FY 2010 Higher Education R&D Suvey Questionnaire

FORM APPROVED

OMB No. 3145-0100

Expiration Date: TBD

NATIONAL SCIENCE FOUNDATION

ARLINGTON, VA 22230

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY

FY 2010

Please submit your survey data by February 25, 2011.

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 2010 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 2009 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.

Questions?

Ronda Britt

Division of Science Resources Statistics

National Science Foundation

[email protected]

(703) 292-7765

Response to this survey is estimated to require 48 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].

The web address for submitting your data:

TBD

Or mail this form to:

TBD

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 questions

All fields of R&D should now be included in your institution’s total R&D expenditures, both science and engineering (S&E) fields and non-science and engineering (non-S&E) fields such as humanities, education, law, and the arts.

All survey questions should include R&D in all fields, beginning with Question 1 and continuing throughout the questionnaire. Question 9 has a listing of examples for all R&D fields. Please note: There are no changes to the fields of R&D or to the listings of examples for each field.

Other general changes

• Two alternative listings show the discipline examples for each R&D field:

1) Alphabetical listing of disciplines by field (see Question 9).

2) U.S. Department of Education’s CIP code listing by field (see the Main Menu on the survey website).

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

• Each institution campus headed by a campus-level president or chancellor is asked to complete a separate survey rather than combine their response with other campuses in their university system.

Changes to questions

• Sources of funds: Separate categories have been created for nonprofit organizations and for institutional cost sharing. The “Industry” category has been renamed “Business.” (Question 1)

• Expenditures by field and source: Information is requested by field of R&D for all sources of funds.

  • Question 9 asks for federally funded expenditures by agency and field.

  • Question 12 asks for nonfederally funded expenditures by field for each nonfederal source.

New questions

For these new questions: If you do not have data available for one or more of the cells, please leave them blank instead of entering zero(s).

• Question 2. Foreign funding for R&D

• Question 3. Contracts and grants

• Question 4. R&D at medical schools

• Question 5. Clinical trial R&D

• Question 6. Basic research, applied research, and development

• Question 10. Other federal agency sources

• Question 11. R&D funded by the American Recovery and Reinvestment Act (ARRA)

• Question 13. Cost elements of R&D

• Question 14. Capitalization thresholds

• Question 16. Headcount of R&D personnel

• Question 17. Headcount of R&D postdocs

Survey Definitions and Instructions

Fiscal year (FY)

Please report data for your institution’s 2010 fiscal year.

Research and development (R&D) is creative work conducted systematically to increase the stock of knowledge (research) and to use this stock of knowledge to devise new applications (development). R&D covers three activities defined below – basic research, applied research, and development.

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

Applied research is conducted to gain the knowledge or understanding to meet a specific, recognized need.

Development is 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.

R&D expenditures

R&D for purposes of this survey includes “organized research” as defined by 2 CFR 220 (OMB Circular A-21). It includes all R&D expenditures from your institution’s current operating funds that are separately budgeted and accounted for.

R&D includes:

R&D does not include:

Sponsored research (including federal and nonfederal sponsors) University research (institutional funds that are separately budgeted for individual R&D projects) Recovered and unrecovered indirect costs (see definitions in Question 1) Equipment purchased from R&D project accounts R&D funds passed through to a subrecipient organization, educational or other Clinical trials, phases I, II, or III (see definition in Question 5) Research training grants funding work on organized research projects

Public service grants or outreach programs Curriculum development (unless included as part of an overall research project) Departmental research that is not separately budgeted R&D conducted by university faculty or staff at outside institutions that is not accounted for in your financial records Capital projects (i.e., construction or renovation of research facilities) Non-research training grants

Please include these components of your institution:

Please do not include:

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

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. Other campuses headed by their own presidents or chancellors within your university system. Each campus is asked to respond separately.

How much of your total expenditures for separately budgeted research and development (R&D) came from the following sources in FY 2010? (See definition of R&D on the previous page.) In rows a, b, c, d, and f: Include both direct and recovered indirect costs (reimbursement of Facilities and Administrative (F&A) costs from external sponsors). Report the original source of funds, when possible. 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. Include federal funds passed through from another institution.				$______
	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. Public institutions should report state appropriations restricted for R&D activities here rather than in Institutional funds.				$______
	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 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. 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. 2 Totals for rows e4 and g are automatically generated on the web survey.

How much of the total R&D expenditures reported in Question 1 came from foreign sources? Include foreign governments, businesses, universities, nonprofit organizations, and any other entity sending funds to the U.S. from a location outside the U.S. and its territories. Projects sponsored by a U.S. location of a foreign company are NOT considered foreign. Include international governmental organizations located in the U.S., such as the United Nations, the World Bank, and the International Monetary Fund.
		R&D expenditures
		(Dollars in thousands)
	Total R&D expenditures from foreign sources	$______

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) Contracts are legal commitments in which a good or service is provided by your institution that benefits the sponsor. The sponsor specifies the deliverables and gains the rights to results.		$______
b. Grants, reimbursements, and all other agreements Include all other agreements in which payments are received but no good or service other than periodic reporting is required in exchange.		$______
c. Total 1 (should match Question 1, row g minus Question 1, row e4)		$ TOTAL
1 The column total is automatically generated on the web survey.

4. 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 5.



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 with human patients? Clinical trials are research studies designed to answer specific questions about the effects of drugs, vaccines, medical devices, tests, treatments, and other therapies for patients. Clinical trials are used to determine safety and effectiveness. For reference, the National Institutes of Health (NIH) categorizes human clinical trials into the following four phases. Please include: Phase I uses a small group of human patients (20-80) to evaluate safety and identify side effects. Phase II uses a larger group (100-300) to test effectiveness and further evaluate safety. Phase III uses a large group (1,000 to 3,000) to confirm effectiveness, monitor side effects, compare to commonly used treatments, and collect safety information. Please exclude: Phase IV is a post-market study that collects more information on risks, benefits, and optimal use. If your institution did not conduct any clinical trials in FY 2010, check here  and go to Question 5.1.
		R&D expenditures (Dollars in thousands)
		(1) Federal	(2) Nonfederal	(3) Total 1
	Human clinical trials Trials with human patients	$_____	$_____	$ TOTAL
1 The row total is automatically generated on the web survey.

Question 5.1. Did you include R&D expenditures for clinical trials in your FY 2009 (previous year’s) survey response?

(Check one for each row.)	(1) Included	(2) Not included	(3) No FY 2009 trials
Federal			
Nonfederal			

What amounts of your FY 2010 R&D expenditures were for basic research, applied research, and development? If possible, these categories defining the character of work should be coded at the individual project level by the principal investigator. Estimates are acceptable if necessary. See the box below this question for examples.
		R&D expenditures (Dollars in thousands)
		(1) Federal	(2) Nonfederal	(3) Total 1
	a. Basic research Research undertaken primarily to acquire new knowledge without any particular application or use in mind.	$_____	$_____	$ TOTAL
	b. Applied research Research conducted to gain the knowledge or understanding to meet a specific, recognized need.	$_____	$_____	$ TOTAL
	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.	$_____	$_____	$ TOTAL
	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.

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.

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 receives payment for goods and services provided. See OMB Circular A-133, Section 210.
		R&D expenditures (Dollars in thousands)
		(1) Federal	(2) Nonfederal	(3) Total 1
	Source of funds
	a. From higher education institutions 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 receives payment for goods and services provided. See OMB Circular A-133, Section 210.
		R&D expenditures (Dollars in thousands)
		(1) Federal	(2) Nonfederal		(3) Total 1
	Type of recipient
	a. To higher education institutions 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.

Question 9A. What were your FY 2010 R&D expenditures in engineering funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.) Question 9 total (page 14, row K, column h) should match Question 1, row a. 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. For subrecipient funding, report the agency that sponsored the original award.
R&D Fields (Examples listed below)		R&D expenditures from federal sources 2 (Dollars in thousands)
		(a) USDA	(b) DoD	(c) Energy	(d) HHS, includes NIH	(e) NASA	(f) NSF	(g) Other	(h) Total 3
A. Engineering
	Aeronautical/ Astronautical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Bioengineering/ Biomedical eng.	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Chemical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Civil	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Electrical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Mechanical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Metallurgical/ Materials	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Other engineering	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Total 3	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
	1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Engineering Fields of R&D
a. Engineering 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 Engineering physics Engineering science Marine Naval architecture Nuclear Ocean Systems Other engineering fields not listed separately above

Question 9 continues on next page.

Question 9B. What were your FY 2010 R&D expenditures in the physical sciences funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

R&D Fields (Examples listed below)

R&D expenditures from federal sources 2 (Dollars in thousands)

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 3

B. Physical Sciences

Astronomy

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Chemistry

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Physics

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other physical sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 3

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Physical Sciences Fields of R&D
B. Physical Sciences 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

Question 9 continues on next page.

Question 9C-E. What were your FY 2010 R&D expenditures in the environmental, mathematical, and computer sciences funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

R&D Fields (Examples listed below)

R&D expenditures from federal sources 2 (Dollars in thousands)

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 3

C. Environmental Sciences

Atmospheric

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Earth sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Oceanography

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other environmental sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 3

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

D. Mathematical Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

E. Computer Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 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 Atmospheric sciences Aeronomy Extraterrestrial atmospheres Meteorology Solar Weather modification	C. Environmental Sciences (continued) 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) Oceanography Biological oceanography Chemical oceanography Geological oceanography Marine biology Marine oceanography Physical oceanography 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 2010 R&D expenditures in the life sciences funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.)
R&D Fields (Examples listed below)		R&D expenditures from federal sources 2 (Dollars in thousands)
		(a) USDA	(b) DoD	(c) Energy	(d) HHS, includes NIH	(e) NASA	(f) NSF	(g) Other	(h) Total 3
F. Life Sciences
	Agricultural	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Biological	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Medical	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Other life sciences	$____	$____	$____	$____	$____	$____	$____	$ TOTAL
	Total 3	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
	1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 Row and column totals are automatically generated on the web survey.

Examples of Disciplines: Life Sciences Fields of R&D
F. Life Sciences 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 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 Medical sciences Anesthesiology Cardiology Colon and rectal surgery Dental surgery Dentistry	3. Medical sciences (continued) 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	3. Medical sciences (continued) Preventive medicine Psychiatric nursing Psychiatry Public health Radiation biology/ Radiobiology Thoracic surgery Urology Veterinary medicine — see note below 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 2010 R&D expenditures in psychology, social sciences, and other sciences funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

R&D Fields (Examples listed below)

R&D expenditures from federal sources 2 (Dollars in thousands)

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 3

G. Psychology

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

H. Social Sciences

Economics

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Political science

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Sociology

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Other social sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

Total 3

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

I. Other Sciences

$____

$____

$____

$____

$____

$____

$____

$ TOTAL

1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 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	H. 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	H. 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	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 9 continues on next page.

Question 9J-K. What were your FY 2010 R&D expenditures in the non-science and engineering (non-S&E) fields funded by the federal agency sources1 below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

R&D Fields (Examples listed below)

R&D expenditures from federal sources 2 (Dollars in thousands)

(a) USDA

(b) DoD

(c) Energy

(d) HHS, includes NIH

(e) NASA

(f) NSF

(g) Other

(h) Total 3

J. 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 3

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

K. Total for All fields of R&D 3

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

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

1 View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf 2 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; NIH, National Institutes of Health; NSF, National Science Foundation. “Other” includes all other federal agencies. 3 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 Education (no specific examples) Law Legal studies Humanities English language and literature Foreign languages and literature General studies and humanities History (except history of science—see Other social sciences) Letters	3. Humanities (continued) Liberal arts and sciences Philosophy and religion Theological studies and religious vocations Visual and performing arts (no specific examples) Business and management Business management and administrative services Marketing distribution Marketing operations	Communication, journalism, and library science Communication Communications technologies Library science Social work (no specific examples)	Other non-S&E fields 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 non-S&E fields if it is impossible to report multidisciplinary or interdisciplinary R&D expenditures in specific fields

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? If your institution reported $0 in Question 9, row K, column g, check here  and go to Question 11. Use rows a-j to list up to 10 agencies that funded the highest R&D expenditures. Use row k to report any remaining amount. For subrecipient funding in this question, list the sponsor of the original award. View a list of federal agencies and their sub-agencies: https://nsfherdsdemo.westat.com/pdf/FederalAgenciesfundingRandD.pdf
	Federal agencies (List up to 10)	R&D expenditures (Dollars in thousands)
	a. ________________________________	$______
	b. ________________________________	$______
	c. ________________________________	$______
	d. ________________________________	$______
	e. ________________________________	$______
	f. ________________________________	$______
	g. ________________________________	$______
	h. ________________________________	$______
	i. ________________________________	$______
	j. ________________________________	$______
	k. Other agencies included in Question 9, column g, but not listed above	$______
	l. Total (should match Question 9, row K, column g.) 1	$ TOTAL
1 The column total is automatically generated on the web survey.

How much of the federal R&D expenditures reported in Question 1, row a, was funded by the American Recovery and Reinvestment Act (ARRA)?
		R&D expenditures (Dollars in thousands)
	Total R&D expenditures from ARRA funds	$______

Question 12A-B. What were your FY 2010 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 Fields (See Question 9, pp. 9-10)	R&D expenditures from nonfederal sources (Dollars in thousands)
	(a) State and local government		(b) Business	(c) Nonprofit organizations	(d) Institutional funds		(e) Other nonfederal sources	(f) Total 1
A. Engineering
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.

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 2010 R&D expenditures in the R&D fields listed below funded by the nonfederal sources below?
R&D Fields (See Question 9, pp. 11-13)	R&D expenditures from nonfederal sources (Dollars in thousands)
	(a) State and local government		(b) Business	(c) Nonprofit organizations	(d) Institutional funds	(e) Other nonfederal sources	(f) Total 1
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.

E

Question 12 continues on next page.

xamples of disciplines for the above fields of R&D are listed on pages 11-13.

Question 12J-K. What were your FY 2010 R&D expenditures in the non-science and engineering (non-S&E) fields funded by the nonfederal sources below?
R&D Fields (See Question 9, p. 14)	R&D expenditures from nonfederal sources (Dollars in thousands)
	(a) State and local government	(b) Business	(c) Nonprofit organizations	(d) Institutional funds	(e) Other nonfederal sources	(f) Total 1
J. 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	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
K. Total for All fields of R&D 1	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL	$ TOTAL
Totals in row K, columns a-e 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.

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 e. Recovered and unrecovered indirect costs should be reported in rows f and g.
	Direct Costs from All Sources	R&D expenditures (Dollars in thousands)
	a. Salaries, wages, and fringe benefits Include compensation for all R&D personnel whether full-time or part-time, temporary or permanent. Include salaries, wages, and fringe benefits paid from your institution’s funds and from external support.	$______
	b. Software purchases All payments for software. Include both purchases of software packages and license fees for systems.
	1. Noncapitalized software	$______
	2. Capitalized software (If you are unable to distinguish capitalized software from capitalized equipment, report both in row c.)	$______
	c. Capitalized equipment 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, tuition waivers, services such as consulting, computer usage fees, and supplies.	$______
	Indirect Costs
	f. Recovered indirect costs Reimbursement of Facilities and Administrative (F&A) costs from external sponsors.	$______ (Confidential 1)
	g. Unrecovered indirect costs (should equal Question 1, row e3)	$______ (Confidential 1)
	h. Total 2 (should match total from Question 1, row g)	$ TOTAL
1 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. 2 The column total is automatically generated on the web survey.

At the end of FY 2010, what were your institution’s dollar capitalization thresholds (in thousands) for software and equipment?
		Dollars in thousands
		(1) Software	(2) Equipment
	Capitalization thresholds	$______	$______

Question 15A-C. For the R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment? The total for Question 15 entered on row K, column c, should match Question 13, row c (capitalized equipment other than software).
		R&D equipment expenditures (Dollars in thousands)
R&D Fields (See Question 9, pp. 9-11)		(a) Federal	(b) Nonfederal	(c) Total 1
A. Engineering
	Aeronautical/Astronautical	$______	$______	$ TOTAL
	Bioengineering/Biomedical engineering	$______	$______	$ 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 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 9-11.

Question 15 continues on next page.

Question 15D-I. For the R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment?
		R&D equipment expenditures (Dollars in thousands)
R&D Fields (See Question 9, pp. 11-13)		(a) Federal	(b) Nonfederal	(c) Total 1
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 Row and column totals are automatically generated on the web survey.

E

Question 15 continues on next page.

xamples of disciplines for the above fields of R&D are listed on pages 11-13.

Question 15J-K. For the non-science and engineering (non-S&E) R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment?
		R&D equipment expenditures (Dollars in thousands)
R&D Fields (See Question 9, p. 14)		(a) Federal	(b) Nonfederal	(c) Total 1
J. 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
Total for row K, column c, should match Question 13, 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.

How many principal investigators and other personnel (headcount) were paid from the R&D salaries, wages, and fringe benefits you reported in Question 13, row a? A principal investigator (PI) is designated by your institution to direct the R&D project or program and be responsible for the scientific and technical direction of the project. Co-investigators (co-PIs) may be designated for this role and should also be included in column 1. Count each person only once. If a person serves as a PI or co-PI on one project and “other personnel” on another project, count that person as a PI. Include all personnel and students paid from R&D accounts regardless of how much they received.
		(1) Principal investigators	(2) All other personnel	(3) Total 1
	Number of people (headcount)	______	______	TOTAL
1 The row total is automatically generated on the web survey.

Of the headcount reported in Question 16, column 3, how many are categorized as postdocs? NSF defines postdocs as meeting both of the following qualifications: (1) Holds a recent doctoral degree, generally awarded within the last 5 years PhD or equivalent such as an ScD or DEng or First professional degree in a medical or related field (MD, DDS, DO, DVM) or Foreign equivalent to a U.S. doctoral degree (2) Has a limited-term appointment, generally no more than 5–7 years Primarily for training in research or scholarship and Working under the supervision of a senior scholar in a unit affiliated with your institution
	Number of postdocs (headcount)	______

Question 18. 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. Fiscal year: In what month did your institution’s 2010 fiscal year end?

_______ ____

C. Survey completion time: Considering all offices involved, _______ hours

approximately how long did it take to complete this survey?

D. Additional comments:
__________ ___________________
__________ ___________________
__________ ___________________
__________ ___________________
__________ ___________________

Web Survey Help

Key Points

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