FY 2012 Survey of R&D Expenditures at Universities and Colleges

Higher Education R&D and FFRDC R&D Surveys

HERD_2012_survey 8-14-12

FY 2012 Survey of R&D Expenditures at Universities and Colleges

OMB: 3145-0100

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FORM APPROVED
OMB No. 3145-0100
Expiration Date: 10/31/13

NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2012

Please submit your survey data by January 31, 2013.
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 2012 fiscal year.
Your participation in this survey provides important information on the national level of R&D activity. The National
Science Foundation (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
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-7765

Response to this survey is estimated to require 50 hours. Please report your actual completion time at the end of the
questionnaire. If you wish to comment on the time required to complete this survey, please contact Suzanne H.
Plimpton of NSF at (703) 292-7556, or e-mail [email protected].

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

Or mail this form to:
ICF International
530 Gaither Road, Suite 500
Rockville, MD 20850

Thank you for your participation.

What’s New for FY 2012
Changes to survey definitions and instructions
In order to continue to provide greater clarity regarding what types of institutionally funded activities should be included,
we have modified the instructions in several places on page 3. These revisions are not meant to be changes to the
survey definitions; however we recognize that some institutions will need to revise their reporting as a result of these
modified instructions. A new question was added (see below) in order to account for the changes made this year.
•

The definition of R&D expenditures has been revised to include all expenditures for R&D from your institution’s
current operating funds that can be separately accounted for. This includes projects that are separately
budgeted and fall under OMB’s A-21 definition of organized research, as well as expenditures of other funds
designated for research.

•

In the box labeled “R&D includes”, three additional bullets were added: startup, bridge, or seed funding
provided to researchers within your institution, other departmental funds designated for research, and tuition
remission provided to students working on research.

•

In the box labeled “R&D does not include”, one bullet was revised to reduce ambiguity. It was changed from
“departmental research that is not separately budgeted” to “estimates of the proportion of time budgeted for
instruction that is spent on research.”

•

In the box labeled “Please include these components of your institution”, the “university 501(c)3 foundation”
bullet has been revised to include all university 501(c)3 foundations, not just those established to handle R&D
awards.

Changes to questions
•

Question 1. Row d, Nonprofit organizations. An instruction has been added to specify that funds from your
institution’s 501(c)3 foundation be reported in row e1 (institutionally financed research).

•

Question 1. Row e1, Institutionally financed research, has been clarified to include both organized research
and separately accounted for departmental research.

•

Question 1. Row e3, Unrecovered indirect costs. The wording has been modified to emphasize that only your
externally funded R&D should be used to calculate these costs.

•

Questions 7 and 8. Row a has been clarified to mean U.S. higher education institutions. Foreign institutions
should be reported in row d.

New question
•

Question 1.1. This question asks if four different types of institutionally financed R&D expenditures were
included in Question 1, row e1, both on the current FY 2012 survey and on the FY 2011 survey.

Survey Definitions and Instructions
Fiscal year (FY)
Please report data for your institution’s 2012 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
Include all R&D expenditures from your institution’s current operating funds that are separately accounted for. For purposes of
this survey, R&D includes expenditures for organized research as defined by 2 CFR 220 (OMB Circular A-21) and expenditures
from funds designated for research.
R&D includes:

R&D does not include:

• Sponsored research (federal and nonfederal)

•

Public service grants or outreach programs

• University research (institutional funds that are
separately budgeted for individual R&D projects)

•

Curriculum development (unless included as part of an
overall research project)

• Startup, bridge, or seed funding provided to
researchers within your institution

•

R&D conducted by university faculty or staff at outside
institutions that is not accounted for in your financial records

• Other departmental funds designated for research

•

• Recovered and unrecovered indirect costs (see
definitions in Question 1)

Estimates of the proportion of time budgeted for instruction
that is spent on research

•

Capital projects (i.e., construction or renovation of research
facilities)

•

Non-research training grants

•

Unrecovered indirect costs that exceed your institution’s
federally negotiated Facilities and Administrative (F&A) rate

• 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
• Tuition remission provided to students working on
research
Please include these components of your institution:
•

All units of your institution included in or with your
financial statements, such as:

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.

•

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

• Agricultural experiment stations
• Branch campuses
• Medical schools
• Hospitals or clinics
• Research centers and facilities
• A university 501(c)3 foundation

Question 1.

How much of your total expenditures for research and development (R&D) came
from the following sources in FY 2012? (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 F&A costs from external sponsors).
Report the original source of funds, when possible.
Include all fields of R&D (e.g., sciences, engineering, humanities, education, law,
arts). 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.
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 row e, 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. Report
funds from your institution’s 501(c)3 foundation in row e1.

______

e. Institutional funds
1. Institutionally financed research
All R&D funded by your institution, including both organized
research and separately accounted for departmental research.

(Confidential )

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

______

______
1

(Confidential )

3. Unrecovered indirect costs
Calculate this amount as follows for your externally funded R&D
only (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.
4. Total institutional funds

______
1

(Confidential )

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

$ 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.
Totals for rows e4 and g are automatically generated on the Web survey.

Question 1.1. Did you include the following types of funding in your response to Question 1, row e1?

a. Competitively awarded internal grants for research
Expenditures for organized research projects, involving a proposal or
statement of work with expected research outcomes.
b. Startup packages/bridge funding/seed funding

Included in
Question 1e1
this year
(FY 2012)

Included in
Question 1e1 in
previous year
(FY 2011)



Expenditures from funds provided to faculty members to begin or
continue their research while seeking external sponsors.
c. Other departmental funds designated for research
Expenditures for research from other departmental or central
accounts which do not match the descriptions provided in rows a or b.
d. Tuition assistance for student research personnel
University tuition assistance, waivers, or remission provided to
students working on organized research. Please check “included in
Question 1e1” even if these funds are reported as part of the
expenditures included under rows a, b, or c.

Question 2.

How much of the total R&D expenditures reported in Question 1, row g, 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

Question 3.

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

$ TOTAL

(Total should match Question 1, row g minus Question 1, row e4)
1

The column total is automatically generated on the Web survey.

Question 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 MD or DO degree), check here and go to Question 5.


R&D expenditures
(Dollars in thousands)

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

______

Question 5.

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 (1,000–3,000) 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 2012, check here:



R&D expenditures
(Dollars in thousands)

Human clinical trials
Trials with human patients
1

(2)
Nonfederal

(3)
1
Total

_____

$ TOTAL

(1)
Federal

The row total is automatically generated on the Web survey.

Question 6.

What amounts of your FY 2012 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 table below this question for examples.
R&D expenditures
(Dollars in thousands)

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

(1)
Federal

(2)
Nonfederal

(3)
1
Total

_____

$ TOTAL

_____

$ TOTAL

_____

$ 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?
Please report the original source of funds in columns (1) and (2) and the pass-through
source in rows a–d.
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. 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.
Examples:
• A university receives federal funds from another university as a subaward. (Row
a, column 1).
• A university receives federal funds from a company as a subaward (Row b,
column 1).

Originating source of R&D expenditures
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

Entity passing funds to your institution
a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions.

______

b. Businesses
For-profit organizations

c. Nonprofit organizations
Nonprofit foundations and organizations

d. Other
State and local governments, foreign
institutions, and others
e. Total
1

$ TOTAL

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

Question 8.

How much of the R&D expenditures reported in Question 1 did your institution
pass through to subrecipients?
Please report the original source of funds in columns (1) and (2) and the entity
receiving the funds in rows a–d.
Do not include vendor relationships. A vendor receives payment for goods and
services provided. See OMB Circular A-133, Section 210.
Examples:
• Your institution passed through federal funds to another university (Row a,
column 1).
• Your institution passed through funds from a company to another university
(Row a, column 2).

Originating source of R&D expenditures
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

Entity receiving funds from your institution
a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions.

______

b. Businesses
For-profit organizations

c. Nonprofit organizations
Nonprofit foundations and organizations

d. Other
State and local governments, foreign
institutions, and others
e. Total
1

$ TOTAL

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

Question 9A.

What were your FY 2012 R&D expenditures in engineering funded by the federal
agency sources below? (R&D expenditures from nonfederal sources will be
reported in Question 12.)
• Question 9 total (page 16, row K, column h) should match Question 1, row a.
• Please see “Related Information” on survey website for a list of the subagencies
belonging to each agency shown 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.
• For subrecipient funding, report the agency that sponsored the original award.
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

R&D Fields
(Examples listed below)

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
1

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

$ 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; NIH, National Institutes of Health; 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

5. Electrical

Architectural
Architecture
Environmental
Environmental health
Geotechnical
Hydraulic
Hydrologic
Sanitary
Structural
Transportation

Communications
Computer
Electronics
Power

6. Mechanical
Engineering mechanics

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

8. Other engineering
Agricultural
Engineering design
Engineering physics
Engineering science
Marine
Naval architecture
Nuclear
Ocean
Systems
Other engineering fields that
cannot be classified using
the fields listed above

Question 9 continues on next page.

Question 9B.

What were your FY 2012 R&D expenditures in the physical sciences funded by the
federal agency sources below? (R&D expenditures from nonfederal sources will be
reported in Question 12.)
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

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

B. Physical Sciences

____

1. Astronomy

2. Chemistry

3. Physics

4. Other physical
sciences

5. Total
1

____

$ 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; NIH, National Institutes of Health; 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—report in
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 that
cannot be classified using
the fields listed above

Question 9 continues on next page.

Question 9C–E. What were your FY 2012 R&D expenditures in the environmental, mathematical, and
computer sciences funded by the federal agency sources below? (R&D expenditures
from nonfederal sources will be reported in Question 12.)
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

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

C. Environmental Sciences
1. Atmospheric
sciences

2. Earth sciences

3. Oceanography

4. Other environmental
sciences

5. Total

D. Mathematical
Sciences
E. Computer Sciences
1

____

$ 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; NIH, National Institutes of Health; 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
that cannot be classified
using the fields listed 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 2012 R&D expenditures in the life sciences funded by the federal
agency sources below? (R&D expenditures from nonfederal sources will be reported
in Question 12.)
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

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

F. Life Sciences

____

1. Agricultural
sciences

2. Biological
sciences

3. Medical sciences $
4. Other life
sciences
5. Total
1

____

$ 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; NIH, National Institutes of Health; 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—report
in Social sciences, Economics
Agricultural engineering—report
in 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

2. 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

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

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 that cannot
be classified using the fields
listed above

Note: Please report veterinary R&D expenditures using agricultural sciences, biological sciences, and medical sciences, as appropriate.
Question 9 continues on next page.

Question 9G–I.

What were your FY 2012 R&D expenditures in psychology, social sciences, and
other sciences funded by the federal agency sources below? (R&D expenditures
from nonfederal sources will be reported in Question 12.)
R&D expenditures from federal sources

(Dollars in thousands)

R&D Fields
(Examples listed below)

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

5. Total

I. Other Sciences
1

$ 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; NIH, National Institutes of Health; NSF, National
Science Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.

Examples of Disciplines: Psychology, Social Sciences, and Other 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, cultural and
social
Anthropology, physical—report
in Life Sciences, Biological
Sciences
Comparative and historical
sociology
Complex organizations
Cultural and social structure
Demography
Group interactions
Population studies
Social problems and welfare
theory

H. Social Sciences
(continued)
4. Other social sciences
Archaeology
Area and ethnic studies
City and community planning
Community services
Corrections
Criminal justice
Geography
History of science
Linguistics
Urban affairs
Urban and regional planning
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–H) if it is impossible to
report multidisciplinary or
interdisciplinary R&D
expenditures in specific fields.

Question 9J–K.

What were your FY 2012 R&D expenditures in the non-science and engineering
(non-S&E) fields funded by the federal agency sources below? (R&D expenditures
from nonfederal sources will be reported in Question 12.)
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

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

J. Non-S&E Fields

____

6. Communication,
journalism, and
$
library science

____

1. Education

2. Law

3. Humanities

4. Visual and
performing arts

5. Business and
management

7. Social work

8. Other non-S&E
fields

9. Total

K. Total for All
2
Fields of R&D

____

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

$ TOTAL $ TOTAL

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

$ TOTAL $ TOTAL

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

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

2. Law
Legal studies

3. Humanities
English language and literature
Foreign languages and literature
General studies and humanities
History (except history of
science—report in Other
social sciences)
Letters

3. Humanities

(continued)
Liberal arts and sciences
Philosophy and religion
Theological studies and religious
vocations

4. Visual and performing arts
(no specific examples)

5. Business and management
Business management and
administrative services
Marketing distribution
Marketing operations

6. Communication,
journalism, and library
science
Communication
Communications technologies
Library science

7. Social work
(no specific examples)

8. Other non-S&E fields
Military technologies
Parks, recreation, leisure and
fitness studies
Other non-S&E fields that
cannot be classified using
the fields listed 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 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 largest R&D expenditures.
Use row k to report any remaining amount.
For subrecipient funding in this question, list the sponsor of the original award.
Please see “Related Information” on the survey website for a list of federal agencies
and their subagencies.
R&D expenditures

Federal agencies (list up to 10)



(Dollars in thousands)

________________________________

______

________________________________

Other agencies included in Question 9, column g, but not listed above

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

______
______
______
______
______
______
______
______
______
______

$ TOTAL

The column total is automatically generated on the Web survey.

Question 11. 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 2012 R&D expenditures in the engineering and physical
sciences fields funded by the nonfederal sources below?
•
•

The totals in row K, page 20, should match the 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. 11–12)

(a)
State and
local
government

(b)

Business

(c)

(d)

Nonprofit
Institutional
organizations
funds

(e)
Other
nonfederal
sources

(f)

Total

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ 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

B. Physical Sciences

____

$ TOTAL

2. Chemistry

3. Physics

4. Other physical
sciences
5. Total
1

____

1. Astronomy

____

$ 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 pages 11–12.

Question 12 continues on next page.

Question 12C–I.

What were your FY 2012 R&D expenditures in the R&D fields listed below funded
by the nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, pp. 13–15)

(a)
State and
local
government

(b)

Business

(c)

(d)

Nonprofit
Institutional
organizations
funds

(e)
Other
nonfederal
sources

(f)

Total

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

C. Environmental Sciences

____

$ TOTAL

____
$____

____

1. Atmospheric sciences

2. Earth sciences

3. Oceanography

4. Other environmental
sciences
5. Total

D. Mathematical Sciences
E. Computer Sciences

____

$ TOTAL

____
$____

$ TOTAL

____

$ TOTAL

F. Life Sciences
1. Agricultural sciences

2. Biological sciences

3. Medical sciences

4. Other life sciences

$ TOTAL

5. Total

G. Psychology

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

H. Social Sciences
1. Economics

2. Political science

3. Sociology

4. Other social sciences

$ TOTAL

5. Total

I. Other Sciences
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 13–15.
Question 12 continues on next page.

Question 12J–K. What were your FY 2012 R&D expenditures in the non-science and engineering
(non-S&E) fields funded by the nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, p. 16)

(a)
State and
local
government

(b)

Business

(c)

(d)

Nonprofit
Institutional
organizations
funds

(e)
Other
nonfederal
sources

(f)

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

$
$

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

7. Social work

8. Other non-S&E
fields

$ TOTAL

9. Total

K. Total for All Fields of
1
R&D

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 16.

Question 13. 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–e.
Recovered and unrecovered indirect costs should be reported in rows f1 and f2.
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.

______

d. Pass-throughs to other universities or organizations
(should match the total in Question 8, row e, 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.

______

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 setup.

f. Indirect costs
1. Recovered indirect costs
Reimbursement of Facilities and Administrative (F&A) costs
from external sponsors.
2. Unrecovered indirect costs
(should equal Question 1, row e3)

______
1

(Confidential )

______
1

(Confidential )

3. Total indirect costs

$ TOTAL

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

$ TOTAL

Question 14. At the end of FY 2012, what were your institution’s dollar capitalization thresholds
(in thousands) for software and equipment?
Dollars in thousands
(1)
Software
Capitalization thresholds

______

(2)
Equipment

______
21

Question 15A–C. For the R&D fields below, what portion of your FY 2012 R&D expenditures went
for the purchase of capitalized R&D equipment?
Question 15 total (row K, column c) should match Question 13, row c (Capitalized equipment).
R&D equipment expenditures
(Dollars in thousands)

(a)
Federal

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

(b)
Nonfederal

A. Engineering
1. Aeronautical/Astronautical
2. Bioengineering/Biomedical engineering
3. Chemical
4. Civil

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

$
$
$

5. Electrical
6. Mechanical
7. Metallurgical/Materials
8. Other engineering
9. Total

______

$
$
$
$

$ TOTAL

B. Physical Sciences

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

4. Other physical sciences

______

3. Physics

$ TOTAL

______

2. Chemistry

______

1. Astronomy

5. Total

$ TOTAL

C. Environmental Sciences

5. Total
1

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

4. Other environmental sciences

______

3. Oceanography

$ TOTAL

______

2. Earth sciences

______

1. Atmospheric sciences

$ 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 15 continues on next page.

Question 15D–I.

For the R&D fields below, what portion of your FY 2012 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, pp. 13–15)

(b)
Nonfederal

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

E. Computer Sciences

______

D. Mathematical Sciences

F. Life Sciences
1. Agricultural sciences

2. Biological sciences

3. Medical sciences

4. Other life sciences

5. Total

G. Psychology

$ TOTAL

______

H. Social Sciences
1. Economics

2. Political science

3. Sociology

4. Other social sciences

5. Total

I. Other Sciences
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 13–15.

Question 15 continues on next page.

Question 15J–K. For the non-science and engineering (non-S&E) R&D fields below, what
portion of your FY 2012 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. 16)

(b)
Nonfederal

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

J. Non-S&E Fields

______

8. Other non-S&E fields

______

7. Social work

______

6. Communication, journalism, and library
science

______

5. Business and management

______

4. Visual and performing arts

______

3. Humanities

______

2. Law

______

1. Education

9. Total

K. Total for All Fields of R&D

Total for row K, column c, should match Question 13, row c (Capitalized equipment).
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 16.

Question 16. 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.

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 17. 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

_________________

____________

_________________

____________

Institution name

_________________

____________

_________________

____________

Building/department

_________________

____________

_________________

____________

Street address (line 1)

_________________

____________

_________________

____________

Street address (line 2)

_________________

____________

_________________

____________

City, state, and ZIP code

_________________

____________

_________________

____________

Phone number

_________________

____________

_________________

____________

Fax number

_________________

____________

_________________

____________

E-mail address

_________________

____________

_________________

____________

B. Fiscal year: In what month did your institution’s 2012 fiscal year end?

_______________

C. Survey completion time: Considering all offices involved, approximately how long did it take to complete
this survey?

______

hours

D. Additional comments:
__________

___________________

__________

___________________

__________

___________________

__________

___________________

__________

___________________

File Type	application/pdf
File Title	Higher Education Research and Development Survey, FY 2009
Author	NSF
File Modified	2012-08-16
File Created	2012-08-16