FY 2013 Higher Education R&D Survey - short form

FORM APPROVED
OMB No. 3145-0100
Expiration Date: mm/dd/yy

NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2013 Short Form

Please submit your survey data by January 31, 2014.
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 2013 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 8 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/shortform/
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 2013
Changes to questions
•

Question 1. Row d, Nonprofit organizations. An instruction has been added to specify that funds from other
universities and colleges should be reported in row f, All other sources.

•

Question 1. Row f, All other sources. In addition to funds from foreign governments, instructions have been
revised to specify that funds from foreign and U.S. universities and colleges should be reported in this row. If
funds were received from another university as a subaward, those funds should continue to be reported under
the original source. Also, the instructions now specify that gifts designated by the donors for research should be
included in this row.

2

Survey Definitions and Instructions
Fiscal year (FY)
Please report data for your institution’s 2013 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
• 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 president, chancellor, or
equivalent 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

3

Question 1.

How much of your total expenditures for research and development (R&D) came from
the following sources in FY 2013? (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 on pages 9–11.
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, except universities
and colleges. Report funds from your institution’s 501(c)3 foundation in row e1.
Funds from other universities and colleges should be reported in row f.

$

______

$

______

$

______

$

______

e. Institutional funds
1. Institutionally financed research
All R&D funded by your institution from accounts that are only used for
research.

$

1

(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

2

2

______
1

(Confidential )

2

f. All other sources
Other sources not reported above, such as funds from foreign governments,
foreign or U.S. universities, and gifts designated by the donors for research.
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.

4

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



5

Question 2.

What were your FY 2013 R&D expenditures in the fields below? Please report
federally funded expenditures in column (1) and all other expenditures in column (2).
•

Examples of the disciplines included under each field are provided on pages 9–11.
R&D expenditures
(Dollars in thousands)

(1)
Federal

R&D Fields

(2)
Nonfederal

(3)
1
Total

a. Computer Sciences

$

______

$

______

$ TOTAL

b. Engineering

$

______

$

______

$ TOTAL

c. Environmental Sciences

$

______

$

______

$ TOTAL

d. Life Sciences

$

______

$

______

$ TOTAL

e. Mathematical Sciences

$

______

$

______

$ TOTAL

f. Physical Sciences

$

______

$

______

$ TOTAL

g. Psychology

$

______

$

______

$ TOTAL

h. Social Sciences

$

______

$

______

$ TOTAL

i. Other Sciences

$

______

$

______

$ TOTAL

j. Non-S&E fields

$

______

$

______

$ TOTAL

$ TOTAL

$ TOTAL

k. Total for All Fields of R&D

1

$ TOTAL

Total in row k, column (1) should match total reported in Question 1, row a.
Total in row k, column (2) should match total reported in Question 1, rows b–f.
1

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

6

Question 3.

How much of your R&D expenditures reported in Question 1 did your institution
receive as a subrecipient from another U.S. university or college?
Please report the original source of funds in columns (a) and (b).
The subrecipient for an award carries out the work but receives the funds from a passthrough 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.

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

(a)
Federal

(b)
Nonfederal

(c)
1
Total

______

$ TOTAL

Funds received from other U.S. higher education
institutions
Include colleges and universities and units owned,
operated, and controlled by such institutions.
1

$

______

$

The row total is automatically generated on the Web survey.

Question 4.

How much of the R&D expenditures reported in Question 1 did your institution
pass through to subrecipients at other U.S. universities or colleges?
Please report the original source of funds in columns (a) and (b).
Originating source of R&D expenditures
(Dollars in thousands)

(a)
Federal

(b)
Nonfederal

(c)
1
Total

______

$ TOTAL

Funds passed through to other U.S. higher
education institutions
Include colleges and universities and units owned,
operated, and controlled by such institutions.
1

$

______

$

The row total is automatically generated on the Web survey.

1

7

Question 5.
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 2013 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:
__________

___________________

__________

___________________

__________

___________________

__________

___________________

__________

___________________

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EXAMPLES OF DISCIPLINES UNDER EACH R&D FIELD
1. Computer Sciences
Computer systems analysis
Data processing

Information sciences
Information technology

Management information
systems

Civil

Electrical

2. Engineering
Aeronautical/
Astronautical
Aerodynamics
Aerospace engineering
Space technology

Bioengineering/
Biomedical engineering
Biomaterials
Medical engineering

Chemical

Architectural
Architecture
Environmental
Environmental health
Geotechnical
Hydraulic
Hydrologic
Sanitary
Structural
Transportation

Petroleum
Petroleum refining process
Plastics
Polymer
Wood science

Communications
Computer
Electronics
Power

Mechanical
Engineering mechanics

Metallurgical/Materials

Other engineering
Agricultural
Engineering design
Engineering physics
Engineering science
Marine
Naval architecture
Nuclear
Ocean
Systems

Ceramic
Materials science
Metallurgy
Mining and mineral
Textile
Welding

3. Environmental Sciences
Atmospheric sciences
Aeronomy
Extraterrestrial atmospheres
Meteorology
Solar
Weather modification

Earth sciences
Cartography
Earth and planetary sciences
Geochemistry
Geodesy and gravity
Geology
Geomagnetism
Geophysics
Hydrology
Paleomagnetism
Paleontology
Physical geography
Seismology
Surveying

Oceanography
Biological oceanography
Chemical oceanography
Geological oceanography
Marine biology
Marine oceanography
Physical oceanography

Examples of disciplines continue on next page.

9

4. Life Sciences
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

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

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

Medical sciences
(continued)
Preventive medicine
Psychiatric nursing
Psychiatry
Public health
Radiation biology/
Radiobiology
Thoracic surgery
Urology
Veterinary medicine

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

5. Mathematical Sciences
Algebra
Analysis
Applied mathematics

Foundations and logic
Geometry
Numerical analysis

Operations research
Statistics
Topology

Chemistry

Physics

6. Physical Sciences
Astronomy
Astrophysics
Gamma-ray astronomy
Neutrino astronomy
Optical astronomy
Radio astronomy
X-ray astronomy

(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

7. Psychology
Animal behavior
Art therapy
Clinical psychology

Educational psychology
Experimental psychology

Human development and
personality

School psychology
Social psychology

Examples of disciplines continue on next page.

10

8. 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

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

Sociology
Anthropology, cultural and
social
Anthropology, physical—
report in Life Sciences
Comparative and historical
sociology
Complex organizations
Cultural and social structure
Demography
Group interactions
Population studies
Social problems and welfare
theory

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

9. Other Sciences
Use this category for R&D that involves at least one S&E field (fields 1–8) if it is impossible to report multidisciplinary or interdisciplinary R&D
expenditures in specific fields.

10. Non-S&E Fields
Business and
management
Business management
and administrative
services
Marketing distribution
Marketing operations

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

Humanities
English language and
literature
Foreign languages and
literature
General studies and
humanities
History (except history
of science—report in
Social sciences)
Letters
Liberal arts and
sciences
Philosophy and religion
Theological studies and
religious vocations

Law
Legal studies

Social work
Visual and
performing arts

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

Education

11