FY 2009 Higher Education R&D Survey Questionnaire (Pilot Test)

Attachment 8 HERD pilot test questionnaire.pdf

Survey of Research and Development Expenditures at Universities and Colleges, FY 2006 through FY 2008

FY 2009 Higher Education R&D Survey Questionnaire (Pilot Test)

OMB: 3145-0100

⚠️ Notice: This form may be outdated. More recent filings and information on OMB 3145-0100 can be found here:

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NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2009

Please submit your survey data by February 26, 2010.
This survey collects data on research and development (R&D) activities at higher education institutions. Please report
R&D activities and expenditures for your institution’s 2009 fiscal year.
The survey was previously known as the Survey of Research and Development Expenditures at Universities and
Colleges. The next two pages summarize the changes from the FY 2008 survey and present updated instructions and
definitions.
Your participation in this survey provides important information on the national level of R&D 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 institution will be treated equally in future governmental decisions whether you provide all,
some, or none of the requested survey information.

QUESTIONS?
Ronda Britt
Division of Science Resources Statistics
National Science Foundation
[email protected]
(703) 292-7765
Response to this 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].

The web address for submitting your data:
https://www.nsfherdsurvey.org
Or mail this form to:
ATTN: NSF HERD Survey
Westat
1600 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 page briefly describes the changes and additions.
Include all fields of R&D in all survey items
Please note that this revised questionnaire includes R&D in science and engineering (S&E) fields and in nonscience and engineering (non-S&E) fields such as humanities, education, law, and the arts. R&D in both S&E
and non-S&E fields is included in all survey items, beginning with Question 1 and continuing throughout the
questionnaire. See question 9 for a complete listing of all fields of R&D. Please note: There are no changes to
the fields of R&D nor to the listings of examples for each field.
Other general changes
·

Two alternative listings show the discipline examples for each R&D field—1) sorted alphabetically, and 2)
sorted by the CIP codes used by the U.S. Department of Education’s National Center for Education
Statistics (NCES). Find both lists under Survey Resources on the survey website.

Clinical trials and research training grants are now explicitly 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. The “Industry” category has been renamed “Business.”

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.
o
o

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. Nonfederally 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
Fiscal year (FY)
Please report data for your institution’s 2009 fiscal year.
Research and development (R&D)
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 nonfederal
agencies and organizations) and “university research” (separately budgeted under an internal
application of institutional funds).
Separately budgeted R&D
This includes all funds expended for activities specifically organized to produce R&D outcomes and
commissioned by an organization 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

Public service grants

Equipment purchased from R&D project
accounts
R&D 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)

Program evaluation
Departmental research expenditures that are
not separately budgeted
R&D 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:
·

All units of your institution included in or with
your financial statements, such as:
o Agricultural experiment stations
o Branch campuses
o Medical schools
o Hospitals or clinics
o Research centers and facilities
o A university 501(c)3 foundation established
to handle R&D awards.

Please do not include:
·

Federally funded R&D centers (FFRDCs).
This information is collected separately. See
the list of FFRDCs:
http://www.nsf.gov/statistics/ffrdc/

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.

Question 1.

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 S&E and non-S&E fields of R&D: sciences, engineering, humanities, education, law, arts,
etc. See full listing in Question 9.
R&D expenditures
(Dollars in thousands)
(for example, report $25,342 as $25)

SOURCE OF FUNDS

______

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. Business
Domestic or foreign for-profit organizations. (Report funds from a
company’s nonprofit foundation in row d.)

d. Nonprofit organizations
Domestic or foreign 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 )

2. Cost sharing
Include committed cost sharing other than unrecovered indirect
costs. Report unrecovered indirect costs in row e3.

______

(Confidential )

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 )

4. Total institutional funds

f. All other sources
Other sources not reported above, such as funds from foreign
governments.
g. Total
1

$ TOTAL

______

$ TOTAL

Information from confidential items is NOT published or released for individual institutions; only aggregate totals will
appear in publications. In accordance with the National Science Foundation Act of 1950, as amended, and other
applicable federal laws, your responses will not be disclosed in identifiable form to anyone other than agency
employees or authorized persons.
Column totals are automatically generated on the web survey.

Question 2.

How much of the total R&D expenditures reported in Question 1 came from
foreign sources?
·
·

Foreign sources include foreign governments, businesses, 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

Question 3.

______

Of the total R&D expenditures reported in Question 1, row g, how much was
expended for R&D projects in your medical school?
Include projects that are assigned to the medical school or to research centers that are organizationally
part of the 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.

o
R&D expenditures
(Dollars in thousands)

Total R&D expenditures in the university’s medical school

______

Question 4.

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
Total R&D expenditures for clinical trials
1

(2)
Veterinary
clinical trials

_____

(3)
Total

_____

$ TOTAL—

The row total is automatically generated on the web survey.

Question 4.1. Did you include R&D expenditures for (a) human clinical trials, or (b) veterinary
clinical trials in your FY 2008 (previous year’s) survey response?
Check one for each row.

Question 5.

Included

Not
included

No FY 2008
clinical trials

a. Human clinical trials

b. Veterinary clinical trials

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 Question 1, row e4)
1

$ TOTAL

The column total is automatically generated on the web survey.

Question 6.

What amounts of your FY 2009 R&D expenditures were for basic research, applied
research, and development? Estimates are acceptable.
See the box below this question for examples.
R&D expenditures
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

_____

$ TOTAL

_____

$ TOTAL

_____

$ TOTAL

a. Basic research
Research undertaken primarily to acquire new
knowledge without any particular application or use
in mind.

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

Column 1 total should match Question 1, row a
Column 3 total should match Question 1, row g
1

Row and column totals are automatically generated on the web survey.

Examples
Basic research

Applied research

Development

A researcher is studying the
properties of human blood to
determine what affects coagulation.

A researcher is conducting research
on how a new chicken pox vaccine
affects blood coagulation.

A researcher is conducting clinical
trials to test a newly developed
chicken pox vaccine for young
children.

A researcher is studying the
properties of molecules under various
heat and cold conditions.

A researcher is investigating the
properties of particular substances
under various heat and cold
conditions with the objective of finding
longer lasting components for
highway pavement.

A researcher is working with state
transportation officials to conduct
tests of a newly developed highway
pavement under various types of heat
and cold conditions.

A researcher is studying the heart
chambers of various fish species.

A researcher is examining various
levels of a toxic substance to
determine the maximum safe level for
fish in a stream.

A researcher has a contract with the
U.S. government to design a new
stream monitoring system that will
incorporate the latest research
findings on toxicity levels for fish.

Question 7.

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
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

______

$ TOTAL

______

$ TOTAL

Source of pass-through funding
a. From higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions.
b. From other sources
c. Total
1

______

$
$

$ TOTAL

Row and column totals are automatically generated on the web survey.

Question 8.

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
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

______

$ TOTAL

______

$ TOTAL

Type of subrecipient
a. To higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions.
b. To other organizations
c. Total
1

______

$
$

$ TOTAL

Row and column totals are automatically generated on the web survey.

Question 9A.

What were your FY 2009 R&D expenditures in engineering funded by the federal
agency sources below? (R&D expenditures from nonfederal sources will be
reported in Question 12.)

The total for the last row (row K, page 14) 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 expenditures from federal sources

(Dollars in thousands)

R&D Fields

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

(h)
TOTAL

A. ENGINEERING
1. Aeronautical/
Astronautical

2. Bioengineering/
Biomedical eng.

3. Chemical

4. Civil

5. Electrical

6. Mechanical

7. Metallurgical/
Materials

8. Other
engineering

9.
1

TOTAL 2

____

____ $____

____

____ $____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL

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.

Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Engineering Fields of R&D
A. ENGINEERING
1. Aeronautical/
astronautical
Aerodynamics
Aerospace engineering
Space technology

2. Bioengineering/biomedical
engineering
Biomaterials
Medical engineering

3. Chemical
Petroleum
Petroleum refining process
Plastics
Polymer
Wood science

4. Civil

6. Mechanical

Architectural
Architecture
Environmental
Environmental health
Geotechnical
Hydraulic
Hydrologic
Sanitary
Structural
Transportation

Engineering mechanics

7. Metallurgical/Materials
Ceramic
Materials science
Metallurgy
Mining and mineral
Textile
Welding

5. Electrical

8. Other engineering
Agricultural
Engineering design
Engineering physics
Engineering science
Marine
Naval architecture
Nuclear
Ocean
Systems
Other engineering fields not
listed separately above

Communications
Computer
Electronics
Power

Question 9 continues on next page.

Question 9B. What were your FY 2009 R&D expenditures in the physical sciences funded by the federal agency
(continued)
sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)
1

R&D expenditures from federal sources
(Dollars in thousands)

R&D Fields

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

(h)
TOTAL

B. PHYSICAL SCIENCES

____

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $TOTAL

1. Astronomy

2. Chemistry

3. Physics

4. Other physical
sciences
5. TOTAL 2
1

____ $____

____

____ $____

____ $____ $____

$TOTAL

____

____ $____ $____

$TOTAL

____

____ $____ $____

$TOTAL

____

____ $____ $____

$TOTAL

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.
Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Physical Sciences Fields of R&D
B. PHYSICAL SCIENCES
1. Astronomy
Astrophysics
Gamma-ray astronomy
Neutrino astronomy
Optical astronomy
Radio astronomy
X-ray astronomy

2. Chemistry

3. Physics

(except biochemistry—see
Biological sciences)
Analytical chemistry
Inorganic chemistry
Organic chemistry
Organo-metallic chemistry
Pharmaceutical chemistry
Physical chemistry
Polymer sciences

Acoustics
Atomic physics
Chemical physics
Condensed matter physics
Elementary particle physics
Mathematical physics
Molecular physics
Nuclear structure
Optics
Plasma physics
Theoretical physics

4. Other physical sciences
Other physical sciences not
listed separately above

Question 9 continues on next page.

Question 9C-E. What were your FY 2009 R&D expenditures in the environmental, mathematical, and computer
(continued)
sciences funded by the federal agency sources below? (R&D expenditures from nonfederal
sources will be reported in Question 12.)
1

R&D expenditures from federal sources
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

TOTAL 2

R&D Fields
C. ENVIRONMENTAL
SCIENCES

____ $____ $____

4. Other environmental
$
sciences

1. Atmospheric

2. Earth sciences

3. Oceanography

____ $____ $____

D. MATHEMATICAL
SCIENCES

E. COMPUTER
SCIENCES

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ _TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL

5. TOTAL 2

____

____ $____ $____

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

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.
Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Environmental Sciences, Mathematical Sciences, and
Computer Sciences Fields of R&D
C. ENVIRONMENTAL
SCIENCES
1. Atmospheric sciences
Aeronomy
Extraterrestrial atmospheres
Meteorology
Solar
Weather modification

C. ENVIRONMENTAL
SCIENCES (CONTINUED)
2. Earth sciences
Cartography
Earth and planetary
sciences
Geochemistry
Geodesy and gravity
Geology
Geomagnetism
Geophysics
Hydrology
Paleomagnetism
Paleontology
Physical geography
Seismology
Surveying

C. ENVIRONMENTAL
SCIENCES (CONTINUED)
3. Oceanography
Biological oceanography
Chemical oceanography
Geological oceanography
Marine biology
Marine oceanography
Physical oceanography

4. Other environmental
sciences
Other environmental
sciences not listed
separately above

D. MATHEMATICAL
SCIENCES
Algebra
Analysis
Applied mathematics
Foundations and logic
Geometry
Numerical analysis
Operations research
Statistics
Topology

E. COMPUTER SCIENCES
Computer systems analysis
Data processing
Information sciences
Information technology
Management information
systems

Question 9 continues on next page.

Question 9F. What were your FY 2009 R&D expenditures in the life sciences funded by the federal agency
(continued)
sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)
1

R&D expenditures from federal sources
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

R&D Fields

(h)
TOTAL

F. LIFE SCIENCES

____

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL

1. Agricultural

2. Biological

3. Medical

4. Other life
sciences
5.
1

TOTAL 2

____ $____

____

____ $____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

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.
Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Life Sciences Fields of R&D
F. LIFE SCIENCES
1. 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

2. 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
Immunology
Medical microbiology
Microbiology
Molecular biology
Nutritional sciences
Parasitology
Pathology, human and animal
Pharmacology, human and
animal
Physical anthropology
Physiology, human and
animal
Toxicology
Virology
Zoology

3. Medical sciences
Anesthesiology
Cardiology
Colon and rectal surgery
Dental surgery
Dentistry
Dermatology

Medical sciences
(CONTINUED)
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

4. Other life sciences
Clinical/medical laboratory
technologies
Communication disorders
sciences and services
Gerontology
Health and medical
administrative services
Health professions and
related services, other
Nursing
Occupational therapy
Physical therapy
Rehabilitation services
Therapeutic services
Other life sciences not listed
separately above

Note: Please report veterinary R&D expenditures using agricultural sciences, medical sciences, and biological sciences, as appropriate.

Question 9 continues on next page.

Question 9G-I. What were your FY 2009 R&D expenditures in psychology, social sciences, and other sciences
(continued)
funded by the federal agency sources below? (R&D expenditures from nonfederal sources will
be reported in Question 12.)
1

R&D expenditures from federal sources
(Dollars in thousands)

R&D Fields
G. PSYCHOLOGY

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

TOTAL

____

____ $____

____

____ $____

____

____ $____

____

____ $____

____

____ $____

____

____ $____ $____

$ TOTAL

____ $____ $____

$ TOTAL

____ $____ $____

$ TOTAL

____ $____ $____

$ TOTAL

____ $____ $____

$ TOTAL

H. SOCIAL SCIENCES
1. Economics

2. Political
science

3. Sociology

4. Other social
sciences

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL

Total

I. OTHER
SCIENCES
1

____

____ $____

____

____ $____ $____

$ TOTAL

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
1. 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

H. SOCIAL SCIENCES
(CONTINUED)

2. Political science
Comparative government
Government
International relations and
affairs
Legal systems
Political theory
Public administration
Public policy analysis
Regional studies

3. 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

4. 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

Question 9 continues on next page.

I. OTHER SCIENCES
Use this category for R&D
that involves at least one
S&E field (rows A to H) if it is
impossible to report
multidisciplinary or
interdisciplinary R&D
expenditures in specific
fields.

Question 9J-K. What were your FY 2009 R&D expenditures in the non-science and engineering (non-S&E) fields
(continued)
funded by the federal agency sources below? (R&D expenditures from nonfederal sources will
be reported in Question 12.)
1

R&D expenditures from federal sources
(Dollars in thousands)

R&D Fields

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

(h)
TOTAL

J. NON-S&E FIELDS

____ $____ $____

1. Education

2. Law

3. Humanities

4. Visual and
performing arts

5. Business and
management

6. Communication,
journalism, and
library science

7. Social work

8. Other non-S&E
fields

TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

____

____ $____ $____

$ TOTAL

$ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL $ TOTAL

K. TOTAL FOR ALL
2
FIELDS OF R&D

$ 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.
Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Non-Science & Engineering (Non-S&E) Fields of R&D
J. NON-S&E
1. Education
(no specific examples)

2. Law
Legal studies

3. Humanities

Humanities (continued)
General studies and humanities
Philosophy and religion
Theological studies and
religious vocations

4. Visual and performing arts
(no specific examples)

English language and literature 5. Business and management
Foreign languages and
Business management and
literature
administrative services
History (except history of
Marketing distribution
science—see Other social
Marketing operations
sciences)
Letters
Liberal arts and sciences

6. Communication, journalism, 8. Other non-S&E fields
and library science

Communication
Communications technologies
Library science

7. Social work
(no specific examples)
.

Military technologies
Parks, recreation, leisure and
fitness studies
Other non-S&E fields not listed
separately above
Also, use this category for R&D
that involves multiple nonS&E fields if it is impossible to
report multidisciplinary or
interdisciplinary R&D
expenditures in specific fields

Question 10. Of the amount reported for “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 up to 10 agencies that fund the highest R&D expenditures.
Use row k to provide the amount for any remaining agencies.
R&D expenditures

Federal agency

(Dollars in thousands)

________________________________

Other agencies not listed above or in Question 9

Total (should match Question 9, row K, column g.)

______
______
______
______
______
______
______
______
______
______
______

$
1

$ TOTAL

The column total is automatically generated on the web survey.

Question 11. 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

______

Question 12A-B. What were your FY 2009 R&D expenditures in the engineering and physical sciences fields
funded by the nonfederal sources below?
·

The totals in row K, page 18, should match corresponding sources in Question 1, rows b-f.

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 expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, pp. 9-10)

(a)
(b)
(c)
(d)
(e)
State and
Other
local
Nonprofit
Institutional nonfederal
government Business organizations
funds
sources

(f)
TOTAL

A. ENGINEERING
1. Aeronautical/
Astronautical
2. Bioengineering/
Biomedical eng.
3. Chemical
4. Civil
5. Electrical
6. Mechanical
7. Metallurgical/Materials
8. Other engineering
9. TOTAL

____
$____
$____
$____
$____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$____
$____
$____
$____
$

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

____
$____
$____
$____

$ TOTAL

B. PHYSICAL SCIENCES
1. Astronomy
2. Chemistry
3. Physics
4. Other physical sciences
5. TOTAL

____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$

$ TOTAL

____
$____
$____
$____
$

$ TOTAL

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

Row and column totals are automatically generated on the web survey.
Examples of disciplines for engineering and physical sciences fields of R&D are listed on page 9-10.

Question 12 continues on next page.

Question 12C-I. What were your FY 2009 R&D expenditures in the R&D fields listed below funded by the
(continued)
nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, pp. 11-13)

(a)
State and
local
government

(b)

(c)

(d)

(e)
Other
Nonprofit
Institutional nonfederal
Business organizations
funds
sources

(f)
TOTAL 1

C. ENVIRONMENTAL SCIENCES

4. Other environmental
sciences

____
$____
$____
$____

5. TOTAL 1

$ TOTAL

1. Atmospheric
2. Earth sciences
3. Oceanography

D. MATHEMATICAL
SCIENCES

E. COMPUTER SCIENCES

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____
$____
$____
$____

$ TOTAL

F. LIFE SCIENCES

4. Other life sciences

____
$____
$____
$____

5. TOTAL 1

$ TOTAL

1. Agricultural
2. Biological
3. Medical

G. PSYCHOLOGY

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

____

$ TOTAL

____
$____
$____
$____

$ TOTAL

H. SOCIAL SCIENCES

4. Other social sciences

____
$____
$____
$____

5. TOTAL 1

$ TOTAL

1. Economics
2. Political science
3. Sociology

I. OTHER SCIENCES

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

____
$____
$____
$____
$

$ TOTAL

____

$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

____

$ TOTAL

Row and column totals are automatically generated on the web survey.
Examples of disciplines for the above fields of R&D are listed on pages 11-13.

Question 12 continues on next page.

Question 12J-K. What were your FY 2009 R&D expenditures in the non-science and engineering (non-S&E)
(continued)
fields funded by the nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, p. 14)

(a)
State and
local
government

(b)

(c)

(d)

(e)
Other
Nonprofit
Institutional nonfederal
Business organizations
funds
sources

(f)
TOTAL 1

J. NON-S&E FIELDS
1. Education
2. Law
3. Humanities
4. Visual and
performing arts
5. Business and
management
6. Communication,
journalism, and
library science

____
$____
$____
$____
$____
$____
$

$ TOTAL

____
$____

$ TOTAL

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

9. TOTAL 1

$ TOTAL

K. TOTAL FOR ALL
1
FIELDS OF R&D

____
$____

____
$____
$____
$____
$____
$____
$

8. Other non-S&E
fields

____
$____

____
$____
$____
$____
$____
$____
$

____
$____

7. Social work

____
$____

____
$____
$____
$____
$____
$____
$

$ 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.
Examples of disciplines for non-S&E fields of R&D are listed on page 14.
Question 13. 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

______

Question 14. Of the total amount of R&D expenditures reported in Question 1 what were the
amounts for the following types of costs?
Please report only direct costs (including cost sharing) in rows a to e. Recovered and
unrecovered indirect costs should be reported in rows f and g.
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.

INDIRECT COSTS

______

f. Recovered indirect costs

(Confidential )

______

g. Unrecovered indirect costs
(should equal Question 1, row e3)

(Confidential )

h. Total
2
(should match total from Question 1, row g)
1

$ TOTAL

Information from confidential items is NOT published or released for individual institutions; only aggregate totals will
appear in publications. In accordance with the National Science Foundation Act of 1950, as amended, and other
applicable federal laws, your responses will not be disclosed in identifiable form to anyone other than agency
employees or authorized persons.
The column total is automatically generated on the web survey.

Question 15. At the end of FY 2009, what were your institution’s dollar capitalization thresholds
(in thousands) for software and equipment?
Dollars in thousands
(1)
Software
Capitalization thresholds

______

(2)
Equipment

______

Question 16A-C. 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?
The total for Question 16 entered on row K, column c, should match Question 14,
row c (capitalized equipment other than software).
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, pp. 9-11)

(b)
Nonfederal

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

A. ENGINEERING
1. Aeronautical/Astronautical

______

2. Bioengineering/Biomedical engineering

3. Chemical

4. Civil

5. Electrical

6. Mechanical

7. Metallurgical/Materials

8. Other engineering

$ TOTAL

9. TOTAL 1

B. PHYSICAL SCIENCES

______

1. Astronomy

2. Chemistry

3. Physics

4. Other physical sciences

$ TOTAL

5. TOTAL 1

C. ENVIRONMENTAL SCIENCES
$

______

2. Earth sciences

3. Oceanography

4. Other environmental sciences

5.
1

______

1. Atmospheric

TOTAL 1

$ TOTAL

Row and column totals are automatically generated on the web survey.

Examples of disciplines for the above fields of R&D are listed on pages 11-13.
Question 16 continues on next page.

Question 16D-I. For the R&D fields below, what portion of your FY 2009 R&D expenditures went
(continued)
for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, pp. 11-13)

(b)
Nonfederal

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

D. MATHEMATICAL SCIENCES

E. COMPUTER SCIENCES

F. LIFE SCIENCES
1. Agricultural

2. Biological

3. Medical

4. Other life sciences

$ TOTAL

TOTAL 1

G. PSYCHOLOGY

______

H. SOCIAL SCIENCES
1. Economics

2. Political science

3. Sociology

4. Other social sciences

$ TOTAL

TOTAL 1

I. OTHER SCIENCES

______

Row and column totals are automatically generated on the web survey.
Examples of disciplines for the above fields of R&D are listed on pages 11-13.

Question 16 continues on next page.

Question 16J-K.
(continued)

For the non-science and engineering (non-S&E) fields of R&D below, what portion of
your FY 2009 R&D expenditures went for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, p. 14)

(b)
Nonfederal

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

J. NON-S&E FIELDS

______

1. Education

2. Law

3. Humanities

4. Visual and performing arts

5. Business and management

6. Communication, journalism, and library
science

7. Social work

8. Other non-S&E fields

TOTAL 1

K. TOTAL FOR ALL FIELDS OF R&D 1

$ TOTAL

Total for row K, column c, should match Question 14, row c (capitalized equipment other than software).
1

Row and column totals are automatically generated on the web survey.
Examples of disciplines for non-S&E fields of R&D are listed on page 14.

Question 17. How many principal investigators and other personnel (headcount)
were paid from the R&D salaries and wages you reported in Question
14, row a?

Number of people (headcount)
1

(1)
Principal
investigators

(2)
All other
personnel

______

(3)
Total

TOTAL

The row total is automatically generated on the web survey.

Question 18. 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 people (headcount)

______

Question 19. How many R&D proposals (S&E and non-S&E) were submitted by your
institution to government agencies, foundations, or other funding sources
outside of your institution in FY 2009? Include proposals for grants and
contracts and any other documents or actions that were used to apply for
R&D funding.
Number of proposals submitted

______

Question 20. How many R&D projects in both science and engineering (S&E) and nonS&E fields were AWARDED to your institution in FY 2009 from the sources
below and what were their dollar amounts?

·
·
·

Include only awards for research. Do not include awards for instruction, outreach,
public service, or other sponsored activities.
Include the total amount awarded in FY 2009, even if the funds will be spent over
multiple years. For example, if your institution receives an award of $5,000,000 that
will be spent over five years, report $5,000,000.
The total amount of the award should be reported by the prime award recipient.
Exclude subawards your institution received as a subrecipient.

(1)
Number
of R&D awards

(2)
Total R&D
dollars awarded
(in thousands)

a. Federal stimulus funds
(American Recovery and
Reinvestment Act, or ARRA)

______

b. Other federal funds

______

c. Nonfederal funds

______

TOTAL

Source of R&D Funds

d. Total
1

The column total is automatically generated on the web survey.

Question 21. How many of the R&D project awards reported in Question 20 involved
interdisciplinary R&D and what was their dollar amount?
Interdisciplinary R&D is a mode of R&D 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 R&D
practice.
(1)
Number
Interdisciplinary R&D projects awarded

______

(2)
Dollars in thousands

______

Question 22. Of the total R&D awards reported in Question 20, how many were
collaborative awards with other academic institutions and what was
their dollar amount?
·

Collaborative awards with other academic institutions involve two or
more higher education institutions, where each institution receives funding
directly from the prime source.

Exclude subrecipient awards—for example, awards for which your
institution was a subrecipient of funds or passed funds through to another
institution.
(1)
Number
Collaborative R&D projects awarded

______

(2)
Dollars in thousands
$

______

Question 23.
A. Contact information: Please complete the contact information for the person responsible for the survey and
an alternate contact.
Primary contact

Alternate contact

Name

_________________

____________

_________________

____________

Title

_________________

____________

_________________

____________

Building/Department

_________________

____________

_________________

____________

Street address

_________________

____________

_________________

____________

City, state, and zip code

_________________

____________

_________________

____________

Phone number

_________________

____________

_________________

____________

Fax number

_________________

____________

_________________

____________

Email address

_________________

____________

_________________

____________

B. Survey completion time by office: Please list the offices at your institution that were involved in completing
your response to the survey. For each office, please indicate the survey completion time in hours for:
(1) setting up new systems or programs required to respond, and
(2) preparing your response once those new systems or programs were in place.
Completion time in hours
(1)
For new
systems/programs

(2)
For response
preparation

______

Offices involved in responding

C. Fiscal year: In what month did your institution’s 2009 fiscal year end?

_______

____

D. Additional comments:
__________

___________________

__________

___________________

__________

___________________

__________

___________________

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