
or community valuation of environmental resources, and the role of
environmental information in environmental decision making.

-   The Center for Integrated Studies of the Human Dimensions of Global
    Change (CIS‑HDGC) at Carnegie Mellon University has been exploring
    the ramifications of a broad range of interactions among human
    behavior, engineered systems, and natural processes through
    refinement, adaptation, and expansion of a highly sophisticated
    integrated assessment model. In one application designed to better
    understand the role of environmental factors on human health,
    CIS‑HDGC investigators developed and tested a model for assessing
    risks associated with *cryptosporidium*, the water-borne parasite
    that sickened hundreds of thousands in the Milwaukee area during the
    early 1990s. The model integrates processes associated with
    engineering (water treatment technologies), ecology (land-use and
    land-cover patterns), biology, (proliferation of and testing for
    parasites), public health (surveillance and notification), and
    psychology (public perceptions and responses). One analysis using
    this model demonstrated that under typical conditions in the U.S.,
    traditional responses to *cryptosporidium* outbreaks calling for the
    boiling of drinking water are ineffective because most vulnerable
    people have been exposed before the problem is detected. Analyses
    designed to assess whether climate changes might increase threats to
    human populations demonstrated that changes in physical conditions
    were relatively unimportant as long as effective public health
    systems and procedures remained in place. As with related analyses
    of the risks associated with air pollution, the *cryptosporidium*
    studies showed the importance of effectively incorporating social
    institutions into predictive models. (BCS‑9521914; Baruch Fischhoff,
    Carnegie Mellon U)

***[Tools]{.underline}\-\--*** The ESBS program element has supported a
diverse set of methodological advances, such as the integrated
assessment models developed at CIS‑HDGC and new statistical approaches
supported through the joint NSF‑EPA Environmental Statistics
competition, which was conducted from FY 1998 through FY 2000 and was
managed at NSF by Cheryl Eavey. ESBS also has provided core support for
international collaborative research programs associated with the
International Human Dimensions of Global Change Programme (IHDP). ESBS
has assisted in the support of the IHDP Secretariat at the University of
Bonn in Germany, providing additional support for special projects like
the planning and conduct of the open meetings of the HDGC community.
ESBS also has supported the operations of the international project
offices (IPOs) of two major IHDP-sponsored research projects. Full
support has been provided for the IPO of the Focus 1 research thrust of
the Land-Use/Land-Cover Change (LUCC) project (which is jointly
sponsored by the IHDP and International Geosphere-Biosphere Programme
(IGBP) at Indiana University-Bloomington and for the IPO of the
Institutional Dimensions of Global Environmental Change (IDGEC) project
at Dartmouth College. Counterpart IPOs for other IHDP-sponsored projects
are hosted by NSF counterpart organizations in other nations, so by
providing crucial support for the IHDP Secretariat and for these two
IPOs, ESBS is helping to support a wide-ranging network of international
scientific collaboration that will shed new light on critical
interactions between people and their environment around the world.

# COGNITIVE, PSYCHOLOGICAL, AND LANGUAGE SCIENCES CLUSTER

Social Psychology Program

***[People]{.underline}---*** The Social Psychology Program initiated
new Advanced Training Institutes in Social Psychology (NSF 01-88).
Grants provide support for advanced training institutes where social
psychologists can acquire new skills. In FY01, two institutes were
funded. One will offer training in the use of the Internet to conduct
research (BCS-0129453). Another will provide training in immersive
virtual environments (BCS-0129717).

***[Ideas]{.underline}---*** One social psychology project completed in
FY01 examined people's ability to make accurate predictions about their
own future performance (BCS-9631808). The ability to forecast future
performance is critical in education and workforce settings. This
project looked at the social context and the utility of learning about
others' performance when making forecasts for one's own. An important
result was that social comparisons have a significant impact on
self-forecasts, even when the comparison is not especially relevant for
the task.

***[Tools]{.underline}---*** The Social Psychology Program is the major
supported of the Social Psychology Network (SPN), a widely used website
providing support for research, teaching, and outreach in social
psychology. The URL for this website is
\<<http://www.socialpsychology.org/>\>.

Linguistics Program

***[People]{.underline}---***

**Ceil Lucas**, (9310116 and 9709522, Gallaudet University):
Sociolinguistic description of American Sign Language. The project
integrated deaf and hearing researchers and trained team members in data
collection and analysis techniques that are applicable to signed
languages.

**Martha Macri**, (9710961 and 9905357, University of California at
Davis): Making a database of Maya hieroglyphics for CD and web. The
glyphs cover periods from 250 to 1600 AD, and each glyph record codes
for graphemic, lexical, grammatical, syntactic, and temporal
information. The project included Native American team members. Outreach
and education activities included the PI's classes at D-Q University, a
two-year Native American school.

***[Ideas]{.underline}---***

**Dennis Preston**, (9809868, Michigan State University): Study of how
urban and majority group speech norms are or are not being acquired by
three minority or non-urban populations: African-American, Appalachian,
and rural European-American. Research characterized different paths that
groups take in the acquisition of local norms and on the role that
subgroups play. The project also produced improved methods of
representing vocalic change in individuals and groups for statistical
and comparative purposes.

**Kathryn Bock**, (9411627, University of Illinois at Urbana-Champaign):
Study of agreement errors in the utterance of sentences like "the key to
the cabinets was/were missing". Research produced a model of how
conceptual and linguistic information is coordinated in ongoing speech,
emphasizing structural configurations to deal with meanings that cannot
be isolated in individual words. Tests of the model's predictions have
implications for long-standing controversies about the relations between
words and rules, about the nature of the syntactically active
vocabulary, and about the coordination of words and syntax in language
performance.

***[Tools]{.underline}---***

**Anthony Kroch**, (8919701 and 9511368, University of Pennsylvania):
Making an electronic corpus of 1.5 million words of early Modern English
text and using it to study syntactic changes that characterize the
transition from Old to Middle to Modern English. Comparisons showed,
against earlier views, substantial continuity between the syntax of late
Old English and early Middle English.

<http://www.ling.upenn.edu/mideng>

**William Kretzschmar**, (9729149, University of Georgia): Improving
transcriptions of historical recordings of African-American speech
(including Gullah) and adding the resulting data to the Linguistic
Atlas. Much of this information is on the web now, and it is used by
both professional linguists and the general public.

<http://us.english.uga.edu/afam/>

Human Cognition and Perception Program

***[People]{.underline}---***

*Ramesh Bhatt, BCS 96-00724*: This CAREER grant examined object
perception and memory in infancy and produced a good number of
publications. However, particularly noteworthy was Bhatt\'s recruitment
of high-school students, most of them from underrepresented minority
groups, to work in his laboratory during the summer. They were exposed
to experimental methods and theoretical issues in cognitive
developmental psychology.

***[Ideas]{.underline}---***

*Roger Shepard, BNS 90-21648*: This grant is the final one in an
unbroken series of grants stretching back at least to the mid-70\'s,
which culminated in Shepard\'s being awarded the National Medal of
Science in 1995. Shepard\'s long-standing goal has been to discover and
to give mathematical formulation to psychological laws and then to
determine whether these laws approximate optimality in a world having
the features of any environment in which intelligent life might evolve.
In keeping with that goal, Shepard has worked towards a psychological
science that resembles physical science in possessing universal laws.
Published books, chapters, and articles, as well as books in press,
encapsulate some of his ideas, which were also presented in the 1994
William James Lectures at Harvard.

*Rochel Gelman, BNS 92-09741*: This grant is the most recent in an
unbroken series of grants stretching back to the mid-70\'s, in which
Gelman has transformed the way in which scientists think about
children\'s acquisition of mathematical concepts, their acquisition of
knowledge about people and other self-moveable objects, the development
of writing, drawing, and mathematical notations, and their acquisition
of novel knowledge domains, including machines and culture-specific
developments. In addition to this basic research, Gelman has been
concerned with applying this knowledge to museum, preschool, K-12, and
higher education.

***[Tools]{.underline}---***

*Michael Tarr, BNS 96-15819*: This grant was concerned with studying how
the human visual system recognizes objects at multiple levels of
specificity. It involved a diverse set of techniques, including
computer-graphics psychophysics, neuropsychological assessment of
brain-injured people, functional Magnetic Resonance Imagery (fMRI), and
Event-Related Potentials (ERPs). The stimuli and experimental protocols
developed in this project have achieved almost \"canonical\" status and
are widely used throughout the psychological research community.

Developmental and Learning Sciences

## Ideas

*Sandra Graham,* *NSF-9911525*: A social cognitive & contextual analysis
of peer victimization across middle-school years. *What are the dynamics
of how and why peers bully and otherwise victimize classmates?* This
project studies (1) individual and contextual antecedents of
victimization that are particularly salient during early adolescence,
such as ethnicity, pubertal timing, and one's position in the peer
group; (2) the consequences of victimization, including subjective
well-being, rejection by peers, and school performance and attitudes;
(3) the relations between victimization and adjustment models that view
self-blaming attributions as a key variables; and (4) adjustment
patterns of subtypes of victimized young adolescents who may be most at
risk for psychological, social, and school dysfunction.

*Joyce Alexander, Indiana University,* *BCS-9907865*: Knowledge and
Strategies in Young Children: Two Paths Toward Independent Learning.
*What are the predictors of children's learning interests and how does
parental involvement influence learning?* Findings indicate specific
parental traits that influence children's learning: Most importantly,
children who develop focused encyclopedic play interests tend to have
parents that value family discussions. Why does the value of family
discussions predict children's interests? Children cannot easily learn
about some domains without adult help; they need parents to talk with
them about the domain, to read them relevant books, to participate in
their play, and to provide them with relevant resources (toys, models,
etc). Preschoolers cannot acquire this kind of knowledge on their own.
The impact of adult investment in child learning is not insignificant:
Children who develop focused encyclopedic play interests are more likely
to be boys (by a factor of 5) and to demonstrate higher cognitive skills
(particularly verbal).

**The Children's Research Initiative**

The Children's Research Initiative (CRI) is a new priority area at the
National Science Foundation (NSF). The CRI is part of the Developmental
and Learning Sciences program in the Division of Behavioral and
Cognitive Sciences (SBE-BCS). In FY2001 the CRI supported a variety of
research activities in the area of developmental science. NSF funding
enabled scientists to form research partnerships through research center
grants and individual research projects, and to build research capacity
through planning grants, workshops, and small conferences. NSF developed
a separately competed funding opportunity (**NSF-01-85**) for this
explicit purpose.

Most prominent of the new research supported under the CRI are three
*research centers* that will be funded for 5 years each. Together, these
centers represent a new thrust in the field of integrative developmental
science. Individually, the centers represent leading edge research about
children and media, developmental science, and the integration and
dissemination of developmental science to inform both research and
policy.

The **Research Center on Children and Media** is a collaboration of five
research entities across four universities: Georgetown University (Dr.
Sandra Calvert), Northwestern University (Barbara O'Keefe); University
of Texas - Austin (Dr. Ellen Wartella and Dr. Elizabeth Vandewater); and
University of California, Los Angeles (Dr. Patricia Greenfield). The
research activities of this center emphasize the types and impacts of
emergent digital media on children; interactive media experiences on
children's social and academic adjustment; how digital media impact
learning; and influences of media on the developing brain.

The **North Carolina Child Development Research Collaborative (CDRC)**
builds upon multidisciplinary activities across departments at the
University of North Carolina-Chapel Hill, Duke University, University of
North Carolina at Greensboro, and North Carolina State University.
Investigators from diverse areas of developmental inquiry --health,
nursing, social work, education, and developmental psychology---form the
CDRC and have a common objective of developing an integrative model of
developmental science. Their interdisciplinary approach to human
development encompasses the main levels of analysis from the cultural
and societal levels studied by anthropologists and sociologists to the
neural and genetic levels studied by biologists and neuroscientists.
Martha Cox and Steven Reznick of the University of North Carolina-Chapel
Hill are the principal investigators.

The **Cornell Center for Research on Children** is led by Stephen J.
Ceci and Wendy Williams. The objectives of the center include
conducting, synthesizing, and disseminating developmental science to
benefit children, science, and society. The central mechanism through
which the Cornell Center for Research on Children will achieve their
goals is by commissioning and servicing national teams of developmental
scientists to study policy-relevant questions to create a consensus for
dissemination. The center hopes to bridge the schism that presently
exists between scientists who conduct sound empirical research and the
decision-makers who translate research findings into practice. The
center's mission is to improve the quality of the conduct and
dissemination of complex developmental research issues.

Another goal of the CRI competition was to help researchers to build
capacity for conducting research. To this end, a portion of the CRI
budget was designated for *planning grants, workshops, and small
conferences*. In addition, a number of small grants were awarded to help
minority researchers develop methodologies. Many of these awards were
collaborative grants that enable teams of researchers to work together
and learn from one another. Eleven (11) collaborative planning grants
and 16 workshops and small conferences were awarded. Twenty (20)
individual investigator and small grant awards rounded out the funding
slate for FY01.

The Children's Research Initiative is a component of the Developmental
and Learning Sciences Program at NSF. However, because it is a
comprehensive program related to all aspects of children's development,
many other NSF programs participated in co-funding projects under the
CRI. It was because of the additional support from psycholinguistics,
human cognition, cognitive neuroscience, social psychology, and
education research programs that the CRI was able to fund 47 grants and
3 centers. And because the research collaboration model was used by many
of the applicants, the research of more than 90 scientists is being
supported under the \$5M Children's Research Initiative in FY01.

**Appendix C**

# Social and Economic Sciences

The Division of Social and Economic Sciences (SES) supports research to
develop and advance scientific knowledge focusing on economic, legal,
political and social systems, organizations and institutions.

In addition, SES supports research on the intellectual and social
contexts that govern the development and use of science and technology.
SES programs consider proposals that fall squarely within disciplines,
but they also encourage and support interdisciplinary projects, which
are evaluated through joint review among Programs in SES, as well as
joint review with programs in other Divisions, and NSF-wide
multi-disciplinary panels, as appropriate.

All programs in SES consider proposals for research projects,
conferences, and workshops. Some programs also consider proposals for
doctoral dissertation improvement assistance, the acquisition of
specialized research and computing equipment, group international
travel, and large-scale data collection. SES participates in special
initiatives and competitions on a number of topics, including human
dimensions of global change, and infrastructure to improve data
resources, data archives, collaboratories, and centers.

The 10 programs in SES are organized into three groups called clusters
consisting of three or four programs each. The **Economics, Decision,
and Management Sciences Cluster** is composed of the Economics Program;
the Decision, Risk and Management Sciences Program; and the Innovation
and Organizational Change Program. The **Social and Political Sciences
Cluster** contains the Sociology Program; the Political Science Program;
and the Law and Social Science Program. The **Methods,
Cross-Directorate, and Science and Society Cluster** has the
Methodology, Measurement, and Statistics Program; the Cross-Directorate
Activities Program; Science and Technology Studies Program; and the
Societal Dimensions of Engineering, Science and Technology Program. This
Division Annual Report is presented below organized according

to these clusters and programs.

Overall, SES received 1,400 proposals during FY 2001 and made 477
awards.

# ECONOMICS, DECISION, AND MANAGEMENT SCIENCES CLUSTER

Economics Program

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

Twenty-five Nobel prize winners in economics had NSF grants before they
received the Nobel prize. Nobel laureates include George Akerlof,
Michael Spence and Joseph Stiglitz -- the three winners of this year's
award and James Heckman and Dan McFadden -- the two winners of last
year's award. The American Economic Association gives the John Bates
Clark Medal every two years to the "best" economist under forty and
every one of these winners had NSF grants. The Economist magazine
conducts a survey every ten years to identify the eight young economists
who are considered by their peers to be future giants in economics.
Everyone selected both times the survey was conducted was a NSF grantee.
Another measure of our performance in this regard is the use of NSF
grantees by the government and the private sector as key policy makers
or advisers. The chief economists in the Bush Administration (Glenn
Hubbard, John Taylor) as in previous Democrat and Republican
Administrations have had NSF grants. The chief economists in
international agencies (Anne Krueger and earlier Stanley Fischer and
Joseph Stiglitz) were NSF grantees. We are co-hosting a conference with
the Federal Communication Commission on October 27-28^th^ on
Combinatorial Bidding of the key researchers on telecommunication policy
and most of these are NSF grantees. We fund the Brookings Panel on
Economic Activity, the Carnegie-Mellon/Rochester Public Policy
Conferences, the NBER Summer Institute and the NBER MacroAnnual in which
policy users of economic research hear the latest research on timely and
important economic policy issues.

On September 27^th^ Robin Bartlett of Denison University presented
"Team-Mentoring: Catapulting Women through the Glass Ceiling", a
description of an innovative and very successful mentoring conference
for 40 junior women economists supported by NSF. The conference
accomplished its goal of improving the research, grant writing,
networking, and life balancing skills of the 40 junior women economists.
It also produced conference plans, supporting materials and a video that
so far have been used to hold four more mentoring conferences for women
in economics. The American Economic Association Summer Training Program
is an intensive eight and one-half week program designed to encourage
and prepare talented undergraduates for success in economics doctoral
programs. This is combined with a Scholarship Program that recruits,
selects and funds Minority (Black, Hispanic and Native American)
participants who are U.S. citizens or permanent residents. Recent
statistics show that the Summer program has been very successful in
raising the numbers of Minority students in strong graduate programs.
NSF supports this program. NSF also supports educational innovations in
economics such as the use of laboratory experiments in the classroom to
teach economic concepts. A successful NSF grant for educational
innovation to Charles Holt's experimental laboratory at the University
of Virginia lead to the creation of a website at
[http://www.people.Virginia.EDU/\~cah2k/programs.html]{.underline}

for resources needed to use experiments in the classroom (this is also
relevant to tools) and the creation of a new infrastructure connecting
laboratories at a number of different Universities using experiments
with different methods to enhance education and research in different
disciplines (anthropology, economics, political science).

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

Akerlof, Spence and Stiglitz received the Nobel prize for NSF funded
research that made fundamental contributions to our understanding of
asymmetric markets -- markets in which one side has more information
than the other. More recently, three CAREER awards have made
contributions related back to Spence's research twenty-five years ago on
signaling in markets with incomplete and imbalanced information. For
example, an employer trying to hire the best employee has incomplete
information about the different candidates. Candidates can signal to the
employer their motivation, ability and training through the wage their
current employer is willing to pay, or the type of contract they will
accept. Spence\'s contribution was to show that in any market with
incomplete information, market prices and behavior would convey
information \"signals\" and affect the performance of the market.
Signaling theory has been widely applied most notably to understand the
Internet and e-commerce. You can obtain more detail about this at the
Nobel prize website for Spence at
[http://www.nobel.se/economics/laureates/2001/press.html]{.underline} or
Spence\'s website at
[http://gobi.stanford.edu/facultybios/bio.asp?ID=156]{.underline}.

Three of our CAREER awards use Spence\'s Nobel prize winning research to
make significant new contributions: Susan Athey MIT/ just moved to
Stanford (SES-9983820), Austan Goolsbee University of Chicago
(SES-9984567) and Owen Lamont University of Chicago (SES-9733979). Both
researchers pursue general insights into the way markets handle
uncertainty under information technology and come up with important
insights.

CAREER recipient Austan Goolsbee in a series of publications (\"In a
World without Borders: The Impact of Taxes on Internet Commerce; \"The
Implications of Electronic Commerce for Fiscal Policy\" and \"Internet
Commerce, Tax Sensitivity, and the Generation Gap\") uses two major
surveys of approximately 25,000 Internet users in late 1997 and late
1998 to examine the sensitivity of Internet commerce to tax rates. Tax
sensitivity is high and is not falling despite the rapidly increasing
number of new users because as new users gain experience, particularly
young Internet users, their tax sensitivity appears to rise
substantially. Internet commerce as a whole continues to be highly
sensitive to tax rates and would fall significantly if existing sales
taxes were enforced on line. This research suggests that applying
existing sales taxes to Internet commerce might reduce the number of
online buyers by up to 24 percent. But the data also suggest that the
potential sales tax revenue losses from continued exemption of internet
commerce would be quite modest over the next several years. So taxing
internet commerce would not yield much government revenue and would
substantially setback and slow the growth of e-commerce. More detail
about these contributions including copies of the papers can be found at
Austan Goolsbee\'s website [http://gsbadg.uchicago.edu/]{.underline}.

CAREER recipient Susan Athey also develops new and powerful tools for
studying how information technology affects business activity under
uncertainty and incomplete information. Some of her work focuses on
examining the interaction between information technology and human
resource policies. For example, she studies emergency medical
dispatching in 911 systems, where organizational choices include the
training and skill level of workers, as well as whether or not to adopt
\"Enhanced 911 (E911) systems, which provide automatic number and
address information from a computer database when a caller dials 911.
They find that response times for ambulances for medical cardiac
emergencies are reduced by 10% when E911 is adopted and that even
greater reductions in response time are achieved if E911 is complemented
with increased investments in training personnel. See
[http://www.stanford.edu/\~athey/]{.underline} for copies of all her
papers and [http://www.stanford.edu/\~athey/itemer.pdf]{.underline} for
her paper on \"The Impact of Information Technology on Emergency Health
Care.\"

Spence\'s insights into how markets convey information through price
signals have influenced finance. Noise traders - traders who buy stocks
when prices rise and sell when prices fall - can generate speculative
bubbles in financial markets. CAREER recipient Owen Lamont has developed
a research and an innovative education program around the concept of
economic tracking portfolios. An economic tracking portfolio is a
portfolio of assets with returns that track an economic variable.
Monthly returns on stocks and bonds are useful in forecasting post-war
US output, consumption, labor income, inflation, stock returns, bond
returns, and Treasury bill returns. These forecasting relationships
define portfolios that track market expectations about future economic
variables. Out-of-sample results show that tracking portfolios are
useful in forecasting macroeconomic variables and hedging economic risk.
Lamont created a new course called Portfolio Management that seeks to
produce both non-financial managers who can use financial data to make
economic decisions, and mangers in the securities industry who are
technically able to address macroeconomic and social needs through
financial needs. More information including teaching materials and
specific papers on economic tracking can be found at
[http://gsbw.uchicago.edu/fac/owen.lamont/research/wp.html]{.underline}.
The work of Owen Lamont is a good example of how NSF funded basic
research in economics provides new tools and better training for
students in business schools which in turn helps the private sector.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

# Last year the National Science Board approved renewal of NSF support for the Panel Study of Income Dynamics (PSID). The PSID is a longitudinal survey initiated in 1968 of a nationally representative sample for U.S. individuals and the family units in which they reside. The major objective of the panel is to provide shared-use databases, research platforms and educational tools on cyclical, intergenerational and life-course measures of economic and social behavior. The PSID meets NSF's strategic performance goal for tools because it provides broadly accessible, state-of-the-art databases, shared research platforms and education tools. With thirty-plus years of data on the same families, the PSID can justly be considered a cornerstone of the infrastructure support for empirically based social science research. 

The PSID's innovative design and long-term panel have been central to
the fundamental understanding of key social science issues with
substantial broad impacts on society: income, poverty and wealth;
cyclical behavior of wages, labor supply and consumption; savings,
wealth accumulation and transfers; demographic events (teen
childbearing, marriage, divorce, living arrangements, mortality); labor
market behavior; and the effects of neighborhoods. PSID data transformed
research on poverty from a static view of poor and rich to a dynamic one
in which families experience episodes of poverty or affluence. PSID data
are being used to assess current government policies such as the impact
of welfare reform on low-income, African-American and Hispanic families.
PSID results have been replicated and validated. The PSID has become an
important educational resource as shown by the large and growing number
of dissertations based on PSID data; undergraduate courses at a number
of Universities and publicly available online learning resources that
rely on the PSID; and participation by students and faculty in the
courses on the PSID each year in the Institute for Social Research's
world-famous summer institute. The enormous usefulness of decades of
data on the sample families has made the PSID one of the most widely
used social science data sets in the world. The project currently
delivers more than 10,000 customized data sets a year to researchers via
its Internet Data Center. Since 1968, over 2,000 journal articles, books
and chapters, dissertations and other works have been based on PSID
data. The PSID was named one of the "Nifty Fifty" most important NSF
sponsored research efforts, the only social science project to attain
that honor (see
http://www.nsf.gov/od/lpa/nsf50/nsfoutreach/htm/n50_z2/pages_z3/38_pg.htm).

Other projects include the Internet, Doppler radar, MRI, and DNA
fingerprinting. For more information on the PSID and access to PSID data
go to http://www.isr.umich.edu/src/psid.

Using neighborhood data that link to the rich family and individual
information collected in the PSID, researchers were able to show that
community has significant impacts on a young person's education, career,
health, marriage and other life course characteristics. The CAREER award
to Jeffrey Kling on "Methods Evaluating Public Policies and Assessing
Effects on Employment, Crime, and Poor Neighborhoods" extends this
research by collecting and analyzing new data on families who have moved
out of public housing into private market housing using rent subsidy
vouchers in the Moving To Opportunity (MTO) demonstration program.
Eligibility for a mobility subsidy for low-income families was
determined by random lottery. Families report that the primary reason
they want to move out of public housing is fear of crime. An analysis of
participants surveyed from one to three years after program enrollment
indicates much lower criminal victimization rates and much higher
self-reports of neighborhood safety for participants than the control
group. Children of participants attend schools with substantially higher
test scores, although little difference is observed between groups on
reported absenteeism from school or hours spent on homework. Most health
and safety indicators, such as exposure to violence and child behavior
problems, show improvements of substantial magnitude for the participant
group relative to the control group. For more information on this
project see http://www.wws.princeton.edu/\~kling/mto/national.htm.

## Decision, Risk, and Management Sciences Program

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

### 

The Decision, Risk, and Management Sciences Program (DRMS) makes
valuable contributions across all categories and levels of training and
education. DRMS support for interdisciplinary collaboration and
research - as in the areas of behavioral economics and environmental
valuation - contributes to development of scholars better equipped for
scientific advances as well as societal contributions.

-   At the undergraduate level, DRMS supports a considerable number of
    research experiences for undergraduates, including many for members
    of groups that are underrepresented in scientific endeavors (e.g.,
    Vaughan 9909192, Galotti 0111585).

-   At the graduate level, DRMS supports innovative doctoral research,
    as illustrated by the findings from Kraemer and Kobelsky, 9809214
    (see below).

-   At the level of scholars who recently obtained the doctoral degree,
    DRMS supports their development through the CAREER program as well
    as by funding their work through other programs. CAREER submissions
    to DRMS have increased and DRMS has made several CAREER awards
    recently, including support for Sheena Iyengar (co-sponsored with
    Social Psychology and Innovation and Organizational Change), the SBE
    PECASE winner this year, and Carpenter (see below). CAREER award
    winner Rachel Croson (9876079) has become a tenured professor of
    Operations and Information Management at the Wharton School of the
    University of Pennsylvania. Outside the CAREER program, DRMS
    continues to encourage submissions from young investigators and
    supports proposals on the frontier, as illustrated by Chapman\'s
    research (described below), and by a recent award (0099209) to Craig
    Fox for continued investigation of how people judge probabilities.

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-   At the level of academic leaders, DRMS has supported the established
    leaders of its constituent fields. They have written hundreds of
    articles in the leading journals. Recent books include *The
    Perception of Risk* by Paul Slovic, *Negotiation* by Leigh Thompson,
    and *Risk Communication: A Mental Models Approach* by M. Granger
    Morgan, Baruch Fischhoff, Ann Bostrom, and Cynthia Atman.

A variety of projects, including funding for dissertation research and
to faculty from underrepresented groups, support workforce development.
An illustration is dissertation support to Kevin Kobelsky and his
advisor Ken Kraemer (809214). Kobelsky studied factors related to
performance in the disk drive industry. He found that information
technologies that enable feedback between processes within the plant and
between plants improve yield and quality. Kobelsky is now an assistant
professor at the University of Southern California.

Also illustrative of workforce development is DRMS support to a young
scholar, Gretchen Chapman (9796042). In several articles, Chapman has
reported research results on discount rates. According to normative
discounted utility theory, the same discount rate should be applied to
all decision outcomes. When asked to make inter-temporal choices,
however, decision makers use different discount rates for different
domains, such as health and money. Monetary discount rates are no more
related to familiar (e.g., their own migraines) than to unfamiliar
(e.g., others\' inflammatory bowel disease) health discount rates.
Differences in expectations about outcomes appear to explain important
differences in health and money time preferences.

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

DRMS funds explorations of ideas at the cutting edge of decision theory,
risk analysis, and management science. The researchers come from a wide
range of academic disciplines including psychology, economics, and a
variety of applied fields including engineering, business, and law. For
example, in FY01 DRMS funded economists (Camerer and Weber (0095570;
0095779) who are conducting innovative research on organizational
culture and psychologists (Barbara Mellers \[0111944\] and Paul Slovic
\[0112158\] who are studying the role of affect in decision making. DRMS
funded principal investigators at undergraduate institutions last year,
including an award to psychologist Kathy Galotti (0111585) to study
parents\' school choices for their young children. CAREER awards went to
researchers studying issues at the border of social psychology and DRMS.
Sheena Iyengar (0094309) is exploring the relationship between the
number of options available to a decision maker and the quality of
choices. Jeff Carpenter (0092953) is studying the evolution of social
capital (how individual characteristics such as trust, trustworthiness,
reciprocity, and generosity that make economic activity possible when it
is difficult to write and enforce contracts).

In FY01 DRMS also supported workshops and conferences to disseminate
findings and foster new research ideas. For example a workshop on
collaboration between Engineering and Social, Behavioral and Economic
Sciences, and a workshop on Extreme Event Decision Making, both held in
April 2001 at NSF. DRMS contributed to the organization of two U.S. EPA
workshops for researchers in the joint NSF/EPA Decision Making and
Valuation for Environmental Policy program, both held in Washington D.C.
In addition DRMS awarded support for the Conference on Creating,
Retaining, and Transferring Knowledge in Organizations held at Carnegie
Mellon University in September. These conferences and workshops benefit
society by enhancing communications between experts and decision makers.

The following research nuggets illustrate fundamental advances in the
social and behavioral sciences reported by DRMS researchers in FY01:

-   Paul Slovic (9876587) reported that people base their judgments of
    an activity or technology not only on what they think about it, but
    also how they feel about it. Affect comes prior to, and directs,
    judgements of risk and benefit. This use of the \"affect heuristic\"
    suggests that providing information about benefit should change
    perception of risk, and vice-versa. For example, information stating
    that benefit is high for a technology such as nuclear power should
    lead to more positive overall affect, which should, in turn,
    decrease perceived risk.

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-   David Nembhard, (9986385) has developed a model for predicting
    individual performance in industrial settings, given that workers
    are likely to work intermittently at a number of tasks over the
    lifetime of the set of the tasks. Assigning workers to tasks based
    on this model significantly improves productivity.

DRMS also continues to provide pivotal fiscal and intellectual support
to foster advances in behavioral economics, one of the hottest fields in
economics, as highlighted by the *New York Times* (e.g. *New York Times
Magazine,* February 11, 2001) and the *Washington Post* (e.g. Sunday Aug
5, 2001, p B07) this past year.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

Many DRMS researchers have made methodological contributions to the
social and behavioral sciences. Michael Birnbaum\'s recent book
*Introduction to Behavioral Research on the Internet, s*upported by
DRMS, illustrates the contributions of DRMS researchers to advances in
social and behavioral science methodology in one medium, the Internet.
The two awards listed below illustrate how research may produce
different types of tools that benefit society.

-   Robin Gregory (9815382) studied small group deliberations to
    evaluate alternative water use plans in the context of a
    multidimensional, multi-stakeholder process. He and his colleagues
    explain why groups often find making complex choices difficult, and
    show how decision-aiding concepts including "value-focused thinking"
    and "adaptive management" can work. They also developed tools for
    dealing with the embedding problem, under which the same good
    typically is assigned a higher value (i.e., willingness to pay) if
    it is evaluated on its own rather than if its value is inferred from
    that of a more inclusive good (e.g., clean water in one lake or
    10,000 lakes). Embedding is a particularly troublesome problem in
    the valuation of nonmarket health and environmental options. The
    team's experiments demonstrated a successful approach for reducing
    embedding.

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-   Janet Fulk (9602055) learned that people contribute more information
    to discretionary databases if they believe that their contribution
    will effectively benefit their organization and the public good. The
    value of potential public goods is a more important influence on
    information contributions than is the relative cost of making those
    contributions. Theories of public goods suggest that early
    contributors toward collective actions do not accrue more returns
    than later \"free riders.\" When organizations help create public
    goods such as participatory federations, however, they may be able
    to reduce free riding and secure advantageous positions in the
    federation if they can envision the future and communicate their
    vision to potential federation partners.

Several of the world\'s leading computational modelers are now extending
their models to incorporate connective and communal communication public
goods as a result of this research. These extensions are likely to have
wide impact on the way connective and communal goods like the Internet,
intranets, and extranets are conceived and studies. This research by
Fulk and her collaborators has also contributed to the development of
new models for connective and communal public goods, which is
particularly promising in the context of knowledge networks and
repositories.

> **Innovation and Organizational Change Program**
>
> The Innovation and Organizational Change Program supports research
> using theory combined with empirical validation to expand the
> concepts, models, and methodologies of change in organizations and
> institutions. Grantees work with partner organizations in industry,
> education, health care, government, or service. A high priority of the
> program is to develop valuable research perspectives across
> disciplinary lines.
>
> Sponsored by three directorates of the National Science Foundation
> (NSF) - Social, Behavioral, and Economic Sciences (SBE), Engineering
> (ENG), and Education and Human Resources (EHR) - the program's
> objectives are best met by building on and extending research in a
> variety of disciplines with an eye toward creating and applying
> fundamental new knowledge in multiple domains.
>
> Among the criteria for awards from the IOC program, five are
> especially important. A research proposal should\...
>
> 1\. Demonstrate potential contributions to both theory and practice.
>
> 2\. Build on existing research and represent clear value-added over
> existing literature.
>
> 3\. Include a description of the intended methodology and must be
> methodologically sound.
>
> 4\. Include plans for disseminating results to practitioners as well
> as to the research community.
>
> 5\. Reflect a real partnership between researchers and one or more
> organizations.
>
> Here are some recent IOC awards that illustrate the many kinds of
> research on management and organization issues supported by the
> program:

-   **Collaborative International Research on Education** (00-80704), a
    small grant for exploratory research, is looking at how different
    types of universities (large and small, research and teaching, new
    and old) are using technology to change how students are educated.
    The potentials are far beyond "distance learning."

-   **The School Design Project: Applying Models of Management to K-12
    School Districts** (01-15559), a major nationwide study of principal
    school districts in the country (e.g., Chicago, Houston, New York,
    Seattle), where the PI has acquired access to both public and
    parochial schools' complete data sets. No prior researcher has had
    access to such data, and his findings should be both illuminating
    and important.

-   **Transforming Undergraduate Chemistry** (99-06162), a project to
    teach chemistry as an experiential, inquiry- and discovery-centered
    course, recreating the excitement and enthusiasm in students that
    the original discoverers felt. The project focuses on change in
    faculty, departments and institutions needed to deliver the new
    course.

-   **A Comparative Study of U.S., German and Japanese Engineering
    Careers** (00-80644), comparing what three dominant cultures see as
    "good" engineers, with consequences for their career success and
    potential insight into their companies' and their economies'
    outcomes.

-   **Global CEO Leadership and Organizational Change** (00-80705), the
    third phase of a massive study across nations of CEOs' leadership
    approaches and their impact on successful organizational change.

-   **A Technological-Economic-Organizational Analysis of Ethanol as an
    Automobile Fuel** (01-15418), a study of barriers to cellulosic
    ethanol's acceptance as a fuel for automobiles and light trucks in
    the U.S. Of interest here: a rich examination of interlocking
    technical, economic and organizational factors surrounding what is
    nominally a "technical" change question.

-   **Inter-Organizational Learning in a Context of Dynamic and
    Behavioral Complexity: Developing Sustainable Business Enterprises**
    (00-80643), a study of how organizations learn through
    representatives seeking to develop and share sustainable practices
    with one another across industries. Of special interest because
    since the Fortune 500 participants serve as belwethers for U.S.
    industry; their success will be both notable in its own right and
    persuasive to others.

-   **KNEXUS: a Symposium on Economic, Social and Political Change**
    (01-22973). A symposium bringing together economic historians,
    cognitive psychologists, learning theorists, sociologists,
    organization theorists and others to frame inquiry around how
    economies are reconfigured to implement change.

# SOCIAL AND POLITICAL SCIENCES CLUSTER

#### 

#### 

#### Sociology Program

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

Over the last fiscal year, the Sociology Program funded research
projects and conferences that supported junior faculty, graduate
students, undergraduates, EPSCOR institutions and minority scholars. The
program has supported four CAREER awards over the past two years and 20
percent of FY01 awards were made to faculty who received their degrees
within the last 6 years. To address the underrepresentation of minority
scholars in both the program's award and proposal pool, the program
funded a conference at Howard University "Enabling a Research Culture at
Historically Black Colleges and Universities." The conference identified
junior faculty who are currently engaged in basic research and
interested in transforming both their teaching and research to develop,
facilitate and sustain a research culture at their institutions.

Since 1996, a major effort has been directed at increasing the pool of
future sociologists who are trained to conduct basic research through
investing in graduate students. Thus, the Program actively solicits
proposals from graduate students and annually receives between 70-80
Doctoral Dissertation Improvement Grants and funds 50% of these. For
example, in FY01 the Program funded 41 of the 82 dissertation proposals
it received, representing a 24% increase over the 31 dissertations
funded in FY00. Also, support was provided for 46 graduate students on
regular research grants. To provide international scholarly experience,
a grant was awarded to the University of California, Los Angeles to take
six graduate students to a mathematical sociology conference held in
Japan. This helped to foster international contacts that will lead to
future collaborations, exchanges, and employment opportunities.

The program provides support to undergraduate through regular research
grants and Research for Undergraduate (REU) supplements. The program
funded 10 REU supplements and 25 undergraduates on regular research
grants. Also, a "Student Research Conference and Competition" for
undergraduates at the University of Texas Austin" was funded and
provided undergraduate and master's level students in five social
science disciplines the opportunity to present research they are
conducting with faculty members.

The Program uses the SGER mechanisms to provide support to scholars who
are exploring innovative ideas and new research areas. Over the past
year two minority scholars were awarded SGER awards---one to develop a
new area of demography called "critical demography" and another to
explore whether neighborhood-level (tract) crime data from police
departments are available to more systematically study how community
structures are linked to crime in neighborhoods of varying race/ethnic
and class compositions. One was able to secure a regular grant to
continue the project and the other currently has a regular proposal
pending.

Finally, the Sociology Program renewed its funding of a small grants
program at the American Sociological Association. It has funded this
project since 1987 and the latest three year continuation grant provides
seed money and venture capital (for approximately 50 small grants) to
stimulate new lines of scientific inquiry, especially by scholars at the
early stages of their careers.

### Nuggets

This (SES-9711162, Felice Levine) was the fourth renewal award
(1997-2000) for the American Sociological Association (ASA) Fund for the
Advancement of the Discipline (FAD). The fund is collaboration between
ASA and NSF, where both contribute equally to the pool of resources that
funded small (\$5,000) grants. The \$132k provided by the Sociology
Program was matched by \$147k from ASA. The funds provide seed money or
venture capital to projects that have produced theoretical findings that
(1) challenged the discipline to link macro and micro level of analysis
in areas such as social movements and sentiments, immigration, identity,
and civil society; cognition and culture; and market relations; and (2)
methodological advancements in the development of cross-national
indicators, and techniques for probabilistic inferences. Awards have
also broaden the dissemination of scientific knowledge, facilitated new
networks of scientific collaboration, provided leverage for acquisition
of additional research funds, and enhanced the discipline's data
infrastructure. One hundred and sixty-three FAD proposals were received
and 37 or 29 percent were funded. There is significant diversity among
both applicants and awardees, with 38 percent of the applicants and 15
percent of the awardees located at non-doctoral institutions; and 31 and
25 percent of the applicants and award recipients, respectively having
their Ph.D. six years or less. Also, a follow-up of awardees show the
modest investments of FAD, attracted additional funds at a rate of at
least \$6.00 for every \$1.00 expended.

The University of Texas San Antonio Student Research Conference and
Competition (SES-0098094, Jeanne Reesman) was held in Spring 2001 and
provided the opportunity for 21 students to participate on research
panels with faculty and 31 students to present poster sessions. The
conference expanded on previously held smaller conferences that proved
successful in getting participating students to apply to graduate
school. The conference recruited student participants from the South
Texas region, paying particular attention to attracting minority and
first-generation college students.

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

The majority of awards made in FY01 tended to cluster along three
general topics -- (1) collective behavior/social movements; (2)
comparative sociology/cross-national research; and (3) social
inequality. General issues addressed in the social movements proposals
focus on how to "predict" when collective action will occur; the
definition of "success" of social movements; economic and structural
mechanism that lead to riots and collective violence and the social
diffusion process of movements; and processes generate the
transformation of domestic contention to the transnationalizaton of
social movements. Research on the development and diffusions of social
movements are very timely in light of the transnational mobilization of
labor, religious/human rights, indigenous groups, global warming and
genetically engineered foods.

Researchers studying migrations and immigration are interested in how
past findings about immigration and race may be impacted by how people
identify themselves versus how they are defined by the government (i.e.,
how are racial residential patterns confounded by the new multi-race
census question); and the affect of internal migration impact on
selected communities. Also of interest, is the relationship between how
citizens become naturalized in different countries and the extent to
which minorities are formally integrated into the state or society.

Lastly, general themes in research on social inequality focused on the
relationships between human capital acquisition, labor market
opportunity and discrimination; and the role that socio-demographics
play in policy decisions involving the allocation of community
resources.

## Nuggets

In a recently completed study, Karen Bradley (Western Washington
University, SBR 9808038) and Maria Charles (University of California,
San Diego, SBR 9809711) compared gender equity in higher education in 19
industrialized countries between 1950 and 1990. The PIs found that women
are much better represented in non-elite institutions than in
universities and graduate schools. Also, women in all countries were
overrepresented in education and humanities programs but
underrepresented in engineering and agriculture. In the vast majority of
countries, men make up a disproportionately large share of natural
science graduates, while medical programs are disproportionately female.
Interestingly, national differences in norms regarding the sexual
division of labor are the best single predictor of women\'s position in
elite higher education institutions.

Jeanne Hurlbert (Louisiana State University, SES 9900911) extended her
earlier research on social networks and social resources in the
hurricane environment by examining the effects of the social context on
the receipt of formal and informal support in preparing for and
recovering from a storm. The PI interviewed a random sample of residents
of Jackson County, Mississippi after Hurricane Georges, collecting
information on past hurricane experience, the structure of individuals'
networks before the storm, and the types of formal and informal support
used in preparing for and recovering from the storm. Results were the
opposite of what was hypothesized. Surprisingly, an unexpectedly large
number of support providers came from outside, rather than inside the
individuals' "core" networks. The study expands our understanding of how
core network members may link individual to persons outside the core
network who may more effectively both provide informal support and more
effectively identify formal sources of support.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

The Program supports several large database projects that provide
resources to the larger social science community. The major data
resource project supported by the program is the General Social Survey
(GSS). NSF has been supporting the GSS since 1972 and in FY01 the GSS
was renewed for another five years. Funding for the GSS comprise
approximately 20 percent of the Program's fiscal year budget.

In making award decisions, the Program takes into consideration projects
that will increase data infrastructure of the discipline. In FY01, the
Program continued to participate in the funding of the Panel Study of
Income Dynamics with the Economics Program and supported several new
data collection efforts, for example:

**SES-0096607, Ted Geber** -- collection of new, multi-level survey data
from 7,200 respondents to analyze stratification dynamics in Russia;

**SES-0110788, Steven Ruggles** -- a collaborative effort between
Canada, Great Britain, Iceland, Norway and the United States to make the
digitized individual-level censuses for the nineteenth century
comparable for research on international migration, urbanization,
industrialization and fertility transition. Data will be disseminated
using newly developed web-based electronic data dissemination methods.

**SES-0110788, Sidney Tarrow** -- creation of a quantitative data set
from the existing archive of the Yearbook of International Organizations
and adds information on protests at international conferences

#### Nuggets

A recently completed collaborative project (SES-9811323, David Willer
and SES-9810907 Phillip Bonacich) supported the preliminary work for a
system for web-based experimental research. Using computer simulations,
the PIs were able to study optimal strategies for different positions in
exchange networks. Existing work has either not paid attention to the
strategies used by actors in exchange networks or has assumed that all
actors use the same simple strategy. The use of simulated actors allowed
the PIs to address the concern that subjects in laboratory experiments
may not mirror the strategies used by experienced, sophisticated
negotiators in the "real world." The project was expanded into a
\"Web-Lab Library,\" and multi-functional knowledge center through a
grant jointly funded by the Sociology Program and the Digital Library
competition (IIS-9817518, David Willer). The project includes a library
of software for experiments at the Website to support theoretically
driven experimentation and a library of simulation programs for research
and education. Data from current experiments are recorded and
automatically archived the Web-Lab Library located at the University of
South Carolina . The web lab contributes to the infrastructure of
sociology and other social sciences by allowing the easy replication of
experiments and the conduct of cross-national studies by experimental
social psychologists. It is also available for use by experimental
economics and game theorists.

The General Social Survey (GSS) has been monitoring social change in the
United States, examining sub-groups in society, and studying social
processes since 1972 (SES-9617727, James Davis). Over this period, 23
cross-sectional surveys of the US adult household population has been
completed, involving face-to-face interviews with approximately 41,000
respondents. Surveys document fundamental social change in areas such as
uses of technology, social and cultural capital, neighborhoods and
communities, social networks, and racial and gender attitudes. The GSS
is widely used by the academic research community and scholars at
research centers, foundations, and government researchers. For example,
as of April 2000, there were 5,430 documented uses of the GSS data,
including 2,676 journal articles, 1,201 books, 959 scholarly papers and
153 dissertations and theses. The GSS is used extensively in teaching,
with GSS having been utilized in 226 textbooks and is contained in
course materials on 224 websites. The cumulative GSS data files are used
in the ICPSR Summer Program, which is annually attended by 150 scholars
representing over 100 colleges in the United States and Canada. GSS data
are made available to researchers and their students. The GSSData and
Information Retrieval System provides facilities for statistical
analyses, hypertext viewing, customized extracts from data sets, and
File Transfer Protocol for extracted data sets.

> **Political Science Program**

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

The past two decades have witnessed an enormous improvement in the
technical competency of scholars in political science. Progress,
however, has been uneven. A significant concern is that a schism has
developed between those who do formal (theoretical) work that is highly
mathematical and those who do empirical work that tends to emphasize
applied statistics.

*The end result is that a good deal of research in political science is
highly competent in one technical area (formal modeling or applied
statistics), but lacking in another*.

To that end the Political Science Program convened the Empirical
Implications of Theoretical Models (EITM) Workshop on July 9-10, 2001.
In both written commentaries and contemporaneous statements, Workshop
participants recommended that the Political Science Program address the
technical divide in three broad areas:

-   Education: Training and Retraining

-   Dissemination of Knowledge: Conferences and Workshops

-   Research: Establishment of Research Work Groups

The EITM Workshop recommendations, as well as the scientific and
infrastructural progress and needs of Political Science, are the bases
for a major research activity. The Political Science Program may fund up
to \$1,000,000 in fiscal year 2002. A "Dear Colleague" letter has been
distributed broadly and a spate of proposals will arrive in January,
2002. This innovative activity will impact directly the theoretical and
empirical base of numerous social science disciplines.

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

-   CAREER: To improve the teaching and research capabilities for junior
    faculty. An example of this type of award in Fiscal year 2001 is the
    following:

1.  [Proposal Number 0094376]{.underline}: Barbara Koremenos (UCLA)
    \-\-- "Designing International Agreements: Theoretical Development,
    Data Collection, and Empirical Analysis."

This award allows researchers who study international cooperation to
test their theories in much the same way as the Correlates of War and
Militarized International Disputes datasets enable researchers who study
international conflict to test their ideas. The data are available to
the research community once assembled. The award also contains a
substantial undergraduate and graduate teaching component. The Principal
Investigator incorporates both undergraduate and graduate courses on
research design, with a particular focus on how to collect data that can
be used to test empirically predictions from formal theory. These
courses cover all aspects of the problem, with a special focus on the
challenge of operationalizing theoretical variables.

-   The Bunche Institute: An important long-term step in this direction
    has been the Program's sponsorship of the Ralph Bunche Institute at
    Duke University. This program's purpose is to train minority
    undergraduates in Political Science, with a focus on methods. Over
    the past 3 years the institute averages about 15 students per year.
    About 50% of the students go on to graduate school in Political
    Science. This includes institutions such as Yale, Duke, Emory, Ohio
    State, Rice, and Maryland.

-   The Empirical Implications of Theoretical Models (EITM) Training and
    Re-Training Summer Institutes: These training institute(s) will
    emphasize graduate and post-graduate training with a explicit
    emphasis on linking formal and empirical analysis.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

-   Infrastructure Competition: On March 23, 2001, the Political Science
    Program convened its first ever panel to review and fund proposals
    deemed to improve infrastructure (Tools). 12 proposals were
    submitted and a special advisory panel recommended 3 for funding.
    The 3 awards were to:

1.  [Proposal Number 0112072]{.underline}: James Alt (Harvard
    University) \-\-- "A Feasible Uniform Standard for Deep Citation of
    Social Science Data."

> This Political Science Infrastructure project creates a uniform
> citation standard for social science data sources. Analogous to the
> impact of standards for citing textual sources, this facilitates
> connections between research and researchers. It thereby improves the
> scientific process and advances the accumulation of knowledge. The use
> of standard data source citations expands replication efforts and
> eases these efforts, increasing researcher productivity and allowing
> more resources to be devoted to new research.

2.  Proposal Number 0111611: Frank Baumgartner (Penn State University)
    and Bryan Jones (University of Washington) \-\-- "Database
    Development for the Study of Public Policy."

> This collaborative infrastructure project continues the development of
> a comprehensive database for the analysis of public policy processes
> in the United States, and establishes a truly interactive application
> system for the delivery of that database to public policy scholars,
> students, and policy analysts. The existing database is centered on
> lawmaking activity; the current project extends the work to the
> presidency, the executive branch, the courts, and interest group
> activity. The database links several independent data sets via a
> system of policy content codes that are constructed to be consistent
> across time. The approach avoids the pitfalls of relying on data
> collected for purposes other than policy monitoring. Numerous other
> variables are collected in addition to the policy content of the
> cases, adding to the richness and flexibility of these data sets.

3.  Proposal Number 0112029: W. Phillips Shively (University of
    Minnesota) and Nancy Burns (University of Michigan) \-\--
    "Comparative Study of Electoral Systems."

> The Comparative Study of Electoral Systems (CSES) is an international
> collaboration of more than 50 national election studies across the
> world. It represents a globally coordinated comparative project to
> study electoral behavior under varying institutional conditions. By
> collecting systematically comparable survey and associated
> institutional context information at the time of national elections
> and then making the resulting data freely available to the scholarly
> community, it provides a unique resource for comparative research on
> the ways in which institutions constrain and shape electoral behavior
> and attitudes toward democracy.

These projects promise to enhance substantially the infrastructure base
of political science in the 3 specific substantive areas.

-   The American National Election Study (ANES):

> This award provides continued support of the Foundation's long-term
> commitment for the American National Election Studies (ANES) as a
> major data gathering and archiving resource. The major purpose of ANES
> is to sustain and enhance the diversified database that supports basic
> research on voting, public opinion, and political participation in the
> United States. The importance of the project derives from the
> significance of these topics. Voting, public opinion, and
> participation are essential elements in the grand and complex story of
> politics and citizenship. Over the last twenty-five years, ANES has
> successfully provided the empirical and conceptual foundations for
> research that has deepened an understanding of the part that Americans
> play in this process. Thousands of scholars have used the ANES
> database.

-   Time Sharing Experiments for the Social Sciences (TESS):

Time‑sharing Experiments for the Social Sciences (TESS) is accomplishes
6 goals:

1\. it provides numerous social scientists with new opportunities for
original data collection:

2\. it promotes innovative experiments;

3\. it increases the precision with which fundamental social, political
and economic dynamics are measured and understood;

4.  it increases the speed and efficiency with which advances in social
    scientific theory and

analyses can be applied to critical social problems;

5.  it maximizes financial efficiency by combining otherwise separate
    studies, thereby radically

> reducing the average and marginal costs of each study;

6\. it creates an Internet portal for people who want to learn about
social science experimentation ‑‑ a place where teachers and students at
many levels can easily benefit from these collective accomplishments.

> TESS will accomplish these goals using two large‑scale, cooperative
> data collection instruments. Both the internet‑based and
> telephone‑based instruments will allow researchers to run novel
> experiments on a national random sample of American households for the
> purpose of examining substantive or methodological hypotheses.
> Scholars across the social sciences will compete for time on one or
> both instruments. A comprehensive review process comprised of leading
> researchers in economics, political science, psychology, sociology,
> communications, cognitive science, and related disciplines are
> reviewing proposals for the importance of their contribution to
> science.

## EITM Research and Undergraduate training: It should be noted that the Political Science Program would be monitoring all EITM activities for evaluation purposes. We expect to add 2 additional phases to EITM: basic research and undergraduate training. 

# Nuggets

International relations and comparative politics studies have long been
a staple of the discipline of political science and have often received
support from the Political Science Program.

The research of particular importance for the current purpose concerns
the theme of conflict resolution and mediation of disputes. Scholars in
this area collect and document militarized incidents from a variety of
sources. This entails searching global, regional, and national sources
for indications of a threat, display, or use of force by one state
against another. Secondly, scholars check, archive, and document the
incidents collected to ensure consistency, completeness and absence of
duplication.

Comparative politics and international relations scholars systematically
have studied conflicts in the Middle East. They are particularly
interested in assessing the mediation process in dispute resolution.
There have been few systematic scholarly studies of mediation. Those
that exist generally have focused on relatively static contextual
factors such as the conflict attributes and the prior relationship
between the mediator and protagonists rather than on dynamic factors.
The extensive qualitative literature provides numerous hypotheses about
dynamic aspects of mediation. These studies primarily have been case
studies, often by mediation practitioners, that exhibit little
cumulation and, when taken as a whole, are rife with contradictory
assertions.

At present, the Political Science Program is supporting several studies
which provide an extensive empirical analysis of hypotheses about the
dynamics of the mediation process. Those empirical generalizations can
inform the efforts of individuals engaged in actual mediation.

-   Findings

The noted the paradoxical finding that as the level of mediation
increased from passive to more active, there was a slight (though
statistically insignificant) decrease in the proportion of disputes
ending in agreements. The researchers found that as the level of
mediation increased, the gap in utility that the two parties derived
from the outcome gradually increased, leading to dissatisfaction on the
part of the losers.

In all cases where mediators tested for higher cognitive complexity than
the negotiators, and in the majority of cases where the levels were
roughly equal, negotiations ended with the achievement of agreements.
When mediators exhibited lower levels of cognitive complexity than the
negotiators, the majority of cases ended in violence. These interesting
findings have significant importance of current international problems
and negotiations.

[Proposal Number 9905575]{.underline}: Jonathan Wilkenfeld, University
of Maryland, "The Political Psychology of Crisis Negotiations."

[Proposal Number 0001689]{.underline}: Paul Diehl, University of
Illinois, and 9 other collaborators at separate institutions,
"Collaborative Research on Updating the Militarized Interstate Dispute
Data Set."

[Proposal Number 0096086]{.underline}: Deborah Gerner and Philip
Schrodt, University of Kansas, "Analyzing the Dynamics of International
Mediation Processes."

Law and Social Science Program

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

The Law and Social Science Program supported 3 Research Experiences for
Undergraduates (REU) supplements and 9 Research Experiences for
Graduates (REG) supplements. These supplements supported 17 students. In
addition, this program made 12 dissertation improvement awards, one
CAREER award, one Research Planning Grant to a minority scientist, and
one award to a scholar at a predominantly undergraduate institution. The
program also made one supplement under the Facilitation Awards for
Scientists and Engineers with Disabilities. The Law and Social Science
program also supported research with an international component,
including studies encompassing Africa, Europe, and Asia.

Robert A. Kagan/John Cioffi, SES-9906158, "Dissertation Research: Public
Law and Private Power: The Comparative Political Economy of Corporate
Governance in the U.S. and Germany."

This project, the dissertation research of John Cioffi, examined the
legal and institutional frameworks of corporate governance in the United
States and Germany. The research focused on the historical differences
in law and institutions defining corporate governance in these two
countries and the influence of politics and judicial institutions on the
recent evolution of corporate governance structures and practices. The
major findings of this research are that national corporate governance
regimes have remained substantially divergent in both law and business
practices. They are not converging, as some have predicted, on an
"American model." This divergence continues despite convergence on a
more centralized and legalistic form of regulation over the financial
markets.

Susette M. Talarico/Roger Hartley, SES-9634453, "Dissertation Research:
Civil Justice Culture and ADR: An Exploratory View Through a
Neo-Institutional Lens."

This project, the dissertation research of Roger Hartley, examines
alternative dispute resolution (ADR) and the civil justice systems. In
particular, the research explores how mediation affects institutional
structure, the behavior of actors, and the procedure of civil court
systems. By employing quantitative and qualitative research designs, the
researcher found that litigant choices, constrained by formal rules and
informal norms, change with the implementation of ADR into a civil
justice system. Although adoption of ADR did not achieve program goals,
like speeding case disposal, it changed the civil justice system
environment, the behavior of actors, and the norms of case settlement.

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

The Law and Social Science Program, a multidisciplinary program, made 40
awards during FY2001, which did not represent a significant change from
the 39 awards that were made during FY2000. Social-scientific research
in law ranges widely in methodology and subject matter. It includes
linguistic studies of legal doctrine; historical, archival, and other
approaches to the study of legal institutions; and the application of
social-psychological and experimental methods. Program support ranges
far beyond local, primarily US, institutions. Global and globalizing
phenomena provide the basis for a growing number of proposals and
awards. Law crosses national boundaries more and more because commerce,
art, technology, and pollution increasingly cross national boundaries.
Social scientists must try to understand how this process of globalizing
governance and international cooperation is evolving if the United
States is to be in a position to act intelligently in a fast-shrinking
world.

*Kim Scheppele, SES-9411889, "Creating Constitutional Consciousness in
Post-Communist Society."*

This project examined the operation of the Hungarian Constitutional
Court during its first five years. In particular, this study examined
the relationship between the court and its petitioners to determine how
much democratic legitimacy the court generated in this period. The
researcher found that with virtually no barriers to access the
Constitutional Court, people turned to this court after they became
frustrated with politics and as a way to provide a democratic check on
what politicians were doing. This finding, along with other conclusions
from this research, suggests that we must rethink the role that courts
play in a democratic society. Theories of court policymaking, which
indicate that judges are countermajoritarian, are limited in their
application and may vary across countries with access to institutions
and the behavior of political elites.

*Larry Heuer, SES-9710946, "RUI: Three Challenges to Procedural Justice
Theory: Studying the View of the Boss, the Beat, and the Bench."*

The principal investigator conducted surveys of police officers and
civilians, surveys of judges and litigants, and conducted several
experiments to test three challenges to current justice theories. In
contrast to the theory that fair procedures lead to satisfaction with
treatment, this study found that assessments of fair treatment is
conditioned by an individual\'s belief that they deserve respectful
treatment, is mediated by motivations of trust and neutrality, and vary
between decision makers and decision recipients. This study, in sum,
suggests that construction of procedures that will lead to fair
treatment must be sensitive to these considerations.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

The Law and Social Science program supports the development of an
infrastructure for social scientific studies of the law and legal
institutions. In particular, program funds were used to support the
creation of a database containing biographical information on federal
appellate judges from the inception of those courts. Databases, such as
this one, have been widely used in studies of judicial decision-making.
This database will add to those currently underway, including a State
Supreme Court case database, historic Supreme Court briefs and oral
argument data, and a compilation of all documents circulated among
Supreme Court justices as they craft their opinions. In addition to the
creation of publicly available databases, the Law and Social Science
program continued its support of the National Consortium on Violence
Research. Part of the operation of NCOVR is a web-based data center from
which researchers can access data.

**Harold J. Spaeth, SES-9614000, "Collaborative Research to Extend the
Expanded Version of the U.S. Supreme Court Judicial Data Base: The
Burger Court Years."**

This project added conference vote data to the final vote data
previously compiled for the period of the Burger Court (1969-1985 terms
of the U.S. Supreme Court). These data were added from the docket books
of Justices Brennan, Douglas, Marshall, and Powell. These are located in
the Library of Congress, with the exception of Lewis Powell's, which are
in the library of the Washington and Lee Law School in Lexington, VA.
These data are publicly available at the website of the Michigan State
University Program for Law and Judicial Politics. The website has
received 150-200 hits per week for the past two years, although not all
pertain to the Burger Court conference vote data. These data will be
widely used by students of Supreme Court decision-making.

Alec Stone, SES-9710963, "Constructing a Supranational Constitution: The
Reception and Enforcement of European Community Law by National Courts."

The purpose of this project was to compile comprehensive data on the
operation of the European legal system. The European Court of Justice
and the legal system of the European Union is, after the American, the
most intensively studied system in the world. Yet, research on European
law has been constrained by the absence of systematic data. The
researcher collected data on all preliminary references sent by national
judges to the European Court since the first referral in 1961 through
mid-1998, a total of 3,714 cases. For each referral, the following
information was coded: date of filing; national court of referral;
domain of EC law; case number assigned by the European Court; the
official European Court Report citation. None of these data had been
collected previously. The codebook and data have been mounted on three
web sites for public access.

##### **METHODS, CROSS-DIRECTORATE, AND SCIENCE AND SOCIETY CLUSTER**

###### 

###### Methodology, Measurement and Statistics Program

**People: Development of a diverse, internationally competitive and
globally engaged workforce of scientists, engineers, and well prepared
citizens.**

The MMS Program supports the development of a competitive workforce by
furthering the methodological skills of students and researchers in the
social, behavioral, economic, and statistical sciences.

Students are supported by the MMS Program via the traditional mechanisms
of REU supplements and graduate student support on regular research
awards.

Through its Mid-Career Methodological Opportunities, the MMS Program
provides an opportunity for researchers interested in the development of
methods for the social and behavioral sciences to spend a year
retraining and interacting with researchers from other relevant
disciplines. It is expected that these researchers will not only improve
their own individual skill sets but also pass this knowledge down to
their students, thus facilitating the "next generation" of
methodologists for the social, behavioral, and economic sciences. In
FY2001, a fellowship was awarded to Edward Frees (SES-0095343), a
statistician at the University of Wisconsin, Madison, to work with
researchers at the Center for Demography of Health and Aging at the
University of Wisconsin with the goal of developing methods for improved
Social Security forecasts. Past awardees include Susan Murphy
(SES-9811983), a statistician at University of Michigan, who worked with
colleagues at University of Michigan's Population Studies Center on some
of the central problems associated with hazard analysis issues. The
Program also supported Brian Junker, a statistician at Carnegie Mellon
University, who worked with colleagues at the University of
Pittsburgh\'s Learning Research and Development Center (LRDC) on
questions related to educational policy evaluation and school
accountability systems. Political scientist Janet Box-Steffensmeier
(SES-0083418) was supported to work with researchers at Ohio State's
Biostatistics Center on evaluating alternative strategies for modeling
repeated events, with applications to political dynamics.

The MMS Program also supports the ASA's Federal Statistics Fellowship
Program (SES-9808594, SES-9409755, and others). That activity is
designed to bridge the gap between academic scholars and government
social science research by bringing leading academic researchers to the
Census Bureau, the Bureau of Labor Statistics, and the National Center
for Education Statistics to work on topics of mutual interest, including
small area statistics and data confidentiality and disclosure issues.
The activity provides academic researchers access to data and
information that otherwise would be difficult or impossible to obtain.
In return, the participating federal statistical agencies benefit from
the experience and expertise of the visiting scientists.

**Ideas: Enabling discovery across the frontier of science and
engineering connected to learning, innovation, and service to society.**

The MMS Program supports the development of innovative methodological
and statistical research for the social, behavioral, and economic
sciences. In that vein, the Program supported a broad array of research
in FY01, ranging from the development of new statistical methods to
advances in survey research to both theoretical and applied research on
measurement. Most of the work MMS supports is interdisciplinary in the
sense that multiple disciplines will benefit from the resulting
research. In addition, the Program encourages and supports
multidisciplinary collaborations (such as the collaboration of
psychologist Hoben Thomas with statisticians David Hunter and Thomas
Hettmansperger -- SES-0115619).

Because the Program primarily supports methodological/statistical
advances, much of the research supported by the Program will have a
second order effect on society; i.e., the research will bear fruit (from
society's perspective) as it is applied to substantive problems. Some
projects, however, have a much more applied focus and thus will benefit
society directly, such as Reynolds Farley's (SES-0095658) work on
measurement of racial residential segregation. MMS also supports
activities that disseminate statistical research to the broader public.
For example, the MMS supported NAS Committee on National Statistics
(SES-0112521 and others) disseminates the reports of its panel and
workshop activities extensively. In addition, a portion of all Committee
and Panel meetings are open to the public for observation.

SES-9819013. Psychologist Hoben Thomas and statistician Thomas
Hettmansperger were supported by the MMS Program to develop new
statistical methodology based on mixture models and apply this new
methodology to problems in cognitive psychology. An important finding
from this work and one that is contrary to intuition is that when the
investigators reduce the multivariate data on each subject to simple
counts, there is almost no loss of information for estimating the
mixture proportions.

SES-9710662. Sociologists John Robinson, Stanley Presser, and Suzanne
Bianchi were supported by the MMS and Sociology Programs to collect
national time-diary data to test substantive and methodological
hypotheses related to people\'s use of time in modern societies. Their
study confirmed that traditional survey 'estimate' questions provide
misleading figures on the time Americans spend on various activities.
Significantly, the investigators devised a method to reduce these
overestimates using question sequences based on principles of cognitive
psychology.

Tools: Providing broadly accessible, state-of-the-art information-bases
and shared research and education tools.

The MMS Program supports the methodological infrastructure of social,
behavioral, and economic research though its continued support of
activities such as the NAS Committee on National Statistics,
conferences, workshops, and training activities and through its support
of research on the methodological aspects of data collection procedures.
In FY2001, the MMS Program provided support for the establishment of two
new Census Research Data Centers (SES-0004335, PI Altonji; and
SES-0004322, PI Shapiro). The Program also supported a project to
establish a Web-based archive of international trade data (SES-0004290,
PIs Lipsey and Feenstra). In addition, the Program continued support for
the Luxemburg Income Study (SES-0112101, PI Smeeding) and two Digital
Library projects (9817432, PI Smith and 9874747, PI Verba).

SES-9617820. This project, under the direction of Steven Ruggles,
provided support for the electronic dissemination of the Integrated
Public Use Microdata Series (IPUMS). Since the earliest version of the
system went online in 1996, the investigators have distributed more than
three terabytes of IPUMS data to users around the world. They are now
distributing about 100 gigabytes of data per month and have prepared
approximately 30,000 custom extracts of IPUMS data. This project
pioneered new methods of data dissemination and paved the way for two
large SBE-funded infrastructure projects now underway, the
'International Integrated Microdata Access System' and the 'National
Historical Geographic Information System.'

SES-9617813. This project, under the direction of Richard Rockwell, had
two objectives: 1) to convert ICPSR's paper technical documentation to
electronic (PDF) format; and 2) to develop a structured,
information-rich codebook format to carry all the necessary information
that a secondary analyst needs to know about a dataset. Regarding the
first objective, ICPSR converted 75,882 pages of paper documentation for
327 studies to PDF form. Regarding the second objective, Version 1 of
the Data Documentation Initiative (DDI) was published in March 2000. The
DDI specification is a publicly available standard for the integration
of metadata. The DDI has been widely adopted in both North American and
Europe. It is used, for example, by NESSTAR, the European Community's
Networked Social Science Tools and Resources group, and the California
Digital Library's Counting California project.

# Cross-Directorate Activities Program

***[People]{.underline}---***Development of a diverse, internationally
competitive and globally engaged workforce of scientists, engineers and
well-prepared citizens.

The Cross-Directorate Activities Program (CDA) contributes to the
*People* goal by administering a number of programs. First, CDA
supported 24 **Research Experience for Undergraduates (REU) Sites** in
FY2001. That is a 20% increase over FY2000. 40% of the PIs for these
Sites are female and 13% are underrepresented minorities. Almost 50% of
the nearly 200 students participating in these Sites are
underrepresented minorities, and two-thirds are female. Additionally,
four of the Sites took place in EPSCoR states. Three of the Sites took
place at primarily undergraduate institutions, and one of those
institutions is a tribal college. Recognizing the need for
multi-disciplinary research and training, SBE co-funded three REU Site
awards with other directorates. To help prepare a globally engaged
workforce, three awards were co-funded with the International Division,
sending almost thirty students to Cyprus, Honduras, and Hungary.

-   Richard Yerkes (SES-0097230) conducted an REU Site in Hungary in
    Summer 2001 with SBE REU funds supporting 10 students. Students
    lived and worked alongside Hungarian scientists while they excavated
    the Early Copper Age settlement of Veszto-Bikeri. Six females and
    two minorities were recruited for the Site. All 10 students
    completed papers on their projects, several of which will be
    presented at the Society for American Archaeology meetings (the top
    professional meeting for Archaeologists). All 10 students also have
    plans to go on to graduate school in archaeology once they graduate.

-   Eddie Clark (SES-9820338) at St. Louis University runs an REU Site
    with four other Historically Black Colleges and University (HBCUs)
    in the Atlanta area. The Site focuses specifically on recruiting
    African-American students to conduct high-level psychology research
    for the summer. Nearly all of the students go on to doctoral
    programs in psychology. Further, the PI notes that the collaboration
    level and general level of respect for the Atlanta HBCUs has
    increased, leading to new research projects and a new recruitment
    source for St. Louis area universities.

Second, the Social and Behavioral **Minority Postdoctoral Research
Fellowships** program supported 7 fellowships in FY2001, an increase of
2 fellowships over FY2000. As a result of their post-doc experience,
most Fellows have published several lead authored articles and have
obtained a tenure track position at a leading research university.

-   Rachel Morello-Frosch's (SES-9904361) research focuses on the
    contentious political and scientific issues raised by the emergence
    of market-based approaches to pollution regulation, with an emphasis
    on air pollution trading. She addresses questions of how
    environmental justice can be effectively incorporated into
    market-based regulations and whether models of community resistance
    and/or participation in air pollution trading problems in the U.S.
    have repercussions on international debates over market-based
    approaches for reducing global warning. She published the results of
    her research in the April 2000 edition of Risk Analysis, an
    international journal. Results of her research have also been
    disseminated to a broader audience, including media and Latino press
    outlets. In addition, she published two other articles and received
    a tenure track position at San Francisco State University.

Third, SES/BCS participated actively in the **IGERT** program in FY01.
Nearly 30 of the current IGERTs contain elements of the social and/or
behavioral sciences. Eight of FY01's 21 (38%) IGERT awards contained
social or behavioral science components. This represents a marked
increase; in the first two years of the program, SES/BCS sciences
accounted for only about 20% of the IGERT awards.

-   9870661, PI William Wilson -- This IGERT was one of the first
    awarded. The IGERT takes place at Harvard University and focuses on
    inequality and social policy. Interest and participation in the
    program have greatly increased and the quality of scholars (both
    senior level and graduate students) participating is unmatched. As
    one IGERT student said, "participation (in the IGERT program) has
    broadened my research interests and has made my work much richer. I
    am much more drawn to social policy questions that lie at the
    intersection of economics and sociology...I believe that my work is
    much more applicable to the "real world" than previously."

Fourth, in recognition of the unique situation of researchers at
predominantly undergraduate institutions, CDA established a special
**Research Opportunity Award (ROA**) competition for FY01. CDA funded
three ROAs in FY01, allowing RUI researchers to collaborate with other
researchers with current NSF grants. According to NSF databases, no ROAs
were funded in SES/BCS in FY00.

***[Ideas]{.underline}\-\--***Enabling discovery across the frontier of
science and engineering, connected to learning, innovation, and service
to society.

**REU Sites** might be seen as solely a "People"-related program;
however, a key aspect of the REU program is having undergraduates
participate in meaningful research. Thus, a majority of REU students
produce papers that are published in refereed journals and posters that
are given at premier conferences. Their research is furthering discovery
and advancement across the frontier of science.

Next, the **CAREER** program also crosses the bridge between People and
Ideas. SBE participation in CAREER has increased dramatically in the
last few years. In FY98 the SES/BCS CAREER success was just 6%; in FY01
the success rate was almost 20%, with 19 awards. 37% of those PIs are
female, and one of them has a disability.

A number of **POWRE** proposals concluded in FY2001 and resulted in
significant contributions to both the *People* and *Ideas* strategic
goals.

-   Helen Nissenbaum (SES-9806234) received a grant to study how ethical
    dimensions of science and engineering are brought to bear on our
    evaluation of information technology. Several findings in the areas
    of computers in education, computers affecting scientific research
    norms, and anonymity have resulted such as: There are many social
    and ethical problems that arise as a result of computerized
    education including dehumanizing of education; (2) Search engines
    are biased in favor of large, institutionally grounded websites and
    this is problematic in light of the ideals behind social support of
    the Internet and Web; and (3) Security mechanisms may not engender
    trust as many of their proponents claim they will. The award was a
    key to enabling Dr. Nissenbaum to make a transition from an
    administrative position back into mainstream academia. The support
    resulted in a book and several other publications, invitations to
    numerous conference presentations, service on several National
    committees, and three academic job offers.

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-   Mary Olson (SES-9972669) examined whether increases in the speed of
    new drug review have altered the safety of newly approved
    pharmaceuticals. She looked at the interaction between the new user
    fees for drug review and the reduction of drug review times. She
    found that reductions in FDA review times have led to increases in
    both ADR (Adverse Drug Reaction) hospitalizations and ADR deaths.
    These results are the first to provide evidence that there is a
    trade-off among the speed of new drug review and new drug safety.
    Her work is forthcoming in the *Journal of Law and Economics*. The
    POWRE grant has had an important impact on her career, including her
    promotion to Associate Professor and receipt of other grants to
    pursue this line of research.

The POWRE Program has been replaced by the **ADVANCE** Program beginning
in FY01. Since two components of ADVANCE (institutional transformation
awards and leadership awards) are Foundation-wide, GPRA results are the
responsibility of ADVANCE Program Director Alice Hogan. The third
component of ADVANCE, the Fellows competition, is currently taking
place. There are 17 proposals under consideration in the social and
behavioral sciences.

Next, the SBIR/STTR program stimulates technological innovation in the
private sector, by strengthening the role of small business concerns in
meeting Federal research and development needs, increasing the
commercial application of federally supported research results, and
fostering and encouraging participation by socially and economically
disadvantaged persons and women-owned small businesses. SBE averages
about 10-15 phase I proposals a year with 2-3 awards, mostly within the
Information-Based Technologies solicitation topic, and covering such
topics as Health Care management, environmental decision-making,
financial risk management, and human/computer interface. Many of the
proposals involve developing software tools.

-   A recent successful Phase I award is The Scientific Fishery System,
    Inc. (SciFish), Anchorage, AK, (PI Pat Simpson, 9530617) which
    designed and built a Geographic Information System (GIS) that
    integrates all of the available environmental, fisheries, and
    nautical data within a given fishing region to reduce bycatch and
    increase fishery efficiency.

-   Idea Works Inc., Columbia, MO, (PI Brent Myer, 0060377) has
    developed a computer software program for Intelligent Qualitative
    Data Analysis that is designed to improve the quality, timeliness,
    and cost effectiveness of qualitative research, which will be useful
    across the social sciences, and applied fields as diverse as
    nursing, business, information science, and law.

Sixth, SBE has greatly increased our involvement in the **EPSCoR**
program. In FY01, SBE had twice as many (32 v. 16) awards co-funded by
the EPSCoR office. We funded outright (without EPSCoR office co-funding)
almost 40 awards. EPSCoR proposals to SBE have the same (and in some
cases, higher) success/funding rate as non-EPSCoR proposals -- around
30%.

Seventh, CDA participates in the review of **Information Technology
Workforce (ITWF)** proposals; CDA also supplies a modest amount of
co-funding to this interdisciplinary program. CISE runs this program
with assistance from SBE and EHR; the program sponsors research
investigating the causes and consequences of women and minorities not
going in to Information Technology careers. Over 30 awards have been
granted in the first two years of competition; most awards have
social/behavioral scientists as PIs, Co-PIs, or collaborators.

***[Tools]{.underline}\-\--***Providing broadly accessible,
state-of-the-art information-bases and shared research and education
tools.

The **MRI** competition provides support for large instruments and
instrument systems. The impact is felt not only at a senior but also on
graduate student level and awards facilitate both graduate and
undergraduate education. In FY2001 NSF make a special effort to assist
small schools both to foster scientific investigation and to integrate
research and undergraduate education. In FY2000 5 MRI awards were funded
in SES/BCS. In FY2001 21 applications were submitted to SES/BCS and 8
awards were made. This represents an increase of 60%. Small institutions
had a success rate of 44% compared to 30% for Ph.D.-granting
institutions.

-   9601491 James L. McClelland, Carnegie Mellon University. Research
    Computing Facility for the CMU/Pitt Center for the Neural Basis of
    Cognition. This award provided computing equipment used by a large
    group of cognitive scientists. Funds were used to purchase
    multi-user computing equipment and desktop workstations for faculty
    and graduate students at the center. Research conducted spans the
    areas of computational modeling of cognition, functional brain
    imaging, investigations of neuronal activity in behaving animals,
    behavioral analysis of cognitive and related behavioral functions
    and computational modeling of neural circuit functions. The research
    is important because it provides basic insight into how individuals
    perceive the world around them and how they integrate and process
    this information. It thus helps to elucidate the workings of the
    human mind. This award has had broad impact. In his final report Dr.
    McClelland notes that the instrumentation has facilitated the
    research of 13 faculty members, 6 postdoctoral researchers and 23
    graduate students. Scientists from four other institutions have
    utilized the instrumentation, over 40 publications have resulted and
    software developed as part of the project has been widely
    distributed and used.

###### Science and Technology Studies Program

The NSF Science & Technology Studies Program funds research and training
in history, philosophy, and social studies of science and technology
and, especially seeks to promote scholarship that integrates and makes
productive use of concepts and methods derived from all of these fields.
The STS Program emphasizes "research and related activity that
contribute to systematic understanding of the character and development
of science and technology, including their cultural, intellectual,
material and social dimensions, \... research on the nature and
development of science and technology, both in the past and present, and
on differences in the nature of theory and evidence in various fields of
science and engineering, \... \[and\] research on the interactions among
science, technology and society, including such topics as the
construction of scientific and technological knowledge and institutions;
the relations between science and other social institutions and groups;
and processes of scientific and technological innovation and change."
From two review cycles in FY 2001, the STS program made 64 awards
totaling \$3,827,735 from 186 submissions; it also supported 10 SGERs.
The Program had a total of 110 active awards during FY 2001. Through
those awards, the STS Program supports the three primary goals
identified by the Foundation in its strategic plan.

## People

The STS Program\'s efforts in FY 2001 to develop the people who are the
core of the science and technology studies community has included
support for two new **Small Grants for Training and Research, both
co-funded with SDEST**. One focuses on the development of the STS and
ethical issues related to food standards (Busch: 00-94632; the other is
concentrating on gender issues in science and technology (Schiebinger:
01-14706). The latter, inaugurated at Penn State, has the potential to
move scholarly understandings of gender analysis to the heart of work
historical studies of science and technology, while encouraging broader
participation within science and technology studies by women.

Another response to concerns about people takes the form of
**substantial support for beginning scholars**. This includes
dissertations projects (16 awards in FY 2001), and postdoctoral
fellowships (3 total). The program made one EPSCOR award (Josephson:
01-13665), and another under the RUI program (Fleming: 01-14998).
Finally, the STS Program renewed for five years its support for travel
grants to the leading scholarly societies in the science and technology
studies domain (Society for the History of Technology, History of
Science Society, Society for Social Studies of Science, and Philosophy
of Science Association). This award allows graduate students and
beginning scholars to attend the annual meetings of these societies and
establish professional connections from the very outset of their
careers. Two smaller awards supported travel to specific conferences.

**Accomplishments:**

The initial award for **STS travel grants** (95-22049) provided funds
for 633 graduate students, independent scholars, and junior scholars to
attend meetings over a period of five years. Of the total, 500 were
graduate students , and 42% of recipients were women. This funding
insures that beginning scholars and graduate students are substantially
involved in their professional societies and annual meetings. The funds
were administered by each of the main professional societies in the STS
area, with selection committees to screen applications.

Another highlight of STS's \"people support\" can be found in the
results **of dissertation awards**. The accomplishments section under
Ideas provides details of three projects that grew from STS dissertation
awards.

## Ideas 

In FY 2001, the STS Program made **35 scholar\'s awards**, our primary
mode of research support. The topics alone demonstrate the Program\'s
scope, which reaches across history, philosophy, and various social
science disciplines , as well as across time. Awards were made for
historical investigations of the myth of the mad scientist (Clark:
00-04200), of astronomy and cosmology in the Carolingian Renaissance
(Eastwood: 00-04224), of child labor in the British industrial
revolution (Biggs: 01-17867), of educational and public broadcasting
(Slotten: 00-04223), of the effect of deregulation on the research
agendas of electric utilities (Hirsh: 01-12430), and of mountain
climbing and technology (Taylor: 01-17993). Philosophical investigations
were launched on the biological concept of the norm of reaction and
phenotypic plasticity (Sarkar: 00-90036, co-funded by Population
Biology), on classical electrodynamics (Frisch: 01-93212), on
counterfactuals in quantum theory (Kastner: 01-15185), and on causation
and the rule of law (Smith: 01-014492). Social science projects included
studies of the Cold War and the rise of GIS (Reppy: 01-14672, co-funded
by GRS), DNA profiling and fingerprinting (Lynch: 01-15305), Kuru in New
Guinea as a case study of exchange relations in science (Anderson:
01-14731), the concept of democracy and the development of the
discipline of political science (Gunnel: 01-04197, co-funded by
Political Science); and a public administration examination of NASA
during Daniel Goldin\'s years (Lambright: 01-14689).

Beyond individual proposals, the STS Program is supporting **two areas
of research that offer important potential to blend STS research and
topics of broader public concern**. The first field is **biological
science and biotechnology**. This research potentially has significance
that reaches well beyond the STS community, given increasing attention
to genetic and biomedical research and public doubts about
genetically-modified organisms. Even the strongest enthusiasts of
bio-science and genetic techniques have come to accept that these
science and technologies must be understood as socio-technical systems.
Much work by STS researchers makes this point more apparent. Among the
important projects launched this year are an ethnographic investigation
of a tissue engineering laboratory (Hogle, 00-96575; co-funded by
SDEST), and the previously mentioned projects on Kuru in New Guinea
(01-14731), DNA fingerprinting (01-15305), and the SGTR on food
standards (00-94632). These join continuing projects such as Creager\'s
CAREER award on "Life Science in the Atomic Age: The Radioactive
Revolution of Biomedical Research\" (98-75012); " a philosophical
investigation of the mechanisms adopted by molecular biology researchers
(Darden: 98-17942); and a project on \"Genes, Development, Behavior, and
Learning: Conceptual and Methodological Issues\" (Schaffner: 96-18229).
Schaffner is completing an investigation of the legal and ethical
dimensions of genetic research, and presented an AAAS Congressional
briefing on June 13, 2001 on "Genetic Testing and the Genes-Environment
Debate." His abstract and slides are found at
<http://www.aaas.org/spp/cstc/genetic/seminar2.htm>.

The second area where STS is developing a research concentration is
**engineering education,** which is undergoing changes as a result of
new accreditation standards. The program has long supported research on
the history of engineering education, and one new historical
investigation of this type will examine minority engineering education
(Slaton: 01-15208, co-funded by Engineering Education and Centers),
while on-going projects continue on "The American Woman Engineer:
Breaking the Mold" (Cowan: 99-10970), and \"CAREER: Global Engineers: An
Ethnography of Globalization in the Education, Hiring Practices, and
Problem-Solving of Engineers in the US, Europe, and Latin America"
(Lucena: 98-75089). A newer dimension to the STS Program\'s interest in
engineering education is an attempt to interact more directly with
engineering educators. Thus the STS program has agreed to fund a
workshop exploring the integration of the history of technology and STS
with engineering in light of the new accreditation guidelines (Brown:
01-19531). This project follows an SGTR at RPI supporting STS studies of
engineering design and design education for undergraduates (Woodhouse:
98-18207). Such work carries science and technology studies research
beyond the academy and engages the larger community of engineers.

**Accomplishments:**

An indication of the accomplishments of the STS program in the realm of
ideas can be found in the **steady stream of books** emerge from
supported investigators. Most appear several years AFTER the end of the
grant and thus are not reflected in the final reports. But for STS
scholars, books are the most concrete evidence of the value of the
Program\'s support. Among the titles received in FY 2001 were Philip
Pauly, *Biologists and the Promise of American Life* (94-21880); Andrew
Gibson and Arthur Donovan, *The Abandoned Ocean: A History of the United
States Maritime Policy* (95-30602); David Strauss, *Percival Lowell: The
Culture and Science of a Boston Brahmin* (97-10226); Richard Healey and
Geoffrey Hellman, Minnesota Studies in the Philosophy of Science, Volume
XVII, *Quantum Measurement: Beyond Paradox* (94-212967); and Pamela
Long, *Openness, Secrecy, Authorship: Technical Arts and the Culture of
Knowledge from Antiquity to the Renaissance* (97-29871).

But an even better measurement of the Program\'s support are those
projects that receive scholarly prizes. David Mindell\'s article
**\"Opening Black\'s Box: Rethinking Feedback\'s Myth of Origin,\"**
*Technology and Culture* 41 (July 2000), won the Society for the History
of Technology\'s 2001 IEEE Life Member\'s Prize for the best article on
the history of electrical engineering. The essay, which grew from a
project supported in 1998 (98-01212) examined the intellectual and
institutional origins of feedback control in the years before and during
World War II. Feedback was a crucial developments in electrical
engineering and computing, and Mindell\'s offered a fine contextual
treatment of this very important episode in the history of this
technology.

Two STS dissertation awards also culminated in prize-winning
publications. Jay Taylor\'s dissertation on salmon fishing (95-20794)
was published as a book**, *Making Salmon: An Environmental History Of
The Northwest Fisheries Crisis*.** In fall 2000, it received the
American Society for Environmental Historians George Perkins Marsh Prize
for the best book on environmental history published in 1999. It is an
outstanding account of the history of salmon in the Pacific Northwest,
with special attention to the way that social, cultural, ecological, and
economic issues have guided efforts to exploit this resource. Taylor
gives special attention to recent attempts to manage salmon fisheries,
and in the process highlights how issues that often seem strictly
scientific can only be understood in terms of social interactions with
nature and science. He demonstrates how the preferred technical and
political solutions have actually exacerbated the problems. As
importantly, Taylor\'s work marks an important emerging area for
historical studies of science and technology, by reaching into the
domain of environmental studies.

Gabrielle Hecht\'s dissertation award (91-12462) also grew into an
important book**, *The Radiance of France: Nuclear Power and National
Identity* *after World War II.*** This case a study of the development
of nuclear power in France has been awarded two coveted prizes: the
Herbert Baxter Adams Prize of the American Historical Association for
the distinguished book in European history, and the 2001 Edelstein Prize
of the Society for the History of Technology (SHOT) for the best book in
the history of technology published in the previous three years. Hecht
examines not only nuclear technology and the engineers behind it, but
also brings the politics and culture of France into her narrative. The
result is an intriguing discussion of the manner in which culture \--
especially such elements as national identity and pride\-- politics, and
technology combined to shape the nuclear options adopted in France. As
the SHOT citation noted, she used \"her investigation of technological
changes his masterful integration of technological as a lens to
comprehend social and cultural changes.\"

**Tools**

The STS program plays a central role in supporting the infrastructure
development for the science and technology studies community. Most
often, such projects involve the editing and annotation of publications
or letters from fundamentally important figures in the history of
science and technology. Steps in this direction during FY 2001 include
renewal of support for a third year devoted to the **editing and
publication of the mathematical papers of Thomas Hobbes** (Jesseph:
01-14312). A second effort was the award of a larger-than-normal
supplement to permit web-based access to **an important medieval
manuscript related to the Copernican controversy** (Kremer: 01-22895).
The original manuscript, prepared by the Polish astronomer
Regiomontanus, is in St. Petersburg. The supplement allowed the PI to
prepare digital images, which will to be maintained on a Dartmouth
University Library server for wide access. A final effort related to the
development of tools by STS in FY 2001 was the sponsorship of a workshop
designed to explore the possibility of preparing **a digital variorum
edition of the Newton\'s *Optiks*** (Kargon: 0114452)*.* The STS Program
is working with the Digital Libraries program in CISE to find
best-practices in the development of electronic archives and other
similar tools, and this workshop may lead to connections with Pixar
University and other commercial enterprises interested in animations and
to European web archives, such as the HyperNietzche project.

**Accomplishments:**

Evidence of the value of STS Program support in the development of tools
shows in several products now available. **The Thomas Edison Paper
Project**, which the STS Program supported in the 1980s and early 1990s
(91-12303 was the last award), has pursued the development of extensive
materials accessible through the WWW. This was a direction long
encouraged by the STS Program \-- and the Edison site now has more than
a million pages on-line (http://edison.rutgers.edu/). The STS Program
also continues to support, with assistance from elsewhere within the
Foundation, the editing, annotating, and publishing of the *Collected
Papers of Albert Einstein*, of which Volume 8 is due out in January
2002. The other large-scale, long-running infrastructure project
supported by STS is the publication of the **letters of Charles
Darwin**. This latest grant is completed in 2001, as the project
released Volume 12 of the letters, covering 1864. The STS Program is
actively encouraging these projects to develop means of making their
material available through the WWW.

Two important STS-supported tools projects are already available on the
WWW, however. The first catalogs in a digital archives of documents,
reports, and illustrations the development of sanitary technologies for
New York during the 19^th^ century (Rosner: 98-71399). With NSF
assistance, the Center for the History & Ethics of Public Health in the
Department of Sociomedical Sciences in the Mailman School of Public
Health at Columbia University has assembled **The Living City**
(<http://156.145.78.54/htm/home.htm>), which includes among other things
an annotated timeline for New York from the 1860s through the 1920s.
This project could become an essential reference tool for historians and
students interested in sanitation, technology, urban history, and New
York City history. The other accomplishment is the **Perseus Digital
Library** at Tufts University, where PI Greg Crane has developed one of
the first and still one of the best digital libraries, in this case
devoted to ancient Greece (<http://www.perseus.tufts.edu/>). The STS
program co-funding of this project with the Digital Libraries Program
ended in FY 2001 (Crane: 98-17484), but was responsible for encouraging
the developers to include information on the history and philosophy of
science and technology in ancient Greece. The Perseus project is widely
regarded as a model for digital archives.

A final tool that was completed in FY 2001 culminated a decade of work
by scholars at the Center for the History of Physics at the American
Institute of Physics. This was the AIP **Study of Multi-Institutional
Collaborations** (Warnouw-Blewett/Weart: 93-11121). This project had two
parallel goals. The first was to investigate how large physics research
projects are being documented, with the specific intention of
recommending archival and management practices that insure historical
documentation will be available for later researchers attempting to
understand and assess science in our time. The team examined projects in
three categories: high-energy physics; space science and geophysics; and
ground-based astronomy, materials science, heavy-ion and nuclear
physics, medical physics, and computer-mediated collaborations. The
recommendations are important because multi-institution projects are
more prone than others to leaving behind few records, since each partner
in the project may assume others are taking care of this task. The
project also offered a sociological and historical assessment of the
significance of these large science projects, which are increasingly
common across all sciences. This document has important policy
implications for many scientific communities, for NSF, and for the
universities that house many big-science projects. It also shows the
potential role STS scholars can play in reaching out to other groups
within the scientific world.

# Societal Dimensions of Engineering, Science and Technology Program

**General Information:** In fiscal year 2001 the SDEST panel considered
104 proposals, of which 73 came into the program and 31 were from other
programs. Several were considered as part of special competitions: the
SBE Infrastructure competition, and the Information Technology Research
competition. Nine were dissertation proposals and three were CAREER
proposals. Four of the dissertations and one CAREER application received
support. Of the 73 SD proposals that the panel considered, about 18
received awards, for a success ratio of 23%. SDEST also helped to
support a number of the research proposals submitted to other programs.
In addition, the program made a few awards for proposals not taken to
panel, and small awards for ethics activities in over 30 Research
Experiences for Undergraduates (REU) sites projects in the NSF research
directorates. In fiscal year 2000 the SDEST panel considered 123
proposals, of which 106 came into the program and 17 were from other
programs. Eight were dissertation proposals. Of the 106 SD proposals
that the panel considered, about 30 received awards, for a success ratio
close to 25%. Both the length of SDEST awards and the grant amounts have
increased over the last several years.

SDEST gives supplemental funding to REU site awards across the
Foundation that have activities addressing ethical or value issues
relevant to their site. In FY 2001, SDEST made supplemental awards to 31
REU sites across eight major disciplinary areas within NSF. Ethics
activities at these sites include special seminars and symposia,
courses, lectures, discussions, group work, and student reports. Ethical
topics vary as widely as the activity modes that support them. Many of
these projects will continue in future fiscal years. Although the major
output of these components is to provide students at the site with tools
to understand and analyze complex ethical and value issues in a
systematic way, tangible outputs such as reports, case studies, and
teaching modules have resulted that have received wider dissemination
and use. For example at the REU site in Chemistry at the University of
Alabama, faculty advisor John Vincent established an ethics seminar
format with speakers from various disciplines on the UA campus. Students
conducted in-depth interviews with speakers and wrote a summary paper.
Topics included environmental ethics, industrial pollution,
biotechnological issues, and medical issues. A teaching module is being
developed which will be used to incorporate aspects of ethics into the
curriculum of science students.

**People:** The SDEST program supports ethics education projects and
activities for scientists and engineers science and engineering
students, and high school faculty, in order to prepare them to address
national and international issues in their professional lives. Over the
last ten years, more than several hundreds have participated in faculty
and student enhancement workshops. Additional hundreds of REU Sites
students have been exposed to science and engineering ethics through
supplements for ethics in that program.

Under the direction of Brian Schrag, the Association for Practical and
Professional Ethics is completing a project (9817880) of instruction in
ethical issues in scientific research, training in teaching research
ethics, and an opportunity for research collaboration for a selected
group of graduate students and post-doctoral fellows in engineering and
the natural and physical sciences. The project will nurture a community
of nearly 100 new researchers with promise of leadership and training in
research ethics and create research and educational resources for their
use and that of many others.

SDEST and INT have also helped to support two US/EC Bioethics Institutes
in summers 1999 and 2000, through grant 9906244, to Gary Comstock at
Iowa State University. These workshops built on the successful summer
faculty enhancement workshops for US life scientists that SDEST had
previously supported. Comstock collaborated with colleagues in Lisbon
University (Portugal) in conducting bioethics workshops in June 1999 and
2000, for faculty throughout Europe and the United States. They have
focused on agricultural issues such as fish farming, genetically
engineered crops, ecology and climate, and have applied the tools of
ethical theory to analysis of agriculture practices and policies. As a
result, individual faculty in internationally diverse groups have
broadened their understanding of widely varying views on these issues
and prepared materials enabling them to disseminate these insights to
students, scholars and the public internationally. On-going
international work groups of these faculty use the project\'s secure web
site to collaborate in the development of case studies and other
curriculum materials. When completed, these materials are transferred to
the project\'s open web site where they are available worldwide. This
program of workshops and ensuing collaboration will soon have nearly 100
faculty from both sides of the Atlantic who are working to educate the
rest of the world about \"agri-ethics.\" The workshop is in its third
year. It is expected to continue to focus on moral issues of global
significance in future years and to emphasize issues relevant to the
marine environment.

Another research community that SDEST helps to develop is the community
of scholars and scientists who do research assessment. These people
develop and evaluate methods and findings that persons like NSF program
officers use to prepare GPRA reports like this one. In May 2001, Susan
Cozzens, GIT, 0090303, directed a workshop to review the current state
of the art in research assessment, including its user context, and to
map out an agenda for the research base and methods development of the
field. A select group of 30 U.S. evaluation practitioners, U.S.
evaluation users, international evaluation practitioners, and students
attended. The conference proceedings and papers are posted on
[www.reseval.net;]() the SDEST program expects to receive research
proposals as a result, and to continue to encourage the development of
this international community of researchers.

SDEST has averaged approximately 4-5 dissertations per fiscal year. Many
dissertation projects address the role that non-scientific and
technological values have on the science and technology policy process
and outcomes. For example, one dissertation project completed in March
2000 by student Mark Brown at Rutgers U/ New Brunswick (9810316),
examined the hypothesis that technological development may be influenced
by the conceptions of citizenship embedded within environmental policy
designs. Focusing on the controversial 1996 decision by the California
Air Resources Board (CARB) to restructure and postpone parts of its
electric vehicle program, the research showed that in the early years of
the program CARB incorporated a participatory conception of citizenship
in its policy process, but that it later conveyed a conception of the
public as passive consumers. Due to this consumerist image of the
public, the CARB worked against the establishment of alternative
electric vehicle technologies.

**Ideas:** Outside of the area of biomedical ethics, SDEST provides the
only Federal source of support for research on ethical issues in science
and engineering. SDEST also provides the only Federal source of support
for research on social and strategic choices influencing the development
and effects of innovation.

SDEST support was critical in the development of the field of
engineering ethics; one sign of its health is the recent spate of
announcements of endowed chairs in engineering ethics at such
universities as Cornell and UVA. Other areas in which the program plays
a critical role are computer ethics, ethics and biotechnology,
environmental ethics, and research ethics.

In recent years, several grants through SDEST have initiated the new
field of marine environmental ethics. This field combines aspects of
environmental ethics, food and agricultural ethics, and ethics and the
life sciences. One grant 9729435, to Dorinda Dallmeyer at U Georgia,
resulted in findings about the relationships between scientific and
local knowledge, about equity as well as "existence" values in marine
protected areas, and about scientific and public involvement and
collaboration in reserve designation and management. The investigators
offered a new course to graduate and undergraduate students at the
university, and presented a session on teaching marine environmental
ethics at the annual meeting of the National Marine Educators
Association in August 1999.

In research on ethics and biotechnology, several projects that are well
underway or recently completed have made important contributions. SDEST
continues to support surveys of public attitudes about biotechnology
that have been useful in the preparation of *Science Indicators*. Latest
results indicate that US residents continue to harbor fewer concerns
that those in other industrialized nations, but concern is rising. The
results come from a survey in spring 2000 by Susanna Priest, under grant
9602968, to Tarla Peterson at TAMU. In "Learning from the Law to Address
Uncertainty in the Precautionary Principle," *Science and Engineering
Ethics* (2001) 7, 313-326, Carl Cranor, UC Riverside, 9910952,
explicates and refines two new formulations of the precautionary
principle by using legal concepts and models. In a chapter titled
"Incommensurability and 'Multicultural Science'" in *Incommensurability
and Related Matters*, P. Hoyningen-Huene and H. Sankey (eds), Kluwer,
2001, Hugh Lacey, Haverford College, 9905945, clarifies how both
materialistic and agro-ecological strategies for scientific research can
satisfy theoretical objectives for science, but choosing one rather than
the other may limit the understanding that will be gained about the
world, and, indeed, affect the shape it takes.

In his CAREER award, Jeffrey Stanton (9984111) investigated how managers
and employees view information privacy. This project, which involved
students, and developed new courses and course components, also produced
a cross-culturally tested resource guide for organizations:
[http://personal.bgsu.edu/\~stanton/pdt/index.html]{.underline} His
findings refute the commonly held view that management/employee conflict
in this area is difficult to resolve. Managers and employees believe
organizations should communicate their policies explicitly, and in
response to explicit guidance, employees develop appropriate norms in
using information technology. Both managers and employees consider it
unacceptable to gather certain kinds of information (e.g., video
monitoring) without explicit justification, and believe that monitoring
when unneeded may increase mistrust. He found that managers perceive
employees to be more knowledgeable about acceptable and unacceptable
data collection and monitoring procedures than they actually are.
Employees like monitoring that shows their productivity or provides a
sense of security, and dislike its use for punitive purposes. However,
they give organizations the benefit of the doubt in accepting the need
for unpleasant procedures for the good of the organization; yet managers
don't seem to be aware of this willingness.

**Tools**: SDEST is supporting several major state-of-the-art
information bases and shared research and education tools.

Under People, above, is the URL for the community of research evaluation
investigators; it is [www.reseval.net](http://www.reseval.net/),
developed under Susan Cozzens, GIT, 0090303. A major resource for
education in research ethics is
[www.fis.ncsu.edu/Grad/ethics/modules/](http://www.fis.ncsu.edu/Grad/ethics/modules/),
developed under Rebecca Rufty, NCSU, 9818359. The major resource for
science and engineering ethics can be found at
[www.onlineethics.org](http://www.onlineethics.org/), developed with
SDEST support by Caroline Whitbeck at CWRU, 9976500. Several other
important urls are listed at the bottom of the SDEST home page,
[www.nsf.gov/sbe/ses/sdest](http://www.nsf.gov/sbe/ses/sdest).

**Appendix D**

####### OFFICE OF INTERNATIONAL SCIENCE AND ENGINEERING

**A. Overview**

MISSION AND FUNCTIONS OF THE OFFICE

SBE's Office of International Science and Engineering (INT) facilitates
the advancement of NSF's goals through international activities that
promote partnerships between U.S. and foreign researchers, enhance
access to critical research conducted outside of the United States, and
broaden the base of knowledge about mutually beneficial science and
technology opportunities abroad. INT programs provide the expertise and
networks to stimulate cooperation with scientists in virtually all
countries of the world and all fields supported by the Foundation. INT
supports U.S. participation in international workshops and symposia, the
exploratory phases of collaborative research, U.S. participation in
selected multinational scientific bodies, and individual research
training. INT supports the development of human resources for science
and engineering by providing valuable international experiences to U.S.
students and researchers in the early stages of their careers.

In fulfilling its mission, INT performs three principal functions:

· Coordinates, on behalf of the Foundation, the formulation and
implementation of an international strategy for attaining overall
Foundation goals;

· Provides venture capital for stimulating and initiating international
cooperation and for increasing the international experience of U.S.
scientists and engineers (S&Es) early in their careers;

· Acts as NSF\'s primary source of international information and
expertise.

**Relationship of Resources to Outcomes**

Resource priorities in INT relate directly to its two primary
objectives‑‑‑the establishment of new international partnerships, and
increased participation of U.S. scientists in international research
activities while early in their careers. In FY2001, **38**% of
INT‑funded awards involved new, first‑time Principal Investigators.

INT manages award programs in partnership with the research divisions of
NSF. These INT programs represent a fraction of the total amount that
NSF expends annually on international activities. However, the programs
have greater impact than their magnitude would suggest. Their added
value lies in the catalytic nature of the support they provide ‑ for
initiating new collaborations and for gaining international experience
early in one\'s career. In FY2001, **647** **proposals** were processed
and **364 new** **awards** were made. In addition, INT provided
**supplementary funding to 278 awards** made by other NSF divisions.
These efforts required about half of INT\'s staff resources.

INT\'s programs contribute to NSF\'s mission by:

· promoting new partnerships between U.S. scientists and engineers and
their colleagues in other countries, in all fields of science and
engineering research and education supported by NSF, and

· encouraging the participation of students, recent Ph.D.s, and junior
faculty in international research activities.

INT places a high priority on promoting collaborative opportunities in
areas of the world that have been relatively neglected or difficult to
access by U.S. scientists and engineers. Support for the exploratory
phases of research collaboration is emphasized. Projects that promote
access to unique scientific resources, foreign centers of research
excellence, or state‑of‑the‑art facilities are encouraged. INT support
is meant to catalyze mutually beneficial research relationships to
develop projects that will subsequently compete for support in the
disciplinary divisions of NSF. INT typically supports travel and
incremental international living costs of the U.S. participants in the
activity. Most of the division\'s programmatic work is carried out in
its five geographic programs, viz. Africa, Near East and South Asia; the
Americas; East Asia and Pacific; Central and Eastern Europe; and Western
Europe and in its International Research Fellows program. In FY2001,
these programs totaled \$**18.3**M. INT provides part or all of the U.S.
contributions to the Human Frontier Science Program (HFSP), the U.S.
Civilian Research and Development Foundation (CRDF), and the
International Council for Science (ICSU), totaling \$**4.1**M in FY2001.
INT also manages the NSF overseas offices in Paris and Tokyo.

The types of activities supported in the geographic programs include:

-   The initial years of cooperative research projects;

-   Supplements to \"internationalize\" a currently supported
    \"domestic\" research project;

-   Supplements to existing NSF grants to include junior investigators
    and students in the overseas phases of projects;

-   Joint seminars and workshops to identify common priorities in areas
    of special interest;

-   Planning visits;

-   Dissertation enhancement awards; and

-   Summer Institutes in Japan, Korea, and Taiwan, and other research
    experiences abroad for U.S. students.

The **balance among areas of science and engineering** varies by
geographic region. In general, successful proposals for cooperation tend
to build on the strengths of the research enterprises in the partner
countries, e.g. materials research, or on unique circumstances in the
geographic region, e.g. biodiversity. This flexibility is important to
enable U.S. researchers to capitalize on the resources in other
countries to strengthen our own capabilities.

During FY2001, INT participated in the following **NSF major
crosscutting and interdisciplinary programs:**

-   **Information Technology Research**

-   **Biocomplexity in the Environment**

-   **Nanotechnology Science and Engineering**

-   **Integrative Graduate Education and Research Traineeship (IGERT)**

-   **Research Experiences for Undergraduates (REU)**

-   **Research at Undergraduate Institutions (RUI)**

By design, these programs are very broad and encompass many areas with
high potential for productive international cooperation. This strategy
enabled INT program officers to work well with the disciplinary
divisions in inserting language in program announcements that encouraged
international dimensions in proposals to these competitions. It also
adds to the likelihood that collaborations can compete successfully in
these research programs after the initial phase of support from INT.

**B. FY2001 Results**

[INT Highlights]{.underline}

In addition to its programmatic responsibilities, INT actively advised
and supported senior NSF management in FY2001 on international matters
such as:

-   From May 6-8, 2001, Dr. Colwell hosted the 20^th^ annual meeting of
    the G-8 Heads of Research Councils. INT made all the arrangements
    for this meeting and provided staff support.

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-   Preparations for high-level international activities (e.g.,
    U.S.-India Forum, U.S.-Egypt Joint Board on Science and Technology,
    NSF-European Commission \"Implementing Arrangement for Cooperation
    in Environmental Research\", U.S.-China Symposium on Science
    Funding).

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-   Staffing international matters that are not specific to a particular
    discipline \[e.g. issues under the purview of the NSTC Committee on
    International Science, Engineering, and Technology (CISET); the OECD
    Global Science Forum, the Asia Pacific Economic Cooperation (APEC),
    and the Organization of American States (OAS)\].

-   Negotiating and managing agency‑level bilateral agreements for
    scientific and technological cooperation with other countries
    (nearly twenty such agreements are currently in force).

In FY 2001, policy advisory, support and service functions absorbed
about as much of INT\'s staff resources as did program management.

*AWARE (American Workforce and Research and Education)*

In FY2001, INT\'s East Asia and Pacific Program set aside \$1.5M for
workforce development through a number of efforts collectively referred
to as AWARE. The rationale for this new investment is that the U.S.
science and engineering workforce is competing in a context that demands
new and different skills and competencies, particularly those that
provide maximum flexibility in meeting the current and future needs of
employers that have a global reach.

*IGERT*

In FY2001, INT extended an invitation to the third cohort of IGERT
awardees to compete for supplemental funding to foster international
perspectives on research and training; six such supplements totaling
more than \$430K were awarded. INT funds were used entirely to support
doctoral student internships at foreign host institutions that offer
unique training opportunities in university or industrial settings.
Traineeships, lasting from 3 to 6 months, were intended to acculturate
students and offer research experiences that might not otherwise be
available. Many such opportunities were developed from existing research
collaborations between principal investigators and key individuals at
foreign host facilities. INT expects these traineeships to stimulate
international collaborations among future generations of scientists and
engineers.

*WISC (Women\'s International Scientific Collaboration)*

Begun in FY01, WISC is a program that encourages U.S. women scientists
to develop new international cooperative research projects and partners.
WISC enables U.S. women scientists to travel to Central and Eastern
Europe and Eurasia, and stay up to four weeks in order to develop a
formal research proposal to conduct basic research in an international
environment. WISC is open to women scientists in the following fields:
archeology; anthropology; biology; chemistry; earth sciences; economics;
environmental sciences; geography and demography; linguistics; political
science; non-clinically oriented psychology; and sociology. WISC
especially encourages interdisciplinary research projects. The grants,
up to a maximum of \$4,000, cover travel and living expenses for the
U.S. investigator to go abroad. Three rounds of competition are being
offered between October 2000 and October 2002 for a total of twenty
grants.

**C. Cross-Cutting Activities and Programs**

**The Human Frontier Science Program (HFSP)** is a multilateral and
multidisciplinary program aimed at fostering international cooperation
in fundamental research on biological functions at the molecular level
and brain functions. In FY2001, HFSP supported 53 new research projects
and 81 new long-term fellows. About 30% of the research grants were
awarded to U.S. scientists, and about 75% of the long-term fellows
choose to do their research at U.S. laboratories. The participating USG
agencies and their FY2001 contributions were NIH (\$4.2M), **NSF/INT
(\$1.25M)**, DOE (\$1M) and NASA (\$0.5M). INT handles the interagency
transfer of contributions from other agencies and manages the annual
award to the HFSP Office.

The **Global Science Forum (GSF)** was established in June 1999. The aim
of this OECD-based forum is to bring together scientists and science
policy officials from OECD Member governments to discuss ways of
strengthening international cooperation on very large scientific
projects and programs. A primary goal is to provide a mechanism for
discussions and recommendations to governments before more specific
international financial commitments and planning take place. The GSF
does not carry out research itself or fund research projects. After the
creation of the GSF in June 1999, NSF and the DOE assumed a joint
leadership role on behalf of the USG in the GSF. Dr. Robert Eisenstein,
AD/MPS, was designated as the NSF lead. INT provides staffing for NSF
involvement in the GSF.

**The U.S. Civilian Research and Development Foundation** **(CRDF)** was
established by NSF in 1995 as a private, independent, nonprofit
organization. Its purpose is to support cooperative basic and applied
research between researchers in the U.S. and in the independent states
of the former Soviet Union. CRDF supports civilian R&D projects,
promotes market economies through joint projects between U.S. business
and those in the region, and promotes defense conversion. It receives
both private and government funding. With funds from the Department of
State (\$15M) and **NSF/INT (\$2M)**, CRDF held a competition in 2001
that resulted in 500 awards. CRDF supports a broad range of other
programs targeted to its goals, but funding for these comes from sources
other than NSF.

**The International Council for Science (ICSU)** was created in 1931 to
promote international scientific activity and to seek applications of
science for the benefit of humanity. ICSU is a non-governmental
organization with two categories of membership: [scientific
academies]{.underline} or [research councils]{.underline} that are
national, multidisciplinary bodies and [scientific unions]{.underline}
that are international, disciplinary organizations. The complement of
these two groups provides a wide spectrum of scientific expertise
enabling members to address major interdisciplinary issues that none
could handle effectively alone. The National Academy of Sciences (NAS)
is a founding member of ICSU and of most of the scientific unions. It
manages U.S. participation in ICSU, and the U.S. National Committees
that serve as liaisons to the many unions, committees, and programs
included within ICSU. The objective of this program is to support
effective U.S. participation in ICSU as a vehicle for maintaining U.S.
leadership in the global scientific enterprise. To help attain this
objective, NSF has been supporting this program since 1963. Several NSF
directorates (e.g. BIO, GEO, MPS, and SBE) contribute to the ICSU
program at the NAS. In 2001, INT made a 5-year renewal award to NAS to
continue to manage U.S. participation in ICSU. Other USG agencies that
support ICSU via grants to the NAS include: NASA, NOAA, USDA, NIH, DOI,
and the Smithsonian Institution.

**D. Performance Indicators**

This section describes how the taxpayer benefits from investments made
by INT's programs. INT's long-term outcome goals address how the
investments made by programs have led to results important to the broad
mission of NSF. Because many research results appear long after an
investment is made, this assessment report of INT's program performance
is mostly retrospective. That is, the outcome results reported in FY2001
are from investments made prior to FY2001. The results of the
investments made in FY2001 will not begin to be reported until beyond FY
2002.

Examples of Research Results: The following discussion of INT
performance includes only a sample of the many noteworthy achievements
reported by INT programs in FY2001. The examples presented here are
illustrations of the impact and success of INT programs in achieving its
outcome goals and are selected to demonstrate the range of activities
supported by INT. In all instances, they reflect connections with other
countries and researchers from those countries. In each case, a grant
number issued by NSF is used to identify the example for purposes of
verification.

*OUTCOME GOAL 1: PEOPLE - Development of a diverse, internationally
competitive and globally-engaged workforce of scientists, engineers, and
well-prepared citizens.*

Although INT provides only a relatively small portion of the overall NSF
investment in the development of the science and engineering workforce
through its programs, this investment is particularly important to the
development of the workforce of the future. The quality of the future
workforce is dependent on the investment being made now to educate and
train students. A diverse science and engineering workforce that is
representative of the American public and able to respond effectively to
a global economy is vitally important to America. As a nation, we need
new technical knowledge and people trained to use that knowledge. The
competence and capabilities of the nation's science and engineering
workforce keep America at the forefront of innovation and technological
progress.

One of INT's key strategies for success in achieving this goal is by
providing opportunities for participation in integrative research and
education experiences. To this end, INT has developed a number of
programs intended to facilitate the international integration of
research and education. Each of these programs relies on INT's close
interaction with international academic science and engineering
communities to draw research and education together. INT works to
achieve this goal by making awards for research and education activities
that are intended to influence the development of the science and
engineering workforce, and increase the participation of
underrepresented groups.

Participation of young scientists in INT‑supported awards (both
INT-owned and those split-funded by INT with other NSF divisions) was
strong, with **1576** junior scientists, graduate students, and
undergraduate students taking part in international activities (out of a
total of **nearly 3000** scientists and engineers supported). The new
partnerships with foreign scientists provide U.S. S&Es with greater
opportunity to make significant discoveries and connections to societal
needs because of the new catalytic ideas, methods and perspectives
offered by foreign experts and the use of foreign facilities and
research sites. At the same time, the involvement of young scholars
helps the U.S. develop a globally-engaged S&E workforce.

The following examples illustrate the impact and success of INT\'s
programs in achieving Goal 1 in FY2001.

**Summer Programs in Asia for U.S. Graduate Students**

**Seventy-four** U.S. graduate students in science and engineering
participated in the Summer Programs in **Japan, Korea and Taiwan** from
June through August, 2001. Since their start in Japan in 1990, in Korea
in 1995, and in Taiwan in 2000, the programs have enabled more than
**700** **American graduate students to gain first‑hand experience in a
Japanese, Korean or Taiwanese research laboratory**. In addition to a
research internship, the Summer Programs provide introductory foreign
language training, and exposure to science and science‑policy
infrastructure. The goals of the program are to introduce U.S. graduate
students to Japanese, Korean and Taiwanese science and engineering
research laboratories and to initiate personal relationships that will
better enable students to collaborate with foreign counterparts in the
future. A long‑term goal of the program is to enable the United States
to gain maximum benefit from international scientific and technical
interactions. (EAST ASIA and PACIFIC; several funding mechanisms)

**International Research Fellowship Program**

Forty-five young postdoctoral researchers received grants from the
**International Research Fellowship Program** in FY2001 to carry out
advanced research in their fields at overseas universities and research
institutes. Research fellows are eligible in any area of science and
engineering supported by NSF and may conduct their research anywhere in
the world. Although hosted by foreign institutions and mentored by a
senior foreign investigator, in many cases the postdoctoral fellows
performed their first truly independent research project, and it
regularly has led to publication and individual recognition. The value
of the program is not just the research results, but the impact upon
each fellow's future career. The fellows often establish new and
valuable collaborations and contacts where none existed before. Fellows
returning from overseas routinely credit their international experience
as assisting them in securing a university position in the U.S..
(International Research Fellowship Program; program managed by INT;
individual grants awarded to 45 successful applicants).

**Environmental Chemistry In Central/Eastern Europe**

The demise of the Soviet economic system at the beginning of the 1990\'s
focused world attention on newly revealed environmental problems in
Central and Eastern Europe. With support from the Central and Eastern
Europe Program, the American Chemical Society\'s (ACS) Office of
International Activities organized a series of three workshops that
brought U.S. investigators to Central and Eastern Europe to discuss and
propose solutions to shared environmental problems. ACS also organized a
series of **return research visits to the U.S. for junior environmental
scientists from Central and Eastern Europe**. The individual
interactions that grew from the workshops and research visits have
yielded a number of long-term scientific projects, currently being
carried out by a diverse, globally-oriented workforce of scientists and
engineers. The outcomes include: (1) A multi-million dollar radionuclide
cleanup project at Sillmae, Estonia, (2) Fulbright - supported exchange
visits of Baltic scientists at U.S. institutions, (3) a DOE project to
improve the Estonian power grid, (4) a Central/Eastern European - U.S.
list server at Duke University for continual exchange of ideas, (5)
Central/Eastern European participation in workshops in specific areas,
(e.g. creating new environmental electrochemical sensors), and (6)
participation of scientists from the region in new U.S. programs to
advance environmentally benign chemical products and processes. (CENTRAL
and EASTERN EUROPE: 9711279)

*OUTCOME GOAL 2: IDEAS - Enabling discovery across the frontier of
science and engineering, connected to learning, innovation and service
to society.*

INT's key strategy for success in achieving this goal is through use of
the merit review process to make awards for research and education
activities that focus on discovery and that create or have the potential
for connections with use in service to society. Potential for use in
service to society is used in the decision-making process leading to
funding. Innovation and creativity, cooperative research through
international partnerships, and education and training are emphasized
and encouraged.

INT believes it is successful in meeting this goal when, in the
aggregate, INT grantees (1) make important discoveries; uncover new
knowledge and techniques, both expected and unexpected, within and
across national boundaries; and (2) forge new high-potential links
across those boundaries.

INT supports cutting edge research that yields new discoveries over
time. These discoveries are essential for maintaining the nation's
capacity to excel in science and engineering and lead to new and
innovative technologies that benefit society.

The following examples illustrate the impact and success of INT's
programs in achieving important discoveries and making connections
between these discoveries and their use in service to society. The
examples were chosen to address the FY2001 areas of emphasis across
INT's programs and to demonstrate linkages across traditional
disciplinary boundaries through international collaborations.

**Advances in Condensed Matter Systems**

A research collaboration between Dr. Alberto Rojo of the University of
Michigan and Dr. Carlos Balseiro of the Centro Atomico de Bariloche in
**Argentina** has led to the first experiment in which **phonon
squeezing has been observed in condensed matter**. Phonon squeezing
refers to one of the ways to control noise at a microscopic scale and
these findings are relevant to the control of mechanical vibrations in
nanotechnology devices at low temperatures. The research has led to
novel results, not only in the phenomenon of phonon squeezing but also
in the theory of superconductivity, two areas of topical interest
because they entail fundamental scientific questions and because they
involve issues of technological impact. (AMERICAS: 9602962)

**Advances in Climate Research**

New evidence suggests that the flooding of a land bridge that once
connected Asia and America, destroying a key evolution superhighway,
occurred about 2 million years earlier than thought. Based on the
results of a **U.S.-Russia collaborative research project**, U.S. and
Russian scientists determined the date of the Bering Strait\'s opening
by studying *Astarte* clams found in southern Alaska. This clam used to
live exclusively in Arctic and North Atlantic oceans, and could only
have crossed into North Pacific waters through the strait. The first
occurrence of *Astarte* in the North Pacific and, therefore, the first
opening of Bering Strait was likely to have been in the late Miocene
(more than 5.32 million years ago). The US scientist, Louis Marincovich,
Jr., of the California Academy of Sciences, said \"We believe water
flowed south through the strait at the time, and would explain why a
creature like *Astarte* appeared near Alaska long before Pacific
mollusks arrived in the North Atlantic.\" Marincovich stated that the
**opening of the Bering Strait also drastically changed the Arctic\'s
climate**, which once supported pleasant Mediterranean-style conditions
and lush forests. He added that the revised opening date will allow
researchers to more accurately document ancient climates. (CENTRAL and
EASTERN EUROPE: 9806461)

**Advances in Materials Research**

The growth of excellent quality semiconducting materials is crucial for
technological applications. One of these materials is gallium arsenide
(GaAs) that is used for computer chips and microwave devices. However,
it is difficult to grow GaAs layer by layer on top of a surface (known
as the two-dimensional growth process), because three dimensional
islands will form to disrupt the growth. In 1996, a French group found a
way to grow high quality layered GaAs by adding a third kind of atom,
tellurium (Te). In this case, Te is called the \"surfactant\", and the
method is called the \"**surfactant-mediated growth method** (SMGM)\".
They also found that Te will not make any alloys with the host atoms. Te
atoms exchange with the As atoms and migrate to the top layer of the
sample. The microscopic mechanism for this exchange was not understood
until a model calculation was made. The U.S. team, led by Dr. Ching Fong
of the Physics Department of the University of California, Davis, and
the Turkish team, led by Dr. Selim Ciraci, of Physics Department of
Bilkent University, Ankara, **Turkey**, obtained results that elucidate
the process of how a Te atom floats to the surface of GaAs after it
exchanges with an As atom. In addition, the SMGM can be used to grow
other semiconducting materials. (AFRICA, NEAR EAST, and SOUTH ASIA:
9872053)

**Advances in Tectonics**

Central Europe has experienced a complex tectonic history that poses a
major challenge to efforts to understand the structure and evolution of
this geologically significant region. The term Trans-European Suture
(TESZ) has been coined to refer to the convoluted collage of structures
formed by tectonic events. Several years ago, the European scientific
community recognized that major geophysical experiments are needed to
unravel the structural effects of these events. Polish geophysicists
reacted quickly, and organized a very large seismic experiment
(POLONAISE) that was begun in 1997. Funding from the Central and Eastern
Europe Program to support the shipment of 200 instruments and travel of
U.S. researchers to Poland played a key role in the success of this
experiment that has already been featured in two volumes of an
international refereed journal. Danish, Finnish, Lithuanian, Canadian,
Swedish, and German groups also participated in this experiment that
revealed a surprisingly thick (20 km) **accumulation of sedimentary
rocks in the Polish trough region** and important structural details
along the TESZ. The productive collaborations established during
POLONAISE demonstrated that complex projects such as this can be
undertaken only by pooling the expertise, instrumentation, and human
resources of several countries. The success of POLONAISE led to the
organization of an even bigger experiment focused on the area to the
south. This effort involved a large consortium of institutions (28 in
all) and is called ***CELEBRATION 2000*** (***C***entral ***E***uropean
***L***ithospheric ***E***xperiment ***B***ased on ***R***efraction,
***2000***). (CENTRAL and EASTERN EUROPE: 0001356)

**Advances in Molecular Biology**

A research collaboration between Dr. Morris Goodman and postdoctoral
researcher Derek Wildman of Wayne State University and Drs. Paula
Schneider and Ira Sampaio of the Federal University of Para, **Brazil**
used DNA sequences from seven genes in order to understand the
**relationships among different primate species**, especially New World
monkeys. Comparing the genetic traits of our close relatives can help us
understand which genetic changes are uniquely human. The researchers
made significant progress in establishing the genetic history among
several species of New World monkeys, and also discovered tantalizing
clues about the processes that led to the emergence of large brains in
primate species. They found that in the relatively large-brained
monkeys, apes, and humans, there are differences in both the pattern and
timing of gene expression, and that there were also periods of
accelerated changes in genes that are responsible for producing and
transporting energy in organisms. Changes in genes that are vital to the
production of energy are likely related to the emergence of the
energetically expensive large neocortex in humans and our relatives. The
researchers were also able to obtain blood and DNA samples from all of
the neotropical primate genera, thus creating a substantial genetic and
technical resource of great value in view of the endangered and
threatened status of many of these monkeys. (AMERICAS: 9602913)

**Africa ILTER**

To promote the establishment of International Long-Term Ecological
Research (ILTER) sites in the southern Africa region, the Africa, Near
East, and South Asia Program in conjunction with the Division of
Environmental Biology LTER Program supported the travel of 16
researchers (from **Botswana, Namibia, Mozambique, South Africa,
Tanzania, and Zimbabwe**) to various U.S. LTER sites in May 2001.
Currently one ILTER site exists in Namibia. Other proposed sites include
areas of transboundary importance, such as the Okavango Delta in
Botswana, and a shared river basin in Mozambique, as well as sites in
the Kruger National Park (South Africa) and the Serengeti National Park
(Tanzania). The sites draw on each area's unique resources, but the
environmental and ecological problems to be explored concern many other
parts of the region, as well as the rest of the world. During this visit
the group discussed shared data management procedures, identified
specific areas of interest for cross-site collaborations, and planned
follow-up activities. The visit also enabled the participants to work
together to identify shared problems (such as sources of support and
exchange of data) and define overarching areas of research interest.

The development of ILTER sites in Southern Africa enables U.S. and
foreign researchers to conduct cross-site studies to **compare and
synthesize data on long-term ecological processes**. Many of the sites
will also afford researchers the opportunity to study the impact of
transboundary issues (such as shared water resources or the development
of transnational parks), and the results can be a valuable benefit in
the development of scientifically-based ecosystem management plans.
Additionally, the development of shared data management and exchange
procedures will enable the larger LTER scientific community to have
access to new data. (AFRICA, NEAR EAST, and SOUTH ASIA: 0129604)

**Dynamics of Water**

A research collaboration between Dr. Keith E. Gubbins of Cornell
University and Dr. Erich Muller of Simon Bolivar University, Caracas,
**Venezuela** has led to the development of a useful model of the
**adsorption of water in a wide range of porous materials**. Examples of
such materials are activated carbons, silica gels, zeolites (molecular
sieves) and other recently synthesized porous materials that are widely
used in industry for drying and purification of gases, water
purification, and to enhance chemical reactions. The take-up of water by
these materials varies greatly with the reaction and purification
processes to be used. This research collaboration has clearly shown that
a combination of selective adsorption and diffusion is critical and that
adsorption can be controlled through an appropriate design of pore
structure. Moreover, it also suggests ways to design improved porous
materials that will minimize problems with water adsorption, and hence
optimize industrial purification and reaction processes. (AMERICAS:
9602960)

**Appendix E**

####### Division of Science Resources Statistics

**Tools**

The Division of Science Resources Statistics (SRS) is the unit within
NSF charged with collecting, analyzing and disseminating information on
the S&E enterprise. These activities fulfill the legislative mandate of
the National Science Foundation Act to . . ."provide a central
clearinghouse for the collection, interpretation, and analysis of data
on scientific and engineering resources, and to provide a source of
information for policy formulation by other agencies of the Federal
Government. . .."

To carry out this mandate, SRS designs, supports, and directs 11
periodic surveys as well as a variety of other data collections and
research projects. These activities yield the materials for SRS staff to
compile, analyze, and disseminate quantitative information about
domestic and international resources devoted to science, engineering,
and technology. Each year SRS produces 40 to 50 publications, ranging
from short Data Briefs and Issue Briefs highlighting results from recent
surveys and analyses to Detailed Statistical Tables (DSTs) containing an
extensive tabulated data from a particular survey; and large,
comprehensive \"overview\" reports, such as *Science and Engineering
Indicators* and *Women, Minorities, and Persons with Disabilities in
Science and Engineering.*

All new publications are placed on the SRS website and some material is
available only in an electronic format, not in a printed version. Many
tables on the web are also available in a spreadsheet format so they may
be downloaded and manipulated by users. The data are also provided to
users in a variety of formats, media, and in customized tabulations. In
addition, access to much of the data is provided through on-line
databases.

If the information SRS collects and disseminates is \"to contribute to
the effective use of science and engineering resources,\" it must be
relevant and of high quality. SRS has made a high priority in recent
years of improving the quality and usefulness of its data. In previous
years, SRS has had GPRA performance goals related to the timeliness of
the release of the data the Division collects and establishing data
quality measures for its surveys. For FY 2001, SRS established
performance goals related to improving the relevance of the data it
collects and improving data quality, which are the two dimensions rated
most important by SRS customers in a 1999 customer survey\--accuracy and
the ability to find and obtain needed information on S&E personnel and
resources.

# RELEVANCE

A key element of information is its relevance. The world's economic and
S&T systems are undergoing far-reaching transformations that are not
well captured by existing data systems. SRS data should be revised
continuously to reflect such transformations.

**Performance Indicator:** **SRS data systems that capture the key
aspects of the 21^st^ century S&T enterprise.**

**SRS Performance Goal:** **Undertake activities to determine what data
are needed to better reflect the 21^st^ century S&T enterprise. Develop,
assess, and begin implementation of design options for recasting SRS S&E
resources data collections.**

During FY 2001 SRS engaged in a wide variety of activities that were
directed toward both elements of this goal. Many efforts focused on
gathering information about the types of information that
customers\--data users and policy-makers, wanted in the future about the
science and engineering enterprise, including research and development
(R&D) funding/performance, and the scientific and technical personnel.
SRS has also engaged in activities based on what it has learned directed
toward improving the content of many of its surveys so that the data
collected in the future will better reflect both the needs of its
customers and the changing nature of the S&E enterprise. Some of the
activities that SRS has engaged in this year include:

[Surveys of R&D]{.underline}

Funded an interagency agreement with the National Institute of Standards
and Technology to assess existing taxonomies for service sector research
and development (R&D) and recommend improvements in R&D definitions,
classification, and data collection strategies.

Published results of an SRS-sponsored workshop on "Strategic Research
Partnerships" (SRP), one goal of which was to identify how SRS should
proceed to develop SRP indicators.

Put a major contract in place to assist SRS in the redesign of the
research facilities survey, one goal of which is to identify and collect
relevant data on the S&E infrastructure.

Initiated discussions with the National Academy of Sciences to undertake
a review of the existing portfolio of the R&D Statistics Program's
activities.

Conducted three 2-hour online focus groups to identify R&D data user
needs, strengths and weakness of R&D data series, and emerging and new
issues that should be considered for future R&D data collections.

Began implementation of recommendations from Bureau of the Census
respondent study to collect data on *fringe benefits* (for international
comparability), and *technology-specific* R&D totals for biotechnology,
software development, and materials synthesis. Initiated 2001 study on
reporting *subcontracted* R&D to individual sectors. Converted industry
R&D survey from SIC classification to NAICS.

[Personnel surveys]{.underline}

Conducted focus groups with users and potential users of data on S&E
personnel, and interviews with federal and private sector executives to
identify content needs for personnel surveys in the coming decade.

Consulted with professional organizations (e.g., American Association
for the Advancement of Science, Computing Institute of America) on
present and future data needs.

Initiated contract to determine international data needs related to the
workforce, and ascertain available data sources.

Worked extensively with the Bureau of the Census on plans to develop
survey designs for the National Survey of College Graduates for 2003
that will meet information needs on scientists and engineers.

Investigated how much information about the portion of the scientific
and technical workforce that does not have at least a bachelor\'s degree
the adequacy of existing data could be obtained from data currently
collected by the Current Population Survey (CPS). Worked with the Bureau
of the Census and the National Center for Education Statistics to add an
item onto the October 2002 CPS that will provide additional information
about this group.

[Public Attitudes survey]{.underline}

Initiated work on redesigning the content of the public attitudes survey
to bring knowledge items into better alignment with current national
standards for science knowledge for students and to better address
contemporary policy issues involving science.

# DATA QUALITY

The value of statistical information in informing policy making in the
science and engineering enterprise depends upon the quality of the
underlying data. SRS strives to develop and present to its users
up-to-date information on the nature, specifications, and limitations of
its data. Measures of data quality help users determine the reliability
and accuracy of the information. In FY 2000, SRS established a standard
set of data quality measures and provided information on its website on
these measures for all SRS surveys. For FY 2001, SRS established a goal
related to improving the quality of the data collected in its surveys.

**Performance Indicator: Data quality measures for SRS surveys.**

**SRS Performance Goal: Determine the aspects of each SRS survey most
needing improvement, based upon the standard set of data quality
measures for reporting SRS products. Improve upon survey conduct related
to measures of quality or upon measures of quality in at least one area
in half the core SRS surveys.**

This effort builds upon and advances the standard set of data quality
measures developed in FY2000 and will result in data quality improvement
over time. Such improvements in survey data typically take several years
to accomplish because of the multiple steps involved: identifying the
areas most in need of improvement in the current survey, developing ways
to address those problems, testing (and often revising and retesting)
the new approaches, incorporating the changes into a data collection
cycle, and processing the data prior to release. For FY 2001, SRS
identified one or more aspects of each ongoing survey in need of
improvement and ways in which such improvement could be pursued.
Projects for half the surveys were begun in FY 2001. Choices as to which
of the projects to pursue in FY 2001 were based on a variety of factors,
including funding, feasibility, favorable timing in terms of the survey
cycle, and Division priorities. In nearly every case, these projects
will extend into FY 2002 and beyond, and it will be several years before
the results of these efforts will be evident in terms of improved data
quality. In the meantime, additional projects directed toward improving
data quality will be undertaken in FY 2002 and subsequent years.

The projects undertaken in FY 2001 vary considerably in scope, ranging
from the complete redesign of the Survey of Scientific and Engineering
Research Facilities to review/improvement of questionnaire layout and
specific question wording of several surveys to adoption of standard
method of computing response rates in the National Survey of Recent
College Graduates. Examples of specific FY 2001 projects include:

# Facilities Survey

Project: Redesign entire survey.

Data Quality Improvement: Unit Nonresponse; Item Nonresponse;
Measurement; Coverage Error

FY01 Products/Activities: Considerably scaled back the 2001 survey, to
allow time and funding for a complete redesign of the 2003 survey.
Survey redesign RFP issued and contract awarded. Initial redesign
activities underway in FY 2001 (e.g., initial cognitive interviews held,
previous survey questionnaire and accompanying letters reviewed by
national survey form expert, and proposed advisory panel selected).

FY02 Products/Activities: Ongoing survey redesign activities, including
advisory panels and experts workshops.

**Federal Funds Survey**

Project: Select 2-4 key agencies to design a cognitive
understanding/data validation procedure. Hired a nationally recognized
expert to assist in cognitive design and improvement and consult on
implementation of the project and how to integrate the project findings
into the overall survey.

Data Quality Improvement: Measurement Error

FY01 Products/Activities: SRS and the Office of Management and Budget
(OMB) have co-operated in consultations with major Federal R&D funding
agencies to improve existing definitions of R&D. OMB and SRS jointly met
with respondents to the SRS Federal Funds survey and to OMB\'s annual
budget R&D data call in order to address issues of mutual interest and
concern. The OMB circular A-11 is used to collect R&D data for the
President\'s budget. In consultation with SRS, and with direct input
from Federal agencies, the definitions used in the circular were changed
to be consistent with (or reconcilable to) the definitions used in the
Federal Funds survey. SRS intends to use similar wording\--and reference
the OMB A-11 circular\--in its next Federal Funds survey.

**Academic Survey**

Project: Eliminate double counting in academic survey for pass through
funds.

Data Quality Improvement: Measurement error

FY01 Products/Activities: Conducted cognitive interviews with survey
respondents, resulting in improvement of questionnaire layout.

FY02 Products/Activities: Draft of technical brief with description of
survey "R&D expenditure flows" data.

**Graduate Student Survey (GSS)**

Project: 1. Evaluation of the data reported in the survey on
postdoctoral fellows with administrative records available at
institution as a multi-year activity with several institutions being
visited each year.

2\. In consultation with RDS develop and implement a plan to determine
the feasibility of obtaining data from FFRDCs on postdoctoral fellows at
FFRDCs.

Data Quality Improvement: Measurement Error (1); Coverage (2)

FY01 Products/Activities: Workshop with institutional coordinators to
identify issues; consultations with federal sponsors on desirability of
additional coverage at FFRDCs.

FY02 Products/Activities: Work with NIH to investigate possibilities of
reporting postdoctorates from FFRDCs; consider data availability.

**National Survey of Recent College Graduates (NSRCG)**

Project: Implement the CASRO standard for calculating and reporting
response rates.

Data Quality Improvement: Response Rate

Immediate or Future Impact: Improved reporting of response rates.

FY01 Products/Activities: Project completed. Data were collected in
FY2001 and will be reported in FY2002.

In addition to these projects, all of which had been identified at the
beginning of FY 2001, SRS undertook a variety of other activities during
the year that will contribute to improved data quality in the future.
Several approaches toward improving questionnaire design (paper and
electronic) were started, including cognitive interviews with survey
respondents and assistance from a nationally recognized expert on
questionnaire design. Specifically, with regard to the public attitudes
survey, several avenues were explored as alternatives to the historical
Random-Digit-Dialing (RDD) telephone survey, about which there are
concerns related to both content and response rates. These included
placing items on other surveys, and web-based options for collecting
information

In previous years, SRS had established a goal of improving the
timeliness with which it releases its data, which SRS met. Between FY
1995/1996 to FY 1999/2000, SRS reduced the average time interval between
the reference period for a survey and the date at which data were first
released from SRS surveys by about 15 percent, from 540 to 461 days. For
FY2000/2001, SRS maintained that improvement, with an average time
interval of 459 days.

## Other Activities in FY 2001 Related to Improving Information on Science and Engineering Resources 

SRS remains committed to maintaining, and enhancing its world-class
system of information about science and technology. During FY 2001 the
name of the organization was changed from Division of Science Resources
Studies to Division of Science Resources Statistics to reflect more
accurately the scope of the unit\'s activities. The following efforts
during FY 2001 are representative of the programmatic strategies
developed by the Division to improve and expand the ways in which it
accomplishes this critical mission, in addition to its historical and
ongoing activities of conducting surveys and publishing reports.

*SRS provides data and assistance to a variety of offices throughout the
government in support of policy debates about science and technology.*
For example, SRS:

-   Worked closely with the General Accounting Office in their
    investigation of causal factors for differences in Federal support
    for R&D as reported by performers and by Federal agency survey
    respondents;

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-   Provided extensive materials on women, underrepresented minorities,
    and persons with disabilities in science and engineering to the
    Committee on Equal Opportunities in Science and Engineering;

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-   Continued working with the Immigration and Naturalization Service in
    efforts to improve the scope of data capture and nature of coding of
    immigrants' education levels, major fields, and last occupation
    before entering the U.S.; and

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-   Provided extensive assistance to several National Science Board task
    forces on international issues, infrastructure, workforce, and
    strategic science and engineering policy issues and internal NSF
    working groups on grant size and duration.

*SRS provides information on the science and engineering enterprise to
many audiences and in a variety of formats, and is committed to meeting
the diverse needs of its varied audiences.* For example, in addition to
conducting surveys and releasing reports/data based on the surveys, SRS:

-   Working closely with the National Science Board and many external
    experts, prepared Congressionally mandated report, *Science and
    Engineering Indicators 2002,* in a 2-volume format for release in FY
    2002;

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-   Provided data and technical assistance on a wide range of S&T topics
    to a variety of customers, including, for example, the Industrial
    Research Institute; the Committee on Science, Engineering, and
    Public Policy (COSEPUP); the American Association for the
    Advancement of Science; the Council of Scientific Society
    Presidents, and the American Academy of Arts and Sciences;

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-   Prepared and completed external reviews of Congressionally mandated
    report, *Women, Minorities and Persons with Disabilities in Science
    and Engineering: 2002*, a source book of data on the participation
    of these groups in science and engineering education and employment,
    widely used by policy makers addressing the problems of
    underrepresentation of these groups in science and engineering;
    developed these data in new formats (information cards) on these
    topics; and

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-   Held fifth highly successful Database Research Institute to provide
    hands-on experience to potential researchers using SRS data and held
    well-received seminars presenting the work of past institute
    scholarship recipients.

*SRS is continuously engaged in improving the relevance and coverage of
its products.* For example, SRS:

-   Continued extensive activities related to improving the relevance,
    coverage, and cost effectiveness of SRS data collections on the
    science and technology workforce in the 2000 decade, including
    consultations with a wide variety of users and potential
    users\--policy-makers, federal agencies, professional associations,
    and researchers\--through focus groups, executive interviews,
    workshops, and commissioned papers;

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-   Released the results of R&D expenditure data from a survey of
    nonprofit organizations---which was the first such survey since
    1974;

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-   Received approval from OMB for two new capabilities\--survey
    improvement projects and Quick Response Surveys\--for improving the
    quality and timeliness of the data SRS collects on science,
    engineering and technology inputs and outputs;

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-   Supported five new projects in the second year of the SRS grants
    program to develop or improve S&T indicators\--directed towards
    improved international R&D measures, better data on academic
    science/industry innovation nexus, and development of new indicators
    of industrial networks; and

-   Upgraded navigation and user features on *[Implications of
    Information Technologies]{.underline}* web site and bibliographic
    database (http://srsweb.nsf.gov/it_site/it/infotech.htm), a resource
    for use by researchers, the policy community, and the public to
    locate data and research about the social and economic implications
    of information technologies.

*SRS, reflecting the increasing globalization of the science and
engineering enterprise, engages in a wide range of activities designed
to foster the development of comparable information about science and
technology across a variety of countries.* For example, SRS:

-   Increased international interaction and cooperation both bilaterally
    and with multinational organizations, such as the Organisation of
    Economic Co-operation and Development (OECD), the European Union
    (EU), the Statistical Office of the European Community (Eurostat),
    Statistics Canada, the North Atlantic Treaty Organization (NATO),
    UNESCO Institute for Statistics, the Asia-Pacific Economic
    Cooperation (APEC) and Pacific Economic Cooperation Council (PECC),
    the Organization of American States (OAS) and the Iberoamerican
    Network on Science and Technology Indicators (RICYT);

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-   Provided extensive input in reviewing and revising the OECD's
    Frascati Manual that provides international guidelines and standards
    for the collection of R&D data;

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-   Provided leadership and expertise to a number of international S&T
    indicator reports, projects and meetings, including preparing
    background papers for, participating in, and making presentations at
    international workshops sponsored by OECD, Statistics Canada, and
    Central American governments;

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-   Assumed a lead role for U.S. participation in activities related to
    workforce and international high tech migration, patents, and
    benchmarking;

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-   Provided advice on data collections in other countries interested in
    conducting information on doctorate awards similar to that collected
    in the U.S.;

-   Worked with Statistics Canada to discuss development of cooperative
    projects and a closer relationship in the development of indicators
    of industrial networking activities, human resources, and other
    areas; and

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-   Supported the work of a new multi-agency panel survey of immigrants
    in order to obtain data on highly educated persons and those with
    science and engineering degrees, in order to trace over time their
    absorption into and activities in the U.S. workforce.

*SRS is committed to being at the forefront in the use of technology in
both in the collection of survey data and in the dissemination of its
products and data.* For example, SRS:

-   Continued movement toward greater use of web-based data collection,
    which permits more timely and effective non-response follow-up,
    improvements in data quality, and reduction in data entry time and
    cost:

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-   Promoted greater use of the web-based option by respondents to
    surveys of academic institutions by conducting regional workshops;

-   Realized significant increases in numbers of surveys submitted
    through the web, and

-   Tested a web-based data collection instrument for the Survey of
    Earned Doctorates; put in place beta tester institutions.

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-   Released on the Division of Science Resources Statistics website the
    Industrial Research & Development Information System (IRIS) which is
    an online interface to the new Survey of Industrial Research and
    Development Historical Database 1953-1998. The database contains all
    industrial research and development (R&D) data published by NSF for
    the years between 1953 and 1998 in over 2,500 statistical tables
    including statistics on the levels of R&D support from company and
    Federal sources and sales and employment of R&D performers; and

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-   Awarded contract for a major overhaul of the WebCaspar system's data
    engine to take advantage of commercially available improvements in
    data server technologies and software. At the same time, continued
    to enhance the ease of access to and the range of data available in
    WebCaspar, a heavily used and highly regarded interactive data
    server containing national data on higher education and academic
    R&D.

*SRS continually undertakes methodological work to improve the accuracy
and relevance of its science and technology data sets and products.* For
example, SRS:

-   Held extensive discussions with the Bureau of the Census to
    determine feasibility of collecting better and more detailed
    state-level R&D expenditure data, which will be funded in FY 2002;

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-   Conducted cognitive interviews with academic R&D survey respondents,
    resulting in improvement of questionnaire layout;

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-   Fielded a survey of innovation in the nation's IT producing and
    selected IT using sectors;

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-   Explored a variety of options to a stand-alone survey as in the past
    for gathering information on public attitudes toward science and
    engineering, including placing items on other surveys and web-based
    survey methodologies; and

-   Instituted a new program with the American Statistical Association
    (ASA), the ASA-NSF/SRS Research Program, which brought a
    university-based researcher to SRS for the summer to work with SRS
    data and SRS staff.

*SRS has expanded its cooperation with other federal agencies to provide
information on science and technology issues.* For example, SRS:

-   Jointly worked to prepare a second report on "U.S. Corporate R&D"
    with Department of Commerce's Office of Technology Policy;

-   Supported cross-agency studies of Federal agencies technology
    transfer activities and development of technology transfer
    indicators;

-   Cooperated with the Office of Management and Budget (OMB) in
    consultations with major Federal R&D funding agencies to improve
    existing definitions of R&D and to incorporate a consistent set of
    R&D definitions in OMB\'s annual budget R&D data call (OMB circular
    A-11) and the next NSF Federal Funds survey;

-   Participated on interagency steering committee for a Commerce
    Department report on state technology indicators;

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-   Worked with the Bureau of the Census and the National Center for
    Education Statistics to increase the utilization, and usefulness, of
    the Census Bureau\'s Current Population Survey for providing
    information about the scientific and technical workforce; and

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-   Continued to participate in federal statistical activities intended
    to improve and coordinate information gathering and dissemination by
    federal agencies, such as:

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-   Interagency Standard Occupational Classification working group,

> \- The White House Initiative on Asian Americans and Pacific
> Islanders,

-   FEDSTATS,

-   Federal Committee on Statistical Methodology, and

-   Interagency Forum on Child and Family Statistics,

-   The Interagency Council on Statistical Policy (ICSP) and ICSP
    working groups, and

-   The Interagency Information Quality Guidelines Team.

## Future Prospects and Improvements 

SRS will maintain and enhance its information on the science and
technology enterprise for the 21^st^ century. SRS currently has planned
or in progress numerous efforts to continue the pursuit of improvements
in the relevance, quality, and accessibility of its data and products.
In doing so, SRS is using the information from the 1999 Customer Survey
and NAS Portfolio Review to target and prioritize additional areas for
further enhancement or improvement, subject to the availability of staff
and financial resources. In addition, SRS has asked the Committee on
National Statistics of the National Academy of Sciences (CNSTAT) to
undertake two additional efforts to provide an external review of and
advice about SRS activities\--one related to the entire portfolio of R&D
surveys and the other to assess sample design options for the National
Survey of College Graduates (NSCG) of 2003.

*SRS will engage in efforts to expand the coverage and relevance of its
products.* For example, SRS will:

-   Engage in redesign and improvement efforts for many SRS surveys,
    including:

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-   Initiate activities that may result in redesign of the entire set of
    R&D surveys so they will reflect the reality of the changing nature
    of the conduct of research and development in the 21st century and
    will constitute a more integrated set of surveys and coordinated to
    the maximum extent possible with the personnel surveys that are
    being redesigned at the same time;

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-   Continue and expand efforts to improve the design of the survey
    instruments\--paper and electronic\--of many SRS surveys utilizing
    cognitive interviewing with respondents, an external expert and
    additional staff;

-   Continue work on total redesign of the Congressionally mandated
    survey on academic research facilities, including review of sample
    design, question coverage, and cognitive issues;

-   Continue activities directed toward redesign of or alternatives to
    the Public Attitudes Survey; and

-   Continue redesign activities for the 2003 NSCG;

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-   Support development of additional or better international indicators
    of S&T activity through international collaboration with OECD,
    regional organizations, and individual countries;

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-   Expand analytical activities, including a major policy relevant
    analysis focusing on changes in U.S. publications output, where
    available evidence suggests the number of U.S. articles have either
    declined or are rising at notably decreasing rates. The purpose of
    this project is to document the nature of these trends and assess
    the factors underlying them including methodological and database
    issues; and

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-   Support and promote expanded analysis of SRS data through outreach
    activities, research opportunities including the newly established
    research program with the American Statistical Association, and
    grants.

*SRS will pursue further improvements in the quality and accuracy of the
data it collects and publishes.* For example, SRS will:

-   Establish advisory groups for additional R&D surveys to obtain user
    input on issues of greatest relevance and cross-survey
    complementarily to be included in survey collection efforts;

-   Continue efforts to improve consistency of reporting in and across
    the R&D surveys;

-   Engage in activities to improve the consistency of information
    collected and reported across SRS surveys on fields of science,
    building upon the findings of a FY 2000 taxonomy study; and

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-   Continue consultations with institutional representatives on ways to
    improve coverage and accuracy of counts of postdoctorates affiliated
    with American colleges and universities.

*SRS will continue to improve the accessibility of its data and the use
of technology to collect and disseminate its information.* For example,
SRS will:

-   Investigate how to best make available to the public statistics on
    research facilities that were collected under a pledge of
    confidentiality, and to investigate whether these survey statistics
    can be collected in the future to allow public access to the micro
    data;

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-   Use results of beta testing by institutions to more fully implement
    use of the newly designed web-based instrument for the Survey of
    Earned Doctorates.

-   Undertake an analysis of the usability of the SRS website so that
    improvements can be made that will make improve the accessibility,
    organization, and integration of information contained in the site.

**Appendix F**

####### SBE Support for Priority Areas

# Biocomplexity in the Environment

Program officers from a range of SBE programs played an active role in
NSF\'s activities related to Biocomplexity in the Environment (BE)
during FY 2001. The following highlights of those activities focus more
on management of competition and awards rather than on the outputs and
outcomes of those awards. Products and contributions will be far more
evident in future years as these long-term projects evolve.

-   ***Dynamics of Coupled Natural and Human Systems (CNH)
    competition.*** One of the four major BE competitions conducted
    during FY 2001 focused on human-natural system interactions, with
    special emphasis given to quantitative analyses of dynamics within
    appropriate human and natural systems as well as the interactions
    between them. This emphasis moved biocomplexity research away from
    its previous emphasis on natural system processes with tangential
    links to human activities and placed the actions of humans and their
    organizations in equivalent, central roles.

> Thomas Baerwald of SBE/BCS and Penny Firth of BIO/DEB served as
> co-coordinators of the FY 2001 CNH competition. Cheryl Eavey of
> SBE/SES also played a central role in the conduct of the competition,
> and Frances Li of SBE/INT was a critical liaison between the CNH team
> and INT program officers. (Frances and Ed Murdy of SBE/INT also
> assisted with evaluation of international collaborative proposals in
> other BE competitions, although the greatest amount of such
> collaborative work was in the CNH realm.) Of the roughly one dozen
> other program officers who participated in different facets of the CNH
> proposal-evaluation process, more than half came from SBE/BCS,
> SBE/SES, or SBE/INT.
>
> The CNH team evaluated 77 \"large\" proposals (defined as those
> seeking between \$100,000 and \$2,500,000), using two \"mirror\"
> advisory panels to identify 14 proposals as warranting NSF support.
> Because only about \$10 million was available and program officers
> refused to reduce budgets below levels necessary to adequately support
> these innovative interdisciplinary projects, only seven projects
> originally were selected for an award. Following an \"internal
> competition\" for residual BE funds after initial decisions were made,
> an eighth award was selected to receive \$1.3 million. Four of the
> eight \"large\" CNH awards are managed in SBE/BCS, and one is managed
> in SBE/SES. In addition to more than \$11.2 million from centrally
> managed BE funding, SBE contributed an additional \$418,271 in funds
> managed in SBE/BCS\'s Environmental Social and Behavioral Science
> account and \$50,000 in funds from SBE/INT. (Other \"additional\"
> contributions were \$447,694 from GEO/OCE and \$250,002 from BIO/DEB.)
> The list of \"large\" CNH awards (and links to their abstracts) are
> accessible at
> <http://www.nsf.gov/home/crssprgm/be/BE_competitions/be_01_cnh_awards.htm>.
>
> The CNH team also evaluated 42 smaller developmental proposals seeking
> \$100,000 or less. CNH team members evaluated these proposals without
> external review. At least two programs officers read and wrote reviews
> of each proposal, and all members of the team participated in the
> discussion of the most promising proposals. A total of
> 18 developmental awards were made based on the evaluation of these
> proposals, with SBE/BCS managing four of the award and SBE/SES and
> SBE/INT each managing three awards. In addition to more than \$964,000
> from centrally managed BE funding, SBE contributed an additional
> \$61,982 in funds managed in SBE/BCS\'s Environmental Social and
> Behavioral Science account. (Other \"additional\" contributions were
> \$119,656 from OPP, \$80,000 from EHR/EPSCoR (to be contributed in
> FY 2002), and \$20,002 from BIO/DEB.) The list of developmental CNH
> awards (and links to their abstracts) are accessible at
> <http://www.nsf.gov/home/crssprgm/be/BE_competitions/be_01_cnh_awards.htm>.
>
> The FY 2002 CNH competition will be run in a similar manner as in
> FY 2001. Thomas Baerwald of SBE/BCS and Mark Schwartz of BIO/DEB will
> co-coordinate the upcoming competition. In addition to roughly
> \$6.5 million in centrally managed BE funding currently dedicated to
> this competition, SBE already has committed an additional
> \$1.0 million in funds managed in SBE/BCS\'s Environmental Social and
> Behavioral Science account. Requests have been made to BIO and GEO
> leaders to add comparable amounts to the competition so that the total
> amount of available funding is roughly equal to the amount available
> in FY 2001.

-   ***FY 2000 Biocomplexity in the Environment (BE) awards.*** Although
    SBE involvement in the BE competition increased significantly in
    FY 2001 with the advent of the CNH competition, CNH-like awards were
    made in FY 2000. Cheryl Eavey coordinated the SBE involvement in
    that competition. Three \"large\" awards were made in the general
    CNH domain, with SBE/SES, SBE/BCS, and BIO/DEB each managing one
    award. Those project are headed by Elinor Ostrom of Indiana U
    (information about this award is accessible at
    [https://www.fastlane.nsf.gov/servlet/showaward?award=0083511](https://www.fastlane.nsf.gov/servlet/showaward?award=0083524));
    Stephen Lansing of U Arizona
    (<https://www.fastlane.nsf.gov/servlet/showaward?award=0083524>),
    and Stephen Carpenter of U Wisconsin-Madison
    (<https://www.fastlane.nsf.gov/servlet/showaward?award=0083524>).

> In addition, ten of the more than 60 \"incubation awards\" to provide
> up to \$100,000 for developmental activities are managed in SBE, six
> in SBE/BCS and four in SBE/SES. A number of incubation awards managed
> in BIO, GEO, and OPP also include significant social and behavioral
> science activity. The list of FY 2000 incubation awards (and links to
> their abstracts) are accessible at
> <http://www.nsf.gov/home/crssprgm/be/BE_competitions/bcinc002.htm>.
> (The PIs of projects managed in SBE are Bernstein, Borgatti, Fox,
> Goodman, Johnson, Koehler, Moran, Redman, Rockwell, and Smith.)

######## Information Technology Research

Information Technology (IT) today pervades science, engineering,
education, and society in ways that are still changing and need to be
understood. Much of US economic growth is attributed to IT developments,
and we now rely on IT for research, education, entertainment, health
care, and many other aspects of life. NSF supports research that extends
IT, improves our understanding of IT and its effects, and helps prepare
Americans for the Information Age.

SBE plays a very active role in ITR, as it did in ITR's predecessors,
notably Knowledge and Distributed Intelligence, Learning and Intelligent
Systems, and the Digital Library Initiative. SBE made or contributed to
a number of ITR awards during fiscal year 2001, in the areas of ideas
and tools:

## Ideas

Award 0121426: "Cognitive and Social Design of Robotic Assistants,"
\$3,200,000 to Sara B. Kiesler at Carnegie Mellon University to study
critical questions of human-robot interaction, and of robotic assistants
in personal and work settings. The research involves experiments on
mental models of robots and robotic assistants, ethnographic design
research, and organizational field research.

Award 0121232: "The Impacts of IT on Individuals and Their
Organizations: Conditions of Change and Transformation," \$2,800,000 to
James N. Danziger at the University of California, Irvine. This project
examines the social impacts of information and communications
technologies, especially the wired and wireless Internet, on
individuals' social and work lives in four institutional
contexts-households, workplaces, governments, and schools - and on the
four institutions themselves.

Award 0113545: "A Longitudinal Analysis of Internet-Based Research
Communication in Developing Areas," \$461,379 to Wesley M. Shrum at
Louisiana State University. This project examines the effects of new
information technology on science in developing areas. The study
population consists of 360 scientists in three developing areas with
different levels of research capacity (Ghana, Kenya, and the Indian
state of Kerala) in two organizational contexts (universities,
government research institutes).

Award 0112488: "The Impact of Internet Use on Women\'s Activity Patterns
and the

Gender Division of Household Labor," \$191,832 to Mei-Po Kwan at Ohio
State University. This survey research analyzes the impact of Internet
use, to answer the following questions: (a) Is Internet use helping to
relax some of women\'s space-time constraints and helping women to cope
with the demand of their multiple roles? (b) How do women\'s Internet
activities affect their activities in the physical world? (c) How does
the Internet use of the female and male heads of household affect the
gender division of household labor?

## Tools

Award 0121478: "Computer Test Beds and Mechanism Design," \$574,988 to
John O. Ledyard at California Institute of Technology. This project will
develop a new methodology for economics research, based on
computer-based behavioral models, that has potential to be better,
faster, and cheaper than conventional experimental economics.

Award 0113962: "Web-Based Archive of the Indigenous Languages of Latin
America (AILLA)," \$218,975 to Joel Sherzer at the University of Texas.
AILLA will be a web-accessible database of audio and textual data,
focusing on naturally-occurring discourse. Scholars, students, and
indigenous people will be able to access the AILLA database using their
web browsers, search and browse the contents of the database, and
download audio and text files from the database onto their own
computers, which they can then listen to or read immediately, using
free, downloadable software. AILLA will archive primarily unpublished
and previously unavailable audio recordings and texts, and both preserve
them and make them easily accessible by creating a centralized and
organized repository of digitized copies of these materials.

Award 0113030: "Dialogue-Assisted Visual Environment for Geoinformation:

Enabling Collaborative Information Access and Decision-Making Through a

Natural, Multimodal Interface," \$494,947 to Alan M. MacEachren at
Pennsylvania State University. This research will develop principles
for, implement, and assess natural, multimodal, multiuser,
dialogue-enabled interfaces to geographic information systems (GIS) that
make use of large-screen displays and virtual environment technology.
These interfaces will support a two-way iterative dialogue between human
and machine in which the human participant can use three modalities,
speech, gesture, and gaze, in natural ways.

Award 0122466: "MALACH: Multilingual Access to Large spoken ArChives,"
\$7,500,000 to Sam Gustman at the Survivors of the Shoah Visual History
Foundation, that maintains over 116,000 hours of digitized video
interviews with survivors and witnesses of the European Holocaust. This
award will lead to speech-recognition software for cataloging this
multimedia content, whose multilingual aspect poses special research
challenges. SBE contributed a modest amount to this NSF award, for
workshops and pilot studies to explore the potential value of such an
archive for the social and behavioral sciences.

EXAMPLES OF EARLIER INFORMATION TECHNOLOGY TOOLS:

SBE has participated in the Digital Library Initiative since its very
inception in 1994, one of only three NSF directorates to do so (the
others being CISE and EHR). The Initiative\'s focus is to dramatically
advance the means to collect, store, and organize information of all
kinds in digital forms, and make it available for searching, retrieval,
and processing via communication networks. Thus, the Digital Library
Initiative was chiefly concerned with the development of new TOOLS, many
of which will benefit social and behavioral scientists across many
fields. Among the six projects of the first phase of DLI was The
Alexandria Digital Library, a working digital library with collections
of geographically referenced materials and services for accessing those
collections.

Many of the awards made in the second phase of DLI relate to the social
sciences ([\<http://www.dli2.nsf.gov/projects.html\>]{.underline}). The
Virtual Data Center (VDC) is an operational, open-source, digital
library to enable the sharing of quantitative social science research
data, and the development of distributed virtual collections of data and
documentation. The Cuneiform Digital Library is carrying out digital
documentation and electronic publication of Sumerian texts from the
third millennium BC. The National Gallery of the Spoken Word is creating
a significant, fully searchable online database of spoken word
collections spanning the 20th century. The Web-Lab Library is a software
and data library for experiments, simulations, and archiving primarily
for the social and economic sciences - a web-based library of software
for experiments to support theoretically driven experimentation and a
library of simulation programs for research and education. The Perseus
Digital Library chiefly serves humanistic scholars interested in the
Greco-Roman world, but it is expanding to include a wide range of
historical and archaeological materials of interest to social
scientists, ranging from ancient Egypt through nineteenth century
London. The eSkeletons Project website teaches students about the bony
anatomy of humans, baboons, and gorillas (including important
morphological and muscular features of the skeleton), thus contributing
to education in Physical Anthropology.

###### Nanoscale Science and Engineering

A revolution is occurring in science and technology, based on the
recently developed ability to measure, manipulate and organize matter on
the nanoscale (1 to 100 billionths of a meter), giving rise to
*nanoscience* and *nanotechnology*. The National Nanotechnology
Initiative (NNI, http://www.nano.gov) is a multi-agency effort within
the U.S. Government that supports a broad program of Federal nanoscale
research in materials, physics, chemistry, and biology. As the NNI is
only just commencing, there is a rare opportunity to integrate the
social and behavioral sciences as a core part of the NNI investment
strategy.

On September 28-29, 2000, a workshop was held at NSF on The Societal
Implications of Nanoscience and Nanotechnology, sponsored by SBE in
cooperation with the NSF Directorate for Engineering. The aim was to:
(1) survey current studies on the societal implications of
nanotechnology (educational, technological, economic, medical,
environmental, ethical, legal, etc.); (2) identify investigative and
assessment methods for future studies of societal implications; (3)
propose a vision for accomplishing nanotechnology's promise while
minimizing undesirable consequences. The extensive report of this
workshop has been published both on the web and in book form. A second
workshop is scheduled for December 3-4, 2001, on how cognitive science
can be integrated with nanotechnology, biotechnology and information
technology to enhance human performance. In future years, SBE expects to
support research on a wide range of nanotechnology topics, including
studies of societal implications, cognitive science research enabling
the integration of sciences to serve human needs, and projects to learn
how to maximize the rate and benefit of innovation in this new, emerging
area.

**Appendix G**

######### Career Program Awards

Faculty Early Career Development Awards (CAREER) is an NSF-wide activity
that encourages the early development of academic faculty as both
educators and researchers. It combines in a single award the support of
quality research and education and also encourages the full
participation of those traditionally underrepresented in science and
engineering. Tenure-track faculty within the first four years of their
initial full-time faculty appointment may be eligible for an award.
CAREER proposals must include a career-development plan that integrates
research and education activities. CAREER proposals are reviewed in the
appropriate Disciplinary program in the Division of Social and Economic
Sciences or the Division of Behavioral and Cognitive Sciences. The
following examples illustrate the breadth of the program over the
directorate and outcomes.

**Physical Anthropology**

SBE 9506892

PI: Todd Disotell

New York University

CAREER: Molecular Evolution of the Old World Monkeys: Research and
Instruction

This CAREER award to Dr. Disotell assisted in the establishment of a
molecular anthropology laboratory for the analysis of the Old World
Monkey (cercopithecoid) evolution. This branch of the primate tree is
rich in species. Until the advent of molecular approaches to systematics
the relationships among these species were contentious. In addition to
unraveling taxonomic, adaptive and phylogenetic aspects of
cercopithecoid evolution, molecular approaches allow the study of the
impact of behavioral phenomena (e.g. mating patterns) on genetic
structure of the groups.

Disotell\'s productivity is very impressive - both in scholarly output,
the educational component, and outreach to the community. Disotell
directed the dissertation research of four graduate students and
numerous undergraduates. He serves as the faculty mentor/sponsor of the
NYU Undergraduate Research Conference in which more than 40 students
present their research to the university community. He has lectured on
his research on an international scale, as well as at minority community
colleges, universities and high schools. He gave a seminar to the NYC
Medical Examiner\'s office on the importance of human variation,
published in peer-reviewed journals, as have students, and co-authored a
book on nonhuman primate molecular evolution. He acknowledges that the
CAREER award also formed the basis for his success in obtaining further
support.

**Archaeology**

SBE 9511894

PI: Mary Stiner

University of Arizona

CAREER: The Paleolithic Faunas of Hayonim Cave (Israel): An Integrated
Plan for Research and Education on Hominid Ecology

This CAREER award provided funds for Dr. Stiner to establish an
archaeological faunal analysis laboratory at the University of Arizona
and to conduct analysis of material excavated from the site of Hayonim
Cave in Israel. The laboratory serves both research and teaching
functions and the award has allowed students to travel to Israel to
participate in the work. The project has been directed to understanding
how faunal remains (mostly discards from ancient meals) can inform on
past human behavior and environmental interactions and Dr. Stiner and
her students have developed techniques to use these materials to
reconstruct not only foraging techniques but also less
immediately-related aspects of adaptation such as changes in population
density. The second goal is to examine chemical factors which lead to
the differential preservation of faunal remains. The results of this
still active award are impressive. Dr. Stiner and student colleagues
have identified several periods of major population change in the Old
World record prior to the domestication of plants and animals. They have
also shown the Neanderthals were capable of hunting full adult animals
and were not dependent on scavenging to obtain meat. Fourteen articles
have been published in books and major peer-review journals; seven have
students as sole or co-authors.

**Human Cognition and Perception**

SBE 9600724

PI: Ramesh S. Bhatt

University of Kentucky

CAREER: Visual Perception and Memory in Infancy

This CAREER award permitted the PI to pursue several lines of research
on aspects of object perception and memory in infancy: (1)
three-dimensional object perception derived from features in 2-D images,
(2) visual pop-out and attentional engagement, (3) perception and memory
of relational information, (4) dissociations between features and
feature relations and (5) developmental changes in object perception and
memory. Integrated education activities included regular teaching of two
courses a semester and mentoring of graduate and undergraduate students.
The graduate students learned to prepare research papers for publication
and for presentation in professional meetings. As important, the PI
developed a program to expose underrepresented students to science and
to research in psychology, by making it possible for minority high
school and undergraduate students to participate in the research project
during the summers.

The PI has been very productive, producing a dozen multi-authored
articles for journal publication, including four on which he was the
first author.

## Linguistics

SBE 9983630

PI: Jenny Saffran

University of Wisconsin Madison

CAREER: Statistical Learning in Language Acquisition

This on-going CAREER project is pursuing a line of integrated research
and education aimed at discovering the learning mechanisms that underlie
language acquisition in humans. The PI hopes to identify how patterns of
sounds and words are detected by young language learners. A variety of
experiments are being conducted, but as this award is only in its second
year, results are just emerging. The PI has taken seriously, however,
the intent of integrating education and research. A words missing?
graduate students, fifteen undergraduates and a high school student have
been involved in the experiments so far. The PI made an impressive
effort to turn the research process into a learning experience for all
involved, by incorporating discussions, reading, and other activities
into the experimental sessions. She will connect this work directly to
her large undergraduate classes as these come up in the sequence of
events.

**Societal Dimension for Engineering, Science, and Technology and**

**Law and Social Sciences**

SBE 9984111

PI: Jeffrey Stanton

Syracuse University

CAREER: Organizations, Technology, & Data about Workers

This still-active CAREER award is seeing the PI develop a range of
activities that integrate education and research. He has encouraged more
attention in his professional association, the Society of Industrial and
Organizational Psychologists, to implications of technology in the
workplace, developed new undergraduate and graduate student training and
a new course, and completed publications, manuscripts, and conference
presentations. Entering the second year of his CAREER award, he moved to
the School of Information Studies at Syracuse University.
Accomplishments to date include development of a resource guide for
employees and organizations on critical issues in technology, privacy, &
organizations (<http://personal.bgsu.edu/~stanton/pdt/index.html>); and
development and cross-cultural testing of instrument to measure
workplace privacy expectations. He is producing very interesting
findings concerning the exchange of information between worker and
managers.

**Economics**

SBE 9733979

PI: Owen Lamont

University of Chicago

Expectations, the Stock Market, and Investments

Several CAREER awards in economics relate back work by A. Michael Spence
of Stanford, who was recognized with a Nobel prize on 10 October 2001
for his NSF-supported research (twenty-five years ago) on signaling in
markets with incomplete and imbalanced information. Spence showed that
in any market with incomplete information, market prices and behavior
will convey information \"signals\" and affect the performance of the
market. Signaling theory has been widely applied most notably to
understand the internet and e-commerce. But Spence\'s insights into how
markets convey information through price signals also has influenced
finance. Noise traders - traders who buy stocks when prices rise and
sell when prices fall - can generate speculative bubbles in financial
markets. CAREER recipient Owen Lamont has developed an innovative
research and innovative education program around the concept of economic
tracking portfolios. This is a portfolio of assets with returns that
track an economic variable. Through his research Lamont has shown that
such portfolios are useful in forecasting macroeconomic variables and
hedging economic risk. He also created a new course called Portfolio
Management that seeks to educate and train both non-financial managers
who can use financial data to make economic decisions, and securities
industry managers who are technically able to address macroeconomic and
social needs through financial needs. Information including teaching
materials and specific papers on economic tracking can be found at
[http://gsb-www.uchicago.edu/fac/owen.lamont/research/wp.html]{.underline}.

**Decision, Risk, and Management Sciences**

SBE 9876079

PI: Rachel Croson

University of Pennsylvania

CAREER: Experimental Game Theory: Integrating Psychological Concerns
with Strategic Analysis

This CAREER project seeks to add some complexity to the classic economic
models of human decision making derived from economics by incorporating
social and psychological concerns. The investigator is examining such as
concepts equity and helping behavior (social psychology),
nonconsequential reasoning and framing (cognitive psychology), and
collectivism and individualism (cross-cultural psychology), and their
relationship to bargaining and public goods provision. The research,
which has resulted in at least four peer-reviewed journal articles, is
suggesting new, more descriptively accurate, models of human behavior.
The PI has involved a number of undergraduate research assistants in
this project, and the students are learning about research and
statistical methods, as well as about writing research proposals.

**Science and Technology Studies**

SBE 98-75012

PI: Angela Creager

Princeton University

CAREER: Life Science in the Atomic Age: The Radioactive Revolution of
Biomedical Research

This on-going project is built around research on the theme of materials
in biological research. The PI is examining the role of radio-isotopes
in biological experimentation, and the manner in which these materials
helped reconfigure biology after World War II, in large part because of
the changing relationship of biologists and physical scientists. A
separate piece of this research focuses on the contributions of
crystallographer Rosalind Franklin. There is an almost seamless
integration of the research into the classroom, as the PI brings
information on the changing nature of work in the life sciences into her
annual lecture courses in the history of biology. One important
development has been the incorporation of historic materials and
experiments into the class in the form not of simple demonstrations and
visual images to assist lectures, but as regular laboratory sessions,
twelve in all. Students must learn not only the biology involved, but
also the history behind the experiment. The course has been taught as
both an upper division course and as a freshman seminar. The graduate
student who helped redesign the course gained insights into teaching and
the history of biology that go well beyond traditional learning in the
history of science. The undergraduates \-- most of whom received credit
for a university distribution requirement \-- also saw science in a very
different manner as well.

**Sociology**

SBE 9875147

PI: Lisa Keister

Ohio State University

CAREER: Insider Lending and Economic Transition: Research and Teaching
in Social Connections and Financial Market Development in China

This PI is investigating the relationship between social connections,
financial market development, and economic outcomes during China\'s
economic transition. China has grown rapidly in recent decades without a
financial market and the PI proposes the reason for this is that
informal financial market substitutes based on strong social relations
have been developed. The PI is collecting network data on financial
exchange relations and firm financial performance, interview data on
state-owned specialty banks and the central bank, case study data on the
process by which firms and banks make financial strategy decisions, and
secondary data on growth and other financial market indicators. The PI
is developing two courses (one graduate and one undergraduate) that
explore the extent to which the structure of relationships among actors
is useful in explaining economic behavior.

**Appendix H**

+----------------------------------+------+------+------+------------+
| **SBE: Selected FY 2001 GPRA     |      |      |      |            |
| Investment Process and           |      |      |      |            |
| Management Goals**               |      |      |      |            |
+----------------------------------+------+------+------+------------+
| **[Goal]{.underline}**           | **[  | **[T | *    | **[As      |
|                                  | Mid- | hird | *[Fo | of]{.un    |
|                                  | Year | -Qua | urth | derline}** |
|                                  | S    | rter | -Qua |            |
|                                  | tatu | S    | rter |            |
|                                  | s]{. | tatu | S    |            |
|                                  | unde | s]{. | tatu |            |
|                                  | rlin | unde | s]{. |            |
|                                  | e}** | rlin | unde |            |
|                                  |      | e}** | rlin |            |
|                                  |      |      | e}** |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| 95 percent of full proposals     | 99%  | 99%  | 99%  | September  |
| will be received electronically  |      |      |      | 30, 2001   |
| through FastLane.                |      |      |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| Show an increase over 1997 in    | Not  | Not  | 8    | September  |
| the total number of hires to S&E |      |      | w    | 30, 2001   |
| positions from underrepresented  | A    | A    | omen |            |
| groups. FY 1997 **NSF**          | vail | vail | and  |            |
| baseline: 16 females and 15      | able | able | 3    |            |
| members of underrepresented      |      |      | mi   |            |
| minority groups were hired.      |      |      | nori |            |
|                                  |      |      | ties |            |
|                                  |      |      | were |            |
|                                  |      |      | h    |            |
|                                  |      |      | ired |            |
|                                  |      |      | (out |            |
|                                  |      |      | of   |            |
|                                  |      |      | 13   |            |
|                                  |      |      | hir  |            |
|                                  |      |      | es.) |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| At least 85 percent of basic and | 93%  | Not  | 85%  | September  |
| applied research funds will be   |      | A    |      | 30, 2001   |
| allocated to projects which      |      | vail |      |            |
| undergo merit review.            |      | able |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| 95 percent of program            | 100% | 100% | 100% | September  |
| announcements will be available  |      |      |      | 30, 2001   |
| to relevant individuals and      |      |      |      |            |
| organizations at least 3 months  |      |      |      |            |
| prior to the proposal deadline   |      |      |      |            |
| or target date.                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| For 70 percent of proposals, be  | 74%  | 75%  | 72%  | September  |
| able to tell applicants whether  |      |      |      | 30, 2001   |
| their proposals have been        |      |      |      |            |
| declined or recommended for      |      |      |      |            |
| funding within 6 months of       |      |      |      |            |
| receipt.                         |      |      |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| Increase the average annualized  | \$40 | \$50 | \$66 | September  |
| award size for research projects | ,483 | ,143 | ,567 | 30, 2001   |
| to \$110,000.                    |      |      |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| Increase the average duration of | 2.4  | 2.4  | 2.3  | September  |
| awards for research projects to  |      |      |      | 30, 2001   |
| at least 3.0 years.              |      |      |      |            |
+----------------------------------+------+------+------+------------+
|                                  |      |      |      |            |
+----------------------------------+------+------+------+------------+
| Award 30 percent of research     | 33%  | 35%  | 37%  | September  |
| grants to new investigators.     |      |      |      | 30, 2001   |
+----------------------------------+------+------+------+------------+

[^1]: \"High risk research\" refers to projects that are judged to have
    a reasonable chance of achieving NSF goals or even producing a
    scientific breakthrough, but for which there is no scientific
    concensus or experience to judge the likelihood of success with any
    precision. \"High risk\" proposals often provoke a wide range of
    opinions as to whether they should be funded.

[^2]: Each research grant cited has a seven-digit serial number, the
    first two digits of which give the year in which the grant was first
    awarded. In many cases the research results came several years after
    that date, particularly for grants that were extended.