Higher Education Research and Development Survey - Pilot

Form approved

OMB No. 3145-0100/

Expiration date: 08/31/09

NATIONAL SCIENCE FOUNDATION

ARLINGTON, VA 22230

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY

FY 2009

Introduction

This survey collects data on research and development (R&D) activities at higher education institutions. Previously this collection was known as the Survey of Research and Development Expenditures at Universities and Colleges. The revised name reflects the survey’s expanded focus on measures of R&D activities in addition to expenditures. All questions refer to R&D activities and expenditures within your institution’s 2009 fiscal year.

See page 2 for “What’s New” in the survey. General survey definitions and instructions are provided on page 3.

Your survey participation

Your participation in this survey provides important information on the national level of research activity. NSF is authorized to collect this information under the National Science Foundation Act of 1950, as amended. Your institution’s response is entirely voluntary; your failure to provide some or all of the information will in no way adversely affect your institution.

Questions?

Ronda Britt Mary Hagedorn

National Science Foundation Westat

[email protected] [email protected]

(703) 292-7765 1-800-937-8281

Response to this revised survey is estimated to require (80) hours. Please report your actual completion time at the end of the questionnaire. 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 submit your survey data by January 29, 2010.

The web address for submitting your data:

http://www.nsfherdsurvey.org

Or mail this form to:

ATTN: NSF HERD Survey

Westat

1650 Research Blvd. Room TA2062

Rockville, MD 20850

Thank you for your participation.

What’s New

The Higher Education Research & Development Survey, formerly the Survey of Research and Development Expenditures at Universities and Colleges, has undergone a redesign in consultation with experts, data users, and university representatives. This section briefly describes the changes and additions.

Include all fields of R&D in all survey items

Please note that this revised questionnaire includes all fields of R&D in all survey items, beginning with Question 1 and continuing throughout the questionnaire. Responses to all survey questions should include R&D in science and engineering fields as in the past, and R&D in all other fields such as humanities, education, law, and the arts. See question 9 for a complete listing of all fields of R&D.

Other general changes

• Many specific instructions have been moved to the questions they pertain to.

• Clinical trials and research training grants are now included in the definition of R&D.

Changes to Questions

• Sources of Funds (Question 1). Separate categories have been created for nonprofit organizations and for institutional cost sharing.

• Basic and Applied Research and Development (Question 6). This question now asks for expenditures associated with basic research, applied research, and development.

• Expenditures by Field and Source (Questions 9 and 12). Information on expenditures is collected by field of R&D for all sources of funds.

  • Question 9 collects R&D expenditures funded by specific federal agencies and total federal funding by field.

  • Question 12 collects information for each nonfederal source and total nonfederal funding by field.

New Questions

• Question 2. R&D expenditures of funds from foreign sources

• Question 3. R&D at medical schools

• Question 4. Clinical trial R&D expenditures

• Question 5. Contracts and grants

• Question 10. Other federal agency sources for R&D expenditures

• Question 11. Federally funded R&D expenditures at interdisciplinary research centers

• Question 13. Non-federally funded R&D expenditures at interdisciplinary research centers

• Question 14. Specific cost elements of R&D expenditures

• Questions 17 and 18. Counts of R&D personnel

• Questions 19 through 22. R&D proposal and award counts

Survey Definitions and Instructions

Research and development (R&D)

includes “organized research” as defined by 2 CFR 220 (OMB Circular A-21). Please include all R&D activities of an institution that are separately budgeted and accounted for (see definition below). 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).

Separately budgeted 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. Such expenditures include, among others, all those funded from unrestricted gifts and restricted current funds to the extent that such funds were expended for current operating purposes.

R&D includes:	R&D does not include:
Direct and indirect costs Equipment purchased from R&D project accounts Research funds passed through to a subrecipient organization, educational or other Clinical trial research (Phases I, II, and III) Research training grants (such as NIH K awards and T32 grants)	Public service grants Program evaluation Departmental research expenditures that are not separately budgeted Research conducted by university faculty or staff at outside institutions that is not accounted for in your financial records Non-research training grants Capital projects

Please include these components of your institution:	Please do not include:
All branches of your institution included in or with your financial statements. Include units such as: Agricultural experiment stations Medical schools Hospitals or clinics Research centers and facilities A university 501(c)3 research foundation established to handle R&D awards.	Federally funded R&D centers (FFRDCs). This information is collected separately. For a complete list of FFRDCs, see http://www.nsf.gov/statistics/nsf05306/ Other organizations or institutions, such as teaching hospitals or research institutes, with which your institution has an affiliation or relationship, but which are not components of your institution.

How much of your total current fund expenditures for separately budgeted research and development (R&D) came from the following sources in FY 2009? (See definition of R&D on the previous page.) Include both direct and recovered indirect costs in rows a, b, c, d, and f. Report the original source of funds, when possible. For example, if you received federal funds from another university, report that amount under “U.S. federal government.” Include all fields of R&D: sciences, engineering, humanities, education, law, arts, etc. See full listing in Question 9.
					R&D Expenditures
Source of funds					(Dollars in thousands) (for example, report $25,342 as $25)
	a. U.S. federal government Any agency of the United States government.				$______
	b. State and local government Any state, county, municipality, or other local government entity in the United States, including state health agencies. Include state funds that support R&D at agricultural and other experiment stations.				$______
	c. Industry Domestic or foreign for-profit organizations. (Report funds from a company’s nonprofit foundation in row d.)				$______
	d. Nonprofit organizations Nonprofit foundations and organizations.				$______
	e. Institutional funds
	1. Institutionally financed organized research Include expenditures of university funds from unrestricted sources that are separately-budgeted for organized research.			$______ (Confidential 1)
	2. Cost sharing Include committed cost sharing other than unrecovered indirect costs. Report unrecovered indirect costs in row e3.			$______ (Confidential 1)
	3. Unrecovered indirect costs You may calculate this amount as follows for your externally funded R&D (preferably on a project-specific basis) using the appropriate cost rate—on-campus, off-campus, etc. First, multiply the negotiated rate by the corresponding base. Second, subtract recovered indirect costs.			$______ (Confidential 1)
	4. Total institutional funds2				$ TOTAL —
	f. All other sources Other sources not reported above, such as funds from foreign governments.				$______
	g. Total 2				$ TOTAL —
1 Information from confidential items is NOT published or released for individual institutions; only aggregate totals will appear in publications. 2 Row and column totals are automatically generated on the web survey.

How much of the total R&D expenditures reported in Question 1, rows c, d, and f came from foreign sources? Foreign sources include foreign governments, industry, and nonprofit organizations located outside the U.S. Foreign sources do not include Puerto Rico or other territories of the United States.
		R&D Expenditures
		(Dollars in thousands)
	Total R&D expenditures from foreign sources	$______

Of the total R&D expenditures reported in Question 1, row g, how much was expended for R&D projects in your medical school? If your institution does not have a medical school (that is, a school that awards the M.D. or D.O. degree), check here and go to Question 4.  Include projects that are assigned to the medical school or to research centers that are organizationally part of the medical school.
		R&D Expenditures
		(Dollars in thousands)
	Total R&D expenditures in the university’s medical school	$______

Of the total R&D expenditures reported in Question 1, row g, how much was expended for Phase I, Phase II, and Phase III clinical trials?
		R&D Expenditures (Dollars in thousands)
		(1) Human clinical trials	(2) Veterinary clinical trials	(3) Total 1
	a. Total R&D expenditures for clinical trials	$_____	$_____	$ TOTAL—
	b. Did you include R&D expenditures for clinical trials in your FY 2008 survey response?	 Yes  No	 Yes  No	NA
1 Row and column totals are automatically generated on the web survey.

Of the total R&D expenditures that were externally funded (all sources other than the institutional funds reported in Question 1, row e4), how much was received under each of the following types of agreements?
		R&D Expenditures
		(Dollars in thousands)
	a. Contracts (including direct or prime contracts and subcontracts)	$______
	b. Grants, reimbursements, and all other agreements	$______
	c. Total (should match Question 1, row g minus row e4) 1	$ TOTAL
1 Row and column totals are automatically generated on the web survey..

What amounts of your FY 2009 R&D expenditures were for basic research, applied research, and development? Estimates are acceptable.
		R&D Expenditures
		(1) Federal	(2) Non-federal	(3) Total 1
		(Dollars in thousands)
	a. Basic research Research 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.	$_____	$_____	$____
	b. Applied research Research conducted to gain the knowledge or understanding to meet a specific, recognized need.	$_____	$_____	$____
	c. Development The systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes.	$_____	$_____	$____
	d. Total 1 Column 1 total should match Question 1, row a; Column 3 total should match Question 1, row g.	$ TOTAL	$ TOTAL	$ TOTAL
1 Row and column totals are automatically generated on the web survey

How much of your R&D expenditures reported in Question 1 did your institution receive as a subrecipient? The subrecipient for an award carries out the work but receives the funds from a pass-through entity rather than directly from the original funding source. See OMB Circular A-133, Section 105 for the federal definition. Subrecipients tend to be the co-authors of publications, writers of technical reports discussing findings, inventors, etc. Do not include vendor relationships. A vendor supplies goods and services. See OMB Circular A-133, Section 210.
		R&D expenditures
		(1) Federal	(2) Non-federal	(3) Total 1
	Source of pass-through funding	(Dollars in thousands)
	a. From higher education institutions Academic colleges and universities and units owned, operated, and controlled by such institutions.	$______	$______	$ TOTAL
	b. From other sources	$______	$______	$ TOTAL
	c. Total 1	$ TOTAL	$ TOTAL	$ TOTAL
1 Row and column totals are automatically generated on the web survey.

How much of your R&D expenditures reported in Question 1 were passed through by your institution to subrecipients? Do not include vendor relationships. A vendor supplies goods and services. See OMB Circular A-133, Section 210.
		R&D expenditures
		(1) Federal	(2) Non-federal	(3) Total 1
	Type of subrecipient	(Dollars in thousands)
	a. To higher education institutions Academic colleges and universities and units owned, operated, and controlled by such institutions.	$______	$______	$ TOTAL
	b. To other organizations	$______	$______	$ TOTAL
	c. Total 1	$ TOTAL	$ TOTAL	$ TOTAL
1 Row and column totals are automatically generated on the web survey.

What were your FY 2009 R&D expenditures for the federal agencies below in each field of R&D? (Expenditures funded by nonfederal sources will be reported in Question 12.) The total for the last row (row K, page 13) should match total federal sources reported in Question 1, row a. Examples of the disciplines included in each field are listed below. If an individual project involves more than one of the 36 fields of R&D, please prorate expenditures when possible and report the amount for each field involved.
R&D Fields		Federal departments and agencies 1
		(a) USDA		(b) DoD	(c) Energy	(d) HHS, includes NIH	(e) NASA	(f) NSF	(g) Other	(h) Total 2
A. Engineering		(Dollars in thousands)
	Aeronautical/ Astronautical	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Bioengineering/ Biomedical eng.	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Chemical	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Civil	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Electrical	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Mechanical	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Metallurgical/ Materials	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Other engineering	$____	$____		$____	$____	$____	$____	$____	$ TOTAL
	Total 2	$ TOTAL	$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
	1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Engineering Fields of R&D
Aeronautical/ astronautical Aerodynamics Aerospace engineering Space technology Bioengineering/biomedical engineering Biomaterials Medical engineering Chemical Petroleum Petroleum refining process Plastics Polymer Wood science	Civil Architectural Architecture Environmental Environmental health Geotechnical Hydraulic Hydrologic Sanitary Structural Transportation Electrical Communications Computer Electronics Power	Mechanical Engineering mechanics Metallurgical/Materials Ceramic Materials science Metallurgy Mining and mineral Textile Welding Other engineering Agricultural Engineering design	8. Other engineering (cont.) Engineering physics Engineering science Marine Naval architecture Nuclear Ocean Systems Other engineering fields not listed separately above Total engineering Sum of entries in each column for rows A1 to A8

Question 9 continues on next page.

Question 9. (continued)

R&D Fields

Federal departments and agencies 1

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 2

B. Physical Sciences

(Dollars in thousands)

Astronomy

$____

$____

$____

$____

$____

$____

$____

$TOTAL

Chemistry

$____

$____

$____

$____

$____

$____

$____

$TOTAL

Physics

$____

$____

$____

$____

$____

$____

$____

$TOTAL

Other physical sciences

$____

$____

$____

$____

$____

$____

$____

$TOTAL

Total 2

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$TOTAL

1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Physical Sciences Fields of R&D
Astronomy Astrophysics Gamma-ray astronomy Neutrino astronomy Optical astronomy Radio astronomy X-ray astronomy	Chemistry (except biochemistry—see Biological sciences) Analytical chemistry Inorganic chemistry Organic chemistry Organo-metallic chemistry Pharmaceutical chemistry Physical chemistry Polymer sciences	Physics Acoustics Atomic physics Chemical physics Condensed matter physics Elementary particle physics Mathematical physics Molecular physics Nuclear structure Optics Plasma physics Theoretical physics	Other physical sciences Other physical sciences not listed separately above Total for physical sciences Sum of entries in each column for rows B1 to B4

Question 9 continues on next page.

Question 9. (continued)

R&D Fields

Federal departments and agencies 1

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 2

C. Environmental Sciences

(Dollars in thousands)

Atmospheric

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Earth sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Oceanography

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other environ. sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 2

$ TOTAL

$ TOTAL

$ TOTAL

$ _TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

D. Mathematical Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

E. Computer Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Environmental Sciences, Mathematics, and Computer Science Fields of R&D
Environmental Sciences Atmospheric sciences Aeronomy Extraterrestrial atmospheres Meteorology Solar Weather modification	Environmental Sciences (continued) Earth sciences Cartography Earth and planetary sciences Geochemistry Geodesy and gravity Geology Geomagnetism Geophysics Hydrology Paleomagnetism Paleontology Physical geography Earth and planetary sciences Seismology Surveying	Environmental Sciences (continued) Oceanography Biological oceanography Chemical oceanography Geological oceanography Physical oceanography Marine biology Marine oceanography Other earth, atmospheric, and ocean sciences Other environmental sciences not listed separately above Total for environmental sciences Sum of entries in each column for rows C1 to C4	D. Mathematical Sciences Algebra Analysis Applied mathematics Foundations and logic Geometry Statistics Numerical analysis Operations research Topology E. Computer Sciences Computer systems analysis Data processing Information sciences Information technology Management information systems

Question 9 continues on next page.

Question 9. (continued)
R&D Fields		Federal departments and agencies 1
		(a) USDA	(b) DoD	(c) Energy	(d) HHS, includes NIH	(e) NASA	(f) NSF	(g) Other	(h) Total 2
F. Life Sciences		(Dollars in thousands)
	Agricultural	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Biological	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Medical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Other life sciences	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Total 2	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
	1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Life Sciences Fields of R&D
Agricultural sciences Agricultural chemistry Agricultural economics — see Social sciences, Economics Agricultural engineering — see Engineering Agricultural production Agronomy Animal science Aquaculture Conservation Fish and wildlife Forestry Horticulture International agriculture Landscape architecture Plant sciences Renewable natural resources Soil sciences Biological sciences Allergies and immunology Anatomy Bacteriology Biochemistry Biogeography Biology, general Biometrics Biophysics Biostatistics Biotechnology	Biological sciences (continued) Botany Cellular biology Ecology Entomology Epidemiology Foods and nutrition studies Genetics, plant and animal Medical microbiology Immunology Microbiology Molecular biology Nutritional sciences Parasitology Pathology, human and animal Pharmacology, human and animal Physical anthropology Physiology, human and animal Toxicology Virology Zoology Medical sciences Anesthesiology Cardiology Colon and rectal surgery Dental surgery	Medical sciences (continued) Dentistry Dermatology Family medicine Gastroenterology General surgery Geriatric medicine Gynecology Hematology Internal medicine Mental Health Neonatal-perinatal medicine Neurological surgery Neurology Neurosciences Nuclear medicine Nuclear radiology Obstetrics Oncology Ophthalmology Optometry Oral surgery Orthopedic surgery Orthopedics Osteopathic medicine Otorhinolaryngology Pediatrics Pharmacology Pharmacy Physical and rehabilitative medicine Plastic surgery Podiatry Preventive medicine	Medical sciences (continued) Psychiatric nursing Psychiatry Public health Radiation biology/ Radiobiology Thoracic surgery Urology Veterinary medicine (See note below) Other life sciences Gerontology Communication disorders sciences and services Health and medical administrative services Health professions and related services, other Clinical/medical laboratory technologies Nursing Occupational therapy Physical therapy Rehabilitation services Therapeutic services Other life sciences not listed separately above Total for life sciences Sum of entries in each column for rows F1 to F4
	Note: Institutions should distribute veterinary R&D expenditures among the appropriate disciplines (e.g., agricultural, medical, and biological) rather than only in medical sciences.

Question 9 continues on next page.

Question 9. (continued)

R&D Fields

Federal departments and agencies 1

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 2

(Dollars in thousands)

G. Psychology

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

H. Social sciences

Economics

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Political science

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Sociology

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other social sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 2

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

I. Other Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Psychology and Social Sciences Fields of R&D
G. Psychology Animal behavior Art therapy Clinical psychology Educational psychology Experimental psychology Human development and personality School psychology Social psychology H. Social Sciences Economics Agricultural economics Applied economics Business development Econometrics Industrial economics International economics Labor economics Managerial economics Public finance and fiscal policy Quantitative economics Resource economics	Social Sciences (continued) Political science Comparative government Government International relations and affairs Legal systems Political theory Public administration Public policy analysis Regional studies Sociology Anthropology (social and cultural only) Comparative and historical sociology Complex organizations Cultural and social structure Demography Group interactions Population studies Social problems and welfare theory	Social Sciences (continued) Other social sciences Archaeology Area and ethnic studies City and community planning Community services Corrections Criminal justice Geography History of science Linguistics Urban and regional planning Urban affairs Urban studies Total for social sciences Sum of entries in each column across rows H1 to H4	I. Other sciences Use this category when multidisciplinary, interdisciplinary, or other aspects make classification under one of the primary S&E fields (rows A to H) impossible

Question 9 continues on next page.

Question 9. (continued)

R&D Fields

Federal departments and agencies 1

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 2

J. Non-Science & Engineering (Non S&E) Fields

(Dollars in thousands)

Education

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Law

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Humanities

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Visual and performing arts

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Business and management

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Communication, journalism, and library science

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Social work

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other non-S&E fields

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 2

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

K. Total for All fields of R&D 2

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

Total for row K, column h should equal Total for Question 1, row a.

1 KEY: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and Human Services; NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” includes all other federal agencies. 2 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Non-Science & Engineering (Non S&E) Fields of R&D
Education (no specific examples) Law Legal studies Humanities Foreign languages and literature English language and literature Letters Liberal arts and sciences General studies and humanities Philosophy and religion	Humanities (continued) Theological studies and religious vocations History (except history of science—see Other social sciences) Visual and performing arts (no specific examples) Business and management Business management and administrative services Marketing operations Marketing distribution	Communication, journalism, and library science Communication Library science Communications technologies Social work (no specific examples) Other non-S&E fields Parks, recreation, leisure and fitness studies Military technologies Other non S&E fields not listed separately above	Total for Non-S&E Sum of entries in each column for rows 1 to J8 K. Total for All fields of R&D Sum of all rows for Question 9. The total for row K, column h should equal the total for Question 1, row a

Of the total R&D expenditures from “other” federal sources reported in Question 9 (row K, column g), which agencies funded this R&D and how much of the reported amount was from each agency? Please list agencies, from highest to lowest R&D expenditures amount, in rows a through k; use row l for any remaining amounts.
	Federal agency	R&D Expenditures
		(Dollars in thousands)
	a. ________________________________	$______
	b. ________________________________	$______
	c. ________________________________	$______
	d. ________________________________	$______
	e. ________________________________	$______
	f. ________________________________	$______
	g. ________________________________	$______
	h. ________________________________	$______
	i. ________________________________	$______
	j. ________________________________	$______
	k. ________________________________	$______
	l. Other agencies not listed above or in Question 9	$______
	m. Total (should match Question 9, row K, column g.) 1	$ TOTAL
1 Row and column totals are automatically generated on the web survey.

How much of the federal R&D expenditures amount reported in Question 9, row K, column h, took place in interdisciplinary research centers at your institution?
		R&D Expenditures
		(Dollars in thousands)
	Total R&D expenditures from federal sources for projects in interdisciplinary research centers	$______

What were your FY 2009 R&D expenditures for the nonfederal sources below in each field of R&D? The total for each column in row K should match the corresponding sources reported in Question 1. If an individual project involves more than one of the 36 fields of R&D, please prorate expenditures when possible and report the amount for each field involved.
R&D Fields (See Question 9, pp. 8-9)	Nonfederal sources of funds
	(a) State and local government	(b) Industry	(c) Nonprofit orgs.	(d) Institutional funds	(e) Other nonfederal sources	(f) Total 1
A. Engineering	(Dollars in thousands)
Aeronautical/ Astronautical	$____	$____	$____	$____	$____	$ TOTAL
Bioengineering/ Biomedical eng.	$____	$____	$____	$____	$____	$ TOTAL
Chemical	$____	$____	$____	$____	$____	$ TOTAL
Civil	$____	$____	$____	$____	$____	$ TOTAL
Electrical	$____	$____	$____	$____	$____	$ TOTAL
Mechanical	$____	$____	$____	$____	$____	$ TOTAL
Metallurgical/Materials	$____	$____	$____	$____	$____	$ TOTAL
Other engineering	$____	$____	$____	$____	$____	$ TOTAL
Total 1	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
B. Physical Sciences
Astronomy	$____	$____	$____	$____	$____	$ TOTAL
Chemistry	$____	$____	$____	$____	$____	$ TOTAL
Physics	$____	$____	$____	$____	$____	$ TOTAL
Other physical sciences	$____	$____	$____	$____	$____	$ TOTAL
Total 1	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
1 Row and column totals are automatically generated on the web survey.

Question 12 continues on next page.

Question 12. (continued)
R&D Fields (See Question 9, pp. 10-12)		Nonfederal sources of funds
		(a) State and local government		(b) Industry	(c) Nonprofit orgs.	(d) Institutional funds	(e) Other nonfederal sources	(f) Total 1
		(Dollars in thousands)
C. Environmental Sciences
Atmospheric		$____		$____	$____	$____	$____	$ TOTAL
Earth sciences		$____		$____	$____	$____	$____	$ TOTAL
Oceanography		$____		$____	$____	$____	$____	$ TOTAL
Other environmental sciences		$____		$____	$____	$____	$____	$ TOTAL
Total 1		$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
D. Mathematical Sciences		$____		$____	$____	$____	$____	$ TOTAL
E. Computer Sciences		$____		$____	$____	$____	$____	$ TOTAL
F. Life Sciences
Agricultural		$____		$____	$____	$____	$____	$ TOTAL
Biological		$____		$____	$____	$____	$____	$ TOTAL
Medical		$____		$____	$____	$____	$____	$ TOTAL
Other life sciences		$____		$____	$____	$____	$____	$ TOTAL
Total 1		$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
G. Psychology		$____		$____	$____	$____	$____	$ TOTAL
H. Social sciences
Economics		$____		$____	$____	$____	$____	$ TOTAL
Political science		$____		$____	$____	$____	$____	$ TOTAL
Sociology		$____		$____	$____	$____	$____	$ TOTAL
Other social sciences		$____		$____	$____	$____	$____	$ TOTAL
Total 1		$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
I. Other Sciences		$____		$____	$____	$____	$____	$ TOTAL
1 Row and column totals are automatically generated on the web survey.

Question 12 continues on next page.

Question 12. (continued)
R&D Fields (See Question 9, p. 13)	Nonfederal sources of funds
	(a) State and local government		(b) Industry	(c) Nonprofit orgs.	(d) Institutional funds	(e) Other nonfederal sources	(f) Total 1
J. Non-Science & Engineering (Non S&E) Fields		(Dollars in thousands)
Education	$____		$____	$____	$____	$____	$ TOTAL
Law	$____		$____	$____	$____	$____	$ TOTAL
Humanities	$____		$____	$____	$____	$____	$ TOTAL
Visual and performing arts	$____		$____	$____	$____	$____	$ TOTAL
Business and management	$____		$____	$____	$____	$____	$ TOTAL
Communication, journalism, and library science	$____		$____	$____	$____	$____	$ TOTAL
Social work	$____		$____	$____	$____	$____	$ TOTAL
Other non-S&E fields	$____		$____	$____	$____	$____	$ TOTAL
Total 1	$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
K. Total for All fields of R&D 1	$ TOTAL		$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
Totals for row K, should match corresponding sources in Question 1, rows b-f. 1 Row and column totals are automatically generated on the web survey.

How much of the nonfederal R&D expenditures amount reported in Question 12, row K, column f, took place in interdisciplinary research centers at your institution?
		R&D Expenditures
		(Dollars in thousands)
	Total R&D expenditures from nonfederal sources for projects in interdisciplinary research centers	$______

Of the total amount of R&D expenditures reported in Question 1, row g, what were the amounts for the following types of costs? Please report only direct costs (including cost sharing) in rows a to f. Recovered and unrecovered indirect costs should be reported in rows g and h.
		R&D Expenditures
	Direct Costs from All Sources	(Dollars in thousands)
	a. Salaries, wages, and fringe benefits—all compensation to full-time and part-time employees included in your R&D expenditures.	$______
	b. Software purchases—all payments for software. Include both purchases of software packages and license fees for systems.
	1. Noncapitalized software	$______
	2. Capitalized software	$______
	c. Capitalized equipment other than software reported in row b—payments for movable equipment exceeding your institution’s capitalization threshold. Include ancillary costs such as delivery and set-up.	$______
	d. Pass-throughs to other universities or organizations (should match the total in Question 8, row c, column 3)	$______
	e. Other direct costs—other costs that do not fit into one of the above categories, including (but not limited to) travel, services such as consulting, computer usage fees, and supplies.	$______
	f. Total Direct Costs	$ TOTAL
	Indirect Costs
	g. Recovered indirect costs	$______ (Confidential 1)
	h. Unrecovered indirect costs (should equal Question 1, row e3)	$______ (Confidential 1)
	i. Total (should match total from Question 1, row g) 2	$ TOTAL
1 Information from confidential items is NOT published or released for individual institutions; only aggregate totals will appear in publications. 2 Row and column totals are automatically generated on the web survey.

At the end of FY 2009, what were your institution’s dollar capitalization thresholds for software and equipment?
		(1) Software	(2) Equipment
	Dollar threshold for capitalization	$______	$______

For the fields of R&D below, what portion of your FY 2009 R&D expenditures went for the purchase of capitalized R&D equipment? Note that the total for Question 16 entered on row K, column c, should match Question 14, row c (capitalized equipment other than software).
		R&D Expenditures
	R&D Fields (See Question 9, pp. 8-10)	(a) Federal	(b) Non-federal	(c) Total 1
A. Engineering		(Dollars in thousands)
	Aeronautical/Astronautical	$______	$______	$ TOTAL
	Bioengineering/Biomedical eng.	$______	$______	$ TOTAL
	Chemical	$______	$______	$ TOTAL
	Civil	$______	$______	$ TOTAL
	Electrical	$______	$______	$ TOTAL
	Mechanical	$______	$______	$ TOTAL
	Metallurgical/Materials	$______	$______	$ TOTAL
	Other engineering	$______	$______	$ TOTAL
	Total 1	$ TOTAL	$ TOTAL	$ TOTAL
B. Physical Sciences
	Astronomy	$______	$______	$ TOTAL
	Chemistry	$______	$______	$ TOTAL
	Physics	$______	$______	$ TOTAL
	Other physical sciences	$______	$______	$ TOTAL
	Total 1	$ TOTAL	$ TOTAL	$ TOTAL
C. Environmental Sciences
	Atmospheric	$______	$______	$ TOTAL
	Earth sciences	$______	$______	$ TOTAL
	Oceanography	$______	$______	$ TOTAL
	Other environmental sciences	$______	$______	$ TOTAL
	Total 1	$ TOTAL	$ TOTAL	$ TOTAL
1 Question 16 continues on next page. Totals are automatically generated on the web survey.

Question 16 (continued)
		R&D Expenditures
	R&D Fields (See Question 9, pp. 10-12)	(a) Federal	(b) Non-federal	(c) Total 1
		(Dollars in thousands)
D. Mathematical Sciences		$______	$______	$ TOTAL
E. Computer Sciences		$______	$______	$ TOTAL
F. Life Sciences
	Agricultural	$______	$______	$ TOTAL
	Biological	$______	$______	$ TOTAL
	Medical	$______	$______	$ TOTAL
	Other life sciences	$______	$______	$ TOTAL
	Total 1	$ TOTAL	$ TOTAL	$ TOTAL
G. Psychology		$______	$______	$ TOTAL
H. Social sciences
	Economics	$______	$______	$ TOTAL
	Political science	$______	$______	$ TOTAL
	Sociology	$______	$______	$ TOTAL
	Other social sciences	$______	$______	$ TOTAL
	Total 1	$ TOTAL	$ TOTAL	$ TOTAL
I. Other Sciences		$______	$______	$ TOTAL
1 Totals are automatically generated on the web survey.

Question 16 continues on next page.

Question 16 (continued)
		R&D Expenditures
	R&D Fields (See Question 9, p. 13)	(a) Federal	(b) Non-federal	(c) Total 1
		(Dollars in thousands)
J. Non-Science & Engineering (Non S&E) Fields
	Education	$______	$______	$ TOTAL
	Law	$______	$______	$ TOTAL
	Humanities	$______	$______	$ TOTAL
	Visual and performing arts	$______	$______	$ TOTAL
	Business and management	$______	$______	$ TOTAL
	Communication, journalism, and library science	$______	$______	$ TOTAL
	Social work	$______	$______	$ TOTAL
	Other non-S&E fields	$______	$______	$ TOTAL
	Total 1	$______	$______	$ TOTAL
K. Total for All fields of R&D 1		$ TOTAL	$ TOTAL	$ TOTAL
NOTE: Row K, column c, should match Question 14, row c (capitalized equipment other than software). 1 Totals are automatically generated on the web survey.

How many principal investigators and other personnel (headcount) were paid from the R&D salaries and wages you reported in Question 14, line a?
		(1) Principal investigators	(2) All other personnel	(3) Total 1
	Number of people (headcount)	______	______	TOTAL
1 Totals are automatically generated on the web survey.

Of the headcount reported in Question 17, column 3, how many are postdocs, that is, Ph.D. researchers working in temporary positions primarily for training in research? Postdoc positions are designated as temporary positions for a defined period of time. Titles for postdocs can include postdoctoral researchers, postdoctoral fellows, research associates, etc.
	Number of postdocs (headcount)	______

How many R&D proposals were submitted by your institution to government agencies, foundations, or other funding sources outside of your institution in FY 2009? Include grant or contract proposals and other documents or actions that involved application for R&D funding.
		Number
	Proposals submitted in FY 2009	______

What was the number and dollar value (in thousands) of R&D projects awarded to your institution in FY 2009? In reporting the dollar value, provide the total amount awarded in FY 2009 for both new and ongoing projects. Please do not include contingent or optional renewal years if funds were not awarded in FY 2009.
		(1) Number	(2) Dollars (in thousands)
	R&D projects awarded in FY 2009	______		$______

How many of the R&D project awards reported in Question 20 involved interdisciplinary research? And, what was the dollar value (in thousands) of those awards? Interdisciplinary research is a mode of research by teams or individuals that integrates information, data, techniques, tools, perspectives, concepts, and/or theories from two or more disciplines or bodies of specialized knowledge to advance fundamental understanding or to solve problems whose solutions are beyond the scope of a single discipline or area of research practice.
		(1) Number	(2) Dollars (in thousands)
	Interdisciplinary R&D projects awarded in FY 2009	______		$______

Of the total R&D awards reported in Question 20, how many were collaborative awards? What was the dollar value (in thousands) of these collaborative R&D awards? Collaborative awards involve two or more higher education institutions, where each institution receives funding directly from the prime source. Please do not include awards for which your institution was a subrecipient of award funds or passed funds through to another institution.
		(1) Number	(2) Dollars (in thousands)
	Collaborative R&D projects awarded in FY 2009	______	$______

Contact Information: Please complete the contact information for the person responsible for the survey and an alternate contact.
	Primary contact	Alternate contact
Name	_____________________________	_____________________________
Title	_____________________________	_____________________________
Street address	_____________________________	_____________________________
City, state, and zip code	_____________________________	_____________________________
Phone number	_____________________________	_____________________________
Fax number	_____________________________	_____________________________
Email address	_____________________________	_____________________________

Please list the offices at your institution that were involved in completing your response to the survey.
__________ ___________________
__________ ___________________
__________ ___________________
__________ ___________________

Survey Completion Time: Approximately how long did it take to complete the questionnaire?
Completion time in hours		_____________

Fiscal Year: In what month did your institution’s 2009 fiscal year begin?

_______ ____

Additional Comments: Please add any comments here.
__________ ___________________
__________ ___________________
__________ ___________________
__________ ___________________

2

Draft 4-24-09