Survey Methodology:
Survey of Earned Doctorates

1. Overview top

a. Purpose

The Survey of Earned Doctorates (SED) is designed to obtain data on the number and characteristics of individuals receiving research doctoral degrees from U.S. institutions. The results of the survey are used to assess trends in doctorate production. This information is vital for educational and labor force planners within the Federal Government and in academia.

b. Respondents

The survey is completed by individuals receiving research doctorates since 1958. The graduate schools are responsible for submitting completed forms and sending them to be compiled in the Doctorate Records File (DRF).

c. Key variables

2. Survey Design top

a. Target population and sample frame

The population for the 2001 survey consisted of all individuals receiving a first research doctorate (second doctorates are not included) from a U.S. academic institution in the 12-month period ending on June 30, 2001. The total universe consisted of 40,744 persons in over 400 institutions.

b. Sample design

The SED is a census of all individuals receiving a research doctorate from a U.S. institution in the academic year (July 1st through June 30th of the next year).

c. Data collection techniques

Survey instruments were mailed to institutional coordinators in the graduate schools who distributed the survey forms to individuals receiving a research doctorate. The institutional coordinators also collected the forms and returned them to the contractor for editing/processing. Follow-up of missing critical items and forms is also conducted.

Since the survey collects a complete college education history, coding of institutions is very important. Because one-third of doctorate recipients from U.S. universities are from foreign countries, a coding manual for foreign institutions of higher education was developed by the U.S. Department of Education, entitled "Mapping the World of Education: The Comparative Database System" (3 Volumes).

The survey was conducted by the National Research Council of the National Academy of Sciences under contract to SRS until 1997; the National Opinion Research Center (Chicago, IL.) currently conducts the survey.

d. Estimation techniques

Since this is a census, no estimation techniques are used.

3. Survey Quality Measures top

a. Sampling variability

Since this is a census, there is no sampling and consequently no sampling variability.

b. Coverage

Due to the high visibility and participation of doctorate-granting institutions, we believe that there is little, if any, coverage error in the first stage sample. Since the graduate schools collect the questionnaires from degree recipients at the time of doctoral completion, the second stage sample frame is also quite accurate. Comparisons of the number of research doctorates covered by the SED with the total number of doctorates (including nonresearch doctorates) reported by institutions to the National Center for Education Statistics (NCES) confirm that coverage of research doctorates in the SED is excellent. Institutions which begin to confer research doctorates are asked to join the Survey of Earned Doctorates. If a university does not wish to join, this may result in very slight undercounts.

c. Nonresponse

(1) Unit nonresponse - Of the 40,744 new research doctorates granted in 2001, 92 percent of degree recipients returned their survey instruments, approximately the same response rate as the last 5 years. Limited records (containing field of study, doctorate institution, sex, and baccalaureate degree) for nonrespondents are constructed based on information collected from commencement programs, graduation lists, and other similar public records. Unit nonresponse was concentrated in certain institutions. Graduates from 10 institutions accounted for 28 percent of nonrespondents.

(2) Item nonresponse - Item nonresponse rates in 2001 for the most frequently used variables ranged from 0.2 percent for sex to 6.2 percent for race/ethnicity. No imputation was performed for missing data items.

Key variablesItem response rate
Sex99.8
Citizenship94.1
Country of non U.S. citizens98.8
Race/ethnicity93.8
Postdoctoral Location (U.S. or Foreign)92.1
Source: NSF/NIH/NEH/USED/USDA/NASA, Survey of Earned Doctorates

d. Measurement

Measurement error is attributable to several sources: 1) the error rate in recording data from respondents to the SED is calculated at under 1 percent; 2) measurement error exists for some of the variables due to the difficulty of defining some concepts, such as field of specialization. Since an individual may classify his or her field of specialty differently than the department or university does in its institutional reporting, there can be differences between the SED and the NCES Completions Survey for certain fields.

e. Quality profile

A complete quality profile for the 2001 SED is available upon request.

A complete list of methodological research concerning the Survey of Earned Doctorates is available upon request.

4. Trend Data top

The survey has collected information on doctoral recipients annually since 1957. More limited information is contained on the SED data file for research doctorate recipients from 1920-1956.

5. Availability of Data top

a. Publications

The data from this survey are published annually in Detailed Statistical Tables in the series Science and Engineering Doctorate Awards, all available on the SRS Web site. Additional data from this survey for earlier years are published in Detailed Statistical Tables in the series Science and Engineering Doctorates. The most recent report in this series (NSF 93-301) is for 1960-91. Information from the survey is also included in the series Science and Engineering Degrees, in Science and Engineering Indicators, in Women, Minorities, and Persons With Disabilities in Science and Engineering, in Foreign Participation in U.S. Academic Science and Engineering, and in special publications such as Undergraduate Origins of Recent Science and Engineering Doctorate Recipients. Results are also included in a publication series on all fields of study, Doctorate Recipients from United States Universities: Summary Report; this interagency report is sponsored by the Federal agencies that support the Survey of Earned Doctorates (6 in 2001). The report is produced by the National Opinion Research Center (NORC) and is available on their website.

b. Electronic access

Data from this survey are available on the SRS Web site and on WebCaspar. Access to restriced data for researchers interested in analyzing microdata can be arranged through a licensing agreement.

c. Contact for more information

Additional information about this survey can be obtained by contacting:

Susan T. Hill
Director, Doctorate Data Project
Human Resources Statistics Program
Division of Science Resources Statistics
National Science Foundation
4201 Wilson Boulevard, Suite 965
Arlington, VA 22230

Phone: (703) 292-7790
E-mail: sthill@nsf.gov

Last Modified: Oct 25, 2002 Comments to srsweb@nsf.gov