Survey of Research and Development Expenditures at Universities and Colleges

NSF Form 411 (08-06)

FORM APPROVED
OMB No. 3145-0100
Expiration Date: 05/31/09

NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

SURVEY OF RESEARCH AND DEVELOPMENT EXPENDITURES
AT UNIVERSITIES AND COLLEGES, FY 2008
Please submit your survey data by January 30, 2009.

Scope:

The Web address for submitting your data:
http://www.nsfrdsurvey.org/

This survey collects data on expenditures by universities and colleges for
separately budgeted research and development (R&D). Definitions used are
compatible with OMB Circular A-21, revised May 10, 2004. Items 1 and 2 ask
for current fund expenditures by source of funds and by field of science and
engineering. Item 3 collects data on that portion of current fund expenditures
reported in Items 1 and 2 that went for the purchase of scientific and
engineering research equipment. Item 2A asks for current fund expenditures
in non-science and engineering fields, and Item 2B requests information on
the Federal Government agency sources of current fund expenditures by field
of science and engineering.

Or, mail this form to:
Macro International Inc.
7315 Wisconsin Avenue, Suite 400W
Bethesda, MD 20814-3202
Or, e-mail your response to:
[email protected]
The Web password and user ID were e-mailed to each institution. If you have
questions about this or any other issue, please call: Survey Support at Macro,
1-866-349-8626. For general survey questions, you may also contact Ronda
Britt of NSF at [email protected] or (703) 292-7765.

Definitions:

Your cooperation in returning the survey questionnaire promptly is very
important. This information is solicited under the authority of the National
Science Foundation Act of 1950, as amended. Your response is entirely
voluntary; your failure to provide some or all of the information will in no way
adversely affect your institution.

Research and Development (R&D). R&D for purposes of this survey
is the same as “organized research” as defined in Section B.1.b. of OMB
Circular A-21 (revised). It includes all R&D activities of an institution that
are separately budgeted and accounted for. R&D includes both “sponsored
research” activities (sponsored by Federal and non-Federal agencies and
organizations) and “university research” (separately budgeted under an
internal application of institutional funds).

Report data for your institution's 2008 fiscal year. All financial data should
be reported in thousands of dollars; for example, an expenditure of $25,342
should be rounded to the nearest thousand dollars and reported as $25.
Where exact data are not available, estimates are acceptable. Your
estimates will be better than ours.

Research is systematic study directed toward fuller knowledge or
understanding of the subject studied. Research is classified as either
basic or applied, according to the objectives of the investigator.

Include data for branches and all organizational units of your institution, such
as medical schools and agricultural experiment stations. Data on research
centers and facilities administered by your institution should be included.
In addition, include hospitals or clinics owned, operated, or controlled by
universities, and integrated operationally with the clinical programs of your
medical schools.

Development is systematic use of the knowledge or understanding
gained from research, directed toward the production of useful materials,
devices, systems, or methods, including design and development of
prototypes and processes.
Current fund expenditures. These are expenditures of funds available
for current operations. Such expenditures include all unrestricted gifts and
restricted current funds to the extent that such funds were expended for
current operating purposes.

NOTE: Academic institutions should exclude data for federally funded
research and development centers (FFRDCs). Data for these facilities are
collected separately.
It is estimated that response to this survey will require 22 hours. If you wish
to comment on this burden, please contact Suzanne H. Plimpton of NSF at
(703) 292-7556, or e-mail [email protected].

Please circle the month in which your institution's fiscal year begins:
Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec
Primary Contact—Person who is responsible for your institution's survey answers:
Name (Mr., Mrs., Ms., Dr. (circle one)):
Title:

E-mail:

Telephone number:

Fax:

Address:

Date submitted:

Alternate Contact—Person to contact if the Primary Contact is unavailable. This person should know that you are the Primary Contact for
the survey. Examples include your supervisor, the data preparer, or another coworker:
Name (Mr., Mrs., Ms., Dr. (circle one)):
Title:

E-mail:

Telephone number:

Fax:
1

Instructions for Items 1 and 2
Separately budgeted research and development (R&D) includes all funds expended for activities specifically organized
to produce research outcomes and commissioned by an agency either external to the institution or separately budgeted
by an organizational unit within the institution. Include research equipment purchased under research project awards
from “current fund” accounts. Also include research funds for which an outside organization, educational or other, is
a subrecipient. Exclude training grants, public service grants, demonstration projects, clinical trials, and departmental
research expenditures that are not separately budgeted. Also, exclude any R&D expenditures in the fields of education,
law, humanities, music, the arts, physical education, library science, and all other non-science fields. These non-science
and engineering R&D expenditures are reported in Item 2A. Allocate funding to the original sources whenever possible,
as specified below. If this information is unknown, report the proximate funding source.
Total
a. Federal Government. Report awards for R&D (including direct and reimbursed indirect costs) by all agencies of the
Federal Government.
b. State and local governments. Include funds for R&D (including direct and reimbursed indirect costs) from State,
county, municipal, or other local governments and their agencies. Include here State funds that support R&D at
agricultural and other experiment stations.
c. Industry. Include all awards for R&D (including direct and reimbursed indirect costs) from profit-making organizations,
whether engaged in production, distribution, research, service, or other activities. Do not include awards from
nonprofit foundations financed by industry; these should be included under “All other sources.”
d. Institution funds. Report funds, including related indirect costs, that your institution spent for R&D activities from the
following unrestricted sources: general-purpose State or local government appropriations; general-purpose awards
from industry, foundations, or other outside sources; tuition and fees; endowment income; gifts; and other institutional
funds. In addition, estimate your institution's on-campus and off-campus unreimbursed indirect costs associated with
externally funded R&D projects, including mandatory and voluntary cost sharing. To estimate unreimbursed indirect
costs, preferably on a project-by-project basis, use your appropriate on-campus or off-campus negotiated research
indirect cost rate(s) multiplied by the corresponding base(s) minus actual indirect cost recovery.
e. All other sources. Include awards for R&D (including direct and reimbursed indirect costs) from nonprofit
foundations and voluntary health agencies as well as from all other sources not elsewhere classified. Also include
gifts from individuals that are restricted by the donor to research. Funds from foundations that are affiliated with, or
granted solely to your institution, should be included under “Institution funds.” Funds for R&D received from a health
agency that is a unit of a State or local government should be included under “State and local governments.”

Instructions for Items 1A and 1B
For Federal awards, subrecipient means the non-Federal entity that expends Federal awards received from a passthrough entity to carry out a Federal program, but does not include an individual that is a beneficiary of such a program. A
subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.
—OMB Circular A-133, Section .105 (revised June 27, 2003). For awards from non-Federal sources, the subrecipient
definition is analogous to the Federal one.
Higher Education [subrecipients] refers to all academic colleges and universities and all units owned, operated, and
controlled by such institutions.

2

Item 1. How much of your current fund expenditures for separately budgeted research and development in the
sciences and engineering (including indirect costs) came from the following sources in FY 2008?

Line
No.

Source of Funds

a. Federal Government

1110

b. State and local governments
c. Industry
d. Institution funds (sum of lines 1161 and 1162)

1125
1150
1160

(1) Institutionally financed organized research

1161

(2) Unreimbursed indirect costs and related sponsored research

1162

e. All other sources

1175

f. TOTAL (sum of a through e)

1100

(1)
Total
(Dollars in
thousands)
$

$

(2)
What Percentage of
Federal & Total
Funds Are Basic
Research?
%
Basic research is directed
toward an increase of
knowledge; it is research
where the primary aim of
the investigator is a fuller
knowledge or understanding
of the subject under study
rather than a specific
application thereof.
%

BASIC RESEARCH
Please provide the
percentages of Federal and
total expenditures that are
basic research (not applied
research) as defined in
column (2).
CONFIDENTIALITY
Information received from
individual institutions in
lines d(1) and d(2), or
estimates for basic research
expenditures, will NOT be
published or released; only
aggregate totals will appear in
tabulations.

Item 1A. How much of your total (item 1, line f) and Federal (item 1, line a) R&D expenditures were passed through
by your institution to subrecipients? (If all information is not available, report those amounts that are available.
Exclude vendor relationships.)
(Dollars in thousands)

Line
No.

Subrecipients
To higher education subrecipients

1910

To other subrecipients

1921

To all subrecipients (sum of a and b)

1900

(1) Total

$

(2) Federal

$

Item 1B. How much of your total (item 1, line f) and Federal (item 1, line a) R&D expenditures did your institution
receive as a subrecipient? (If all information is not available, report those amounts that are available.
Exclude vendor relationships.)
(Dollars in thousands)

Line
No.

Your Institution as a Subrecipient
From higher education pass-through entities

1610

From other pass-through entities

1620

From all pass-through entities (sum of a and b)

1600

3

(1) Total

$

(2) Federal

$

Item 2. Allocate your FY 2008 current fund expenditures (total and federally financed) for separately budgeted
research and development (including indirect costs) by field of science and engineering.
Please note that total R&D expenditures in line j, column (1) should be the same as reported in Item 1, line f.
Total Federal R&D expenditures in line j, column (2) should be the same as reported in Item 1, line a.
Please see pages 8 and 9 for the NSF/NCES Crosswalk of Discipline Codes.

(Dollars in thousands)

Line
No.

Field of Science and Engineering
a. Engineering (Total)

1410

(1) Aeronautical & astronautical

1411

(2) Bioengineering/biomedical engineering

1418

(3) Chemical

1412

(4) Civil

1413

(5) Electrical

1414

(6) Mechanical

1415

(7) Metallurgical & materials

1417

(8) Other

1416

b. Physical Sciences (Total)

(1) Total

(2) Federal

$

$

$

$

1420

(1) Astronomy

1421

(2) Chemistry

1422

(3) Physics

1423

(4) Other

1424

c. Environmental Sciences (Total)

1430

(1) Atmospheric

1431

(2) Earth sciences

1432

(3) Oceanography

1433

(4) Other

1434

d. Mathematical Sciences (Total)

1441

e. Computer Sciences (Total)

1442

f. Life Sciences (Total)

1450

(1) Agricultural

1451

(2) Biological

1452

(3) Medical

1453

(4) Other

1454

g. Psychology (Total)

1460

h. Social Sciences (Total)

1470

(1) Economics

1471

(2) Political science

1472

(3) Sociology

1473

(4) Other

1474

i. Other Sciences, not elsewhere classified (Total)

1480

j. Total (sum of a through i)

1400

Please EXCLUDE from your response any R&D expenditures in the fields of education, law, humanities, music, the arts, physical education,
library science, and all other non-science and engineering fields. These non-science and engineering R&D expenditures are reported in
Item 2A.

4

Item 3. Allocate the portion of your FY 2008 current fund expenditures (total and federally financed)
for separately budgeted research and development that went for the purchase of research equipment
by field of science and engineering.
Please report that portion of current fund expenditures reported in items 1 and 2 that went for the purchase of research equipment. This includes all
research equipment purchased under sponsored research project awards from current fund accounts.
For column (1), report current fund expenditures for R&D from all sources: Federal Government, State, county, municipal or other governments and
their agencies (including State funds supporting R&D at agricultural experiment stations); industry; institution funds; and private foundations and
voluntary health agencies, individuals, and associations.
For column (2), include funds from awards for R&D sponsored by agencies of the Federal Government.
Please see pages 8 and 9 for the NSF/NCES Crosswalk of Discipline Codes.

(Dollars in thousands)

Line
No.

Field of Science and Engineering
a. Engineering (Total)

1810

(1) Aeronautical & astronautical

1811

(2) Bioengineering/biomedical engineering

1818

(3) Chemical

1812

(4) Civil

1813

(5) Electrical

1814

(6) Mechanical

1815

(7) Metallurgical & materials

1817

(8) Other

1816

b. Physical Sciences (Total)

(1) Total

(2) Federal

$

$

$

$

1820

(1) Astronomy

1821

(2) Chemistry

1822

(3) Physics

1823

(4) Other

1824

c. Environmental Sciences (Total)

1830

(1) Atmospheric

1831

(2) Earth sciences

1832

(3) Oceanography

1833

(4) Other

1834

d. Mathematical Sciences (Total)

1841

e. Computer Sciences (Total)

1842

f. Life Sciences (Total)

1850

(1) Agricultural

1851

(2) Biological

1852

(3) Medical

1853

(4) Other

1854

g. Psychology (Total)

1860

h. Social Sciences (Total)

1870

(1) Economics

1871

(2) Political science

1872

(3) Sociology

1873

(4) Other

1874

i. Other Sciences, not elsewhere classified (Total)

1880

j. Total (sum of a through i)

1800

Current fund expenditures in each field for scientific research equipment is that PORTION or SUBTOTAL of the amounts reported in the
corresponding cells of the “Total” and “Federal” columns in Item 2.

5

Item 2A. What were your current fund expenditures (total and federally financed) for separately budgeted research
and development (including indirect costs) for non-science and engineering fields in FY 2008?
NOTE:

For rows 2A(a) through 2A(i), report only data that have not been reported in Items 1 and 2 on this survey.
Non-S&E R&D should include any separately budgeted scholarly and creative activity, but should exclude training.

(Dollars in thousands)

Line
No.

Non-Science & Engineering Fields
a. Education

1510

b. Law

1520

c. Humanities

1530

d. Visual & Performing Arts

1540

e. Business and Management

1550

f. Communication, Journalism, and Library Science

1560

g. Social Work

1570

h. Other Non-S&E Fields (please specify)

1580

i. Total, Non-S&E Fields (sum of a through h)

1500

j. Total, S&E (from Item 2, line j)

1400

k. Grand Total (sum of i and j)

2000

(1) Total

(2) Federal

$

$

$

$

CROSSWALK BETWEEN NSF NON-SCIENCE & ENGINEERING FIELDS AND THE NATIONAL CENTER FOR
EDUCATION STATISTICS (NCES) CLASSIFICATION OF INSTRUCTIONAL PROGRAMS (CIP)

Questionnaire Field

CIP
Code

CIP Program Category Title

Education

13.xx

Education

Law

22.xx

Legal Professions and Studies

Humanities

16.xx

Foreign Languages, Literatures, and Linguistics

23.xx

English Language and Literature/Letters

24.xx

Liberal Arts and Sciences, General Studies and Humanities

38.xx

Philosophy and Religious Studies

39.xx

Theology and Religious Vocations

54.xx

History (except History of Science)

Visual & Performing Arts

50.xx

Visual and Performing Arts

Business and Management

52.xx

Business, Management, Marketing, and Related Support Services

Communication, Journalism, and Library Science

09.xx

Communication, Journalism and Related Programs

25.xx

Library Science

10.xx

Communications Technologies/Technicians and Support Services

Social Work

44.07

Social Work

Other Non-S&E Fields

31.xx

Parks, Recreation, Leisure and Fitness Studies

29.xx

Military Technologies

6

Item 2B. What were the Federal Government agency sources for your FY 2008 federally financed
current fund expenditures for separately budgeted research and development (including indirect costs)
(item 2, column 2) by field of science and engineering?
Total Federal expenditures reported in Item 2B, column 1 should be the same as the Federal expenditures reported in Item 2, column 2.
Allocate funding to the original sources whenever possible. If that information is unknown, report the proximate funding source.
KEY: USDA, Department of Agriculture; DoD, Department of Defense; DOE, Department of Energy; HHS, Department of Health and Human Services; NASA,
National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” Federal sources include all other Federal agencies.

(Dollars in thousands)
Field of Science and
Engineering
a. Engineering (Total)
(1) Aeronautical & astronautical

Line
No.

(1)
Total
Federal

1410

$

1418

(3) Chemical

1412

(4) Civil

1413

(5) Electrical

1414

(6) Mechanical

1415

(7) Metallurgical & materials

1417

(8) Other

1416

1421

(2) Chemistry

1422

(3) Physics

1423

(4) Other

1424

1431

(2) Earth sciences

1432

(3) Oceanography

1433

(4) Other

1434

d. Mathematical Sciences (Total)

1441

e. Computer Sciences (Total)

1442

f. Life Sciences (Total)

1450

(5)
HHS*

(6)
NASA

(7)
NSF

(8)
Other

1451

(2) Biological

1452

(3) Medical

1453

(4) Other

1454

g. Psychology (Total)

1460

h. Social Sciences (Total)

1470

(1) Economics

(4)
DOE

1430

(1) Atmospheric

(1) Agricultural

(3)
DoD

1420

(1) Astronomy

c. Environmental Sciences (Total)

(2)
USDA

1411

(2) Bioengineering/biomedical engineering

b. Physical Sciences (Total)

Specific Federal Agencies

1471

(2) Political science

1472

(3) Sociology

1473

(4) Other

1474

i. Other Sciences (Total)

1480

j. Total (sum of a through i)

1400

$

* Includes NIH.
Please EXCLUDE from your response any R&D expenditures in the fields of education, law, humanities, music, the arts, physical education,
library science, and all other non-science and engineering fields.

7

CROSSWALK BETWEEN NSF FIELDS OF SCIENCE & ENGINEERING AND THE
NATIONAL CENTER FOR EDUCATION STATISTICS (NCES) CLASSIFICATION OF INSTRUCTIONAL PROGRAMS
The left-hand column shows each of the detailed fields as displayed on the questionnaire form. The right-hand column shows the NCES fields that are included
within the NSF category as well as some additional illustrative disciplines. These additional disciplines are intended to be guidelines—not sharp definitions—as to
what should be reported under a particular field.
QUESTIONNAIRE FIELD
a. ENGINEERING
(1) Aeronautical and
Astronautical
(2) Bioengineering/
Biomedical
Engineering

(3) Chemical

NCES CLASSIFICATION AND ADDITIONAL ILLUSTRATIVE DISCIPLINES
Aerospace, Aeronautical and
Astronautical Engineering
(also aerodynamics, space technology)
14.05
Biomedical/Medical Engineering
14.02

(also all bioengineering)
03.0509 Wood Science and Wood
Products/Pulp and Paper
Technology
14.07
Chemical Engineering
(also petroleum refining process)
04.02
Architecture
14.04
Architectural Engineering

14.25
14.32

Petroleum Engineering
Polymer/Plastics
Engineering

Civil Engineering
Environmental/
Environmental Health
(4) Civil
Engineering
(also geotechnical, hydraulic, hydrologic, sanitary and environmental, structural, transportation)
14.09
Computer Engineering, General
14.10
Electrical, Electronics, and
(5) Electrical
Communications Engineering
(also power engineering)
(6) Mechanical
14.11
Engineering Mechanics
14.19
Mechanical Engineering
14.31
Materials Science
14.06
Ceramic Sciences and Engineering 14.21
Mining and Mineral
14.18
Materials Engineering
Engineering
40.9999 Physical Sciences, Other
(7) Metallurgical &
14.20
Metallurgical Engineering
14.28
Textile Sciences and
Materials
Engineering
(also welding)
14.01
Engineering, General
14.22
Naval Architecture and
14.24
Ocean Engineering
14.12
Engineering Physics
Marine Engineering
14.27
Systems Engineering
14.13
Engineering Science
14.23
Nuclear Engineering
14.99
Engineering, Other
(8) Other
30.06
Systems Science and Theory
(also agricultural engineering, marine and ocean engineering systems)
Astronomy and Astrophysics
b. PHYSICAL SCIENCES 40.02
(1) Astronomy
(also Gamma-ray, neutrino, optical and radio, X-ray)
40.05
Chemistry
(2) Chemistry
(also analytical, inorganic, organic, organo-metallic, pharmaceutical, physical, polymer sciences (except biochemistry))
40.08
Physics
(also acoustics, atomic/molecular, chemical, condensed matter, elementary particles, nuclear structure, optics, plasma, theoretical/
(3) Physics
mathematical)
40.01
Physical Sciences
40.99
Physical Sciences, Other
(4) Other
(used for multidisciplinary projects within physical sciences and for disciplines not requested separately)
40.04
Atmospheric Sciences and
c. ENVIRONMENTAL
Meteorology
SCIENCES
(1) Atmospheric
(also aeronomy, extraterrestrial atmospheres, solar, weather modification)

(2) Earth Sciences

(3) Oceanography

(4) Other
d. MATHEMATICAL
SCIENCES

14.08
14.14

15.1102 Survey Technology/
40.0601 Geology/Earth Science,
Surveying
General
40.06
Geological and Earth Sciences/
45.0702 Cartography
Geosciences
(also engineering geophysics, general geology, geodesy and gravity, geomagnetism, hydrology, inorganic, isotopic, lab
geophysics, organic geochemistry, paleomagnetism, paleontology, physical geography, seismology)
26.1302 Marine Biology and Biological
Oceanography
40.0607 Oceanography, Chemical and
Physical
(also biological, chemical, geological, physical)
(used for multidisciplinary projects within Earth, Atmospheric, and Ocean Sciences)
14.3701 Operations Research
27.03
Applied Mathematics
27.99
Mathematics and Statistics,
27.01
Mathematics
27.05
Statistics
Other
30.08
Mathematics and Computer
Science
(also algebra, analysis, foundations and logic, geometry, numerical analysis, topology)
8

QUESTIONNAIRE
FIELD

NCES Classification and Additional Illustrative Disciplines (cont.)

Computer and Information
52.1201 Management Information Systems,
Sciences and Support Services
General
(also design, development, and application of computer capabilities to data storage and manipulation, information science)
01.03
Agricultural Production
01.07
International Agriculture
03.
Natural Resources and
f. LIFE SCIENCES
Operations
01.12
Soil Sciences
Conservation
01.0303 Aquaculture
04.06
Landscape Architecture
(1) Agricultural
(also agricultural chemistry, agronomy, animal science, conservation, fish and wildlife, forestry, horticulture)
26.0505 Parasitology
19.05
Foods, Nutrition, and Related
26.1001 Pharmacology
26.0507 Immunology
Services
26.1004 Toxicology
26.0701 Zoology/Animal Biology
26.01
Biology, General
26.1101 Biometry/Biometrics
26.0202 Biochemistry
26.1102 Biostatistics
26.0702 Entomology
26.0707 Animal Physiology
26.0203 Biophysics
26.1301 Ecology
26.0799 Zoology/Animal Biology, Other
26.03
Botany/Plant Biology
26.1309 Epidemiology
26.04
Cell/Cellular Biology and
26.99
Biological and Biomedical
26.0804 Animal Genetics
(2) Biological
Anatomical Sciences
26.09
Physiology, Pathology and Related
Sciences, Other
26.0403 Anatomy
Sciences
30.1901 Nutrition Sciences
26.05
Microbiological Sciences and
26.0910 Pathology/Experimental Pathology
Immunology
26.0503 Medical Microbiology and
Bacteriology
(also allergies and immunology, biogeography, biotechnology, pathology, physical anthropology, virology)
26.0209 Radiation Biology/Radiobiology
51.1201 Medicine (MD)
51.20
Pharmacy, Pharmaceutical
26.9999 Biological and Biomedical
51.1610 Psychiatric/Mental Health Nurse/
Sciences, and Administration
Sciences, Other
Nursing
51.21
Podiatric Medicine/Podiatry
30.2401 Neuroscience
51.17
Optometry (OD)
(DPM)
51.04
Dentistry (DDS, DMD)
51.19
Osteopathic Medicine/Osteopathy 51.22
Public Health
(DO)
51.24
Veterinary Medicine (DVM)1
Anesthesiology
Internal Medicine
Ophthalmology
Orthopedics/Orthopedic Surgery
Cardiology
Medical Programs
Colon and Rectal Surgery
Other
Otorhinolaryngology
(3) Medical
Dental/Oral Surgery
Neonatal-Perinatal Medicine
Pediatrics
Dermatology
Neurological Surgery
Pharmacology
Family Medicine
Neurology
Physical and Rehabilitative Medicine
Plastic Surgery
Gastroenterology
Nuclear Medicine
General Surgery
Nuclear Radiology
Preventive Medicine
Geriatric Medicine
Obstetrics and Gynecology
Psychiatry
Hematology
Oncology
Thoracic Surgery
Urology
(exclude all residency programs)
30.11
Gerontology
51.10
Clinical/Medical Laboratory
51.2308 Physical Therapy/Therapist
Science and Allied Professions
51.2399 Rehabilitation and Therapeutic
51.02
Communication Disorders
Sciences and Services
51.16
Nursing
Professions, Other
(4) Other
51.07
Health and Medical Administrative 51.2306 Occupational Therapy/Therapist
51.99
Health Professions and Related
Clinical Sciences, Other
Services
(used for multidisciplinary projects within life sciences)
42.01
Psychology, General
42.17
School Psychology
42.02
Clinical Psychology
51.2301 Art Therapy/Therapist
g. PSYCHOLOGY
(also animal behavior, educational, experimental, human development and personality, social)
01.0103 Agricultural Economics
45.06
Economics
52.06
Business/Managerial
h. SOCIAL
Economics
SCIENCES
(1) Economics
(also applied, development, econometrics, industrial, international, labor, public finance and fiscal policy, quantitative, resource)
44.04
Public Administration
45.09
International Relations and Affairs
44.05
Public Policy Analysis
45.10
Political Science and Government
44.99
Public Administration and Social
(2) Political Science
Service Professions, Other
(also comparative government, legal systems, political theory, regional studies)
45.02
Anthropology (Social and Cultural 45.05
Demography and Population
45.11
Sociology
only)
Studies
(3) Sociology
(also comparative and historical, complex organizations, cultural and social structure, group interactions, social problems and welfare
theory)
04.03
City/Urban, Community and
43.01
Criminal Justice and Corrections
45.03
Archeology
Regional Planning
44.02
Community Organization and
45.07
Geography and Cartography
05.
Area, Ethnic, Cultural, and
Advocacy
45.12
Urban Studies/Affairs
(4) Other
Gender Studies
45.01
Social Sciences, General
45.99
Social Sciences, Other
16.0102 Linguistics
(also history of science, socioeconomic geography)
i. OTHER, n.e.c.
(used when the multidisciplinary and interdisciplinary aspects make the classification under one primary field impossible)
1
Institutions with schools of veterinary medicine should distribute R&D expenditures among the appropriate disciplines (agricultural, biological, and medical)
rather than only in medical sciences.
e. COMPUTER
SCIENCES

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Questions and Answers
This document answers common questions about the academic R&D expenditures survey.

DATA USES AND AVAILABILITY
How are these data typically used?
Congress has directed NSF 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....”
As part of its response, the Division of Science Resources Statistics (SRS) conducts annual surveys of the research and development
(R&D) expenditures at the Nation’s universities and colleges.
Congress and Federal and State government planners use the data for science policy analysis, national and international studies,
legislative hearing reports, budget formulation sessions, and other measurements of the adequacy of the Nation’s research base.
Academic institutions use the information for policy analysis, publicity, and other purposes. Industrial firms often request data to
prepare for on-campus recruiting. The data often appear in higher education studies and publications.
How are the data made available?
NSF’s annual Survey of Research and Development Expenditures at Universities and Colleges compiles detailed data in a
comprehensive document, available on request. Institutional profiles show trend data for responses at the institutional level from
all academic science and engineering (S&E) surveys.
Survey data are now available on the Web. To obtain the most recent survey publications and data tables, data files, institutional
profiles, and access to WebCASPAR, the Web-based Computer-Aided Science Policy Analysis and Research database system, direct
your browser to http://www.nsf.gov/statistics/.

FIELD OF SCIENCE CLASSIFICATIONS
How should I assign field classifications for R&D performed in multidisciplinary centers?
Multidisciplinary research should be categorized by individual research project according to the nature of the research performed.
When individual projects encompass multiple fields of S&E, prorate expenditures to report the proportions of each discipline involved.
Do not lump funds together into “other” field categories unless the type of research is actually defined as “other.” NSF recommends
crediting such research to the appropriate S&E discipline when the project first begins.
How should I allocate research dollars spent for computing or supercomputing services?
Report research dollars spent for computer usage to the individual fields of science and engineering for which the R&D is performed.
Do not report these funds in computer science, unless computer science research was performed.
What fields should be excluded from the science and engineering totals?
Exclude fields that are considered to be non-science—education, law, humanities, business, music, the arts, library science, and
physical education. Note that you would report separately budgeted R&D for the philosophy of science (a science category), but
not philosophy (one of the humanities). The NSF/NCES Crosswalk included with the questionnaire lists all S&E fields.

BASIC RESEARCH
How should basic research be calculated?
The percentage of basic research should be defined at the individual grant level by each principal researcher. Where this is not
possible, grants should be reviewed by each department head or other relevant research coordinator.

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SOURCES OF FUNDING
Should faculty practice plan income be included in the survey?
Expenditures for faculty practice plans are not considered research and should not be included. If income from such plans is used
to fund other research and the funds are separately budgeted, then the expenditures should be included in institutional funds.
How much of our administrative costs can be reported in the survey?
Administrative salaries and other administrative costs, particularly at your organized research units, can be reported only if funded
through projects specifically restricted and budgeted for research. General administrative costs should not be reported.
How should I report institutional funds?
All research dollars reported for your institution should be funds that are separately budgeted and restricted for research, such as
sponsored research accounts or general accounts that are specifically budgeted for research. Do not include funds not specifically
budgeted for research.
If your institution does not track underrecovery of indirect costs, use the underrecovery formula included in the questionnaire
instructions. Do not forget to include and distribute unreimbursed indirect costs by detailed field in survey Item 2.
Be sure to report all indirect costs related to your institutional funds.
Can I report donated research equipment in the survey?
Since donated research equipment is not typically captured in university accounting systems, the value of donated research equipment
should not be reported.

COLLABORATIVE RESEARCH ARRANGEMENTS
Should I report expenditures received through collaborative research ventures with other institutions?
Report only what your institution actually expends and accounts for when participating in joint research ventures.
How do I distinguish between being a subrecipient of pass-through funds and being a subcontractor of R&D services?
For Federal awards, a subrecipient is an entity that receives Federal financial assistance from the State or any other entity to administer
a program (OMB Circular A-133, Section .210 (revised)). The subrecipient actually administers or controls the program, as opposed
to the subcontractor who contracts for a specific service on a per-unit basis. A key factor in determining if a subrecipient arrangement
exists is determining if the entity assumes the responsibility to administer the program. Subrecipients tend to be the co-authors of
publications, writers of technical reports discussing findings, inventors, etc. Unlike a subrecipient relationship, a subcontract is a
procurement of goods and/or services. Payments to subcontractors are expenditures for services, not expenditures for research, and
are different from pass-through funds to subrecipients.

ORGANIZATIONAL UNITS
Which organizational units should I include in the survey?
Include research conducted through units that are considered part of your institution’s organizational structure. For example, report
expenditures from branch campuses, medical schools, agricultural stations, research centers and institutes, and any other units whose
expenditures are separately budgeted and are accounted for by your institution’s financial system. Exclude R&D expenditures
performed by federally funded research and development centers (FFRDCs), nonprofit institutions, and private laboratories. Do not
report salaries of faculty doing research at outside institutions unless your institution accounts for the funding of that research.
For more information, contact Survey Support at 1-866-349-8626 or [email protected]. For general questions
regarding survey procedures and data reporting, contact Ronda Britt of NSF at [email protected] or (703) 292-7765.

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