State Government R&D Survey

Attachment C

FY 2016 Survey of State Government R&D
Reference Copy Only
Submit your survey responses at:
https://bhs.econ.census.gov/bhs/sgrd
Survey Questions

pages 2-15

(Click here)

The purpose of this survey is to measure your state’s contributions toward scientific and technological advances.
The results of this survey will be used to estimate national totals for R&D in conjunction with other data collected
by the National Science Foundation from private industry, academic institutions, and the federal government.
The U.S. Census Bureau conducts the survey and requests your voluntary assistance under the authority of
Title 13 United States Code, Section 8(b) and Title 42 United States Code, Sections 1861-76 (National Science
Foundation Act of 1950, as amended).
If you have any questions, please contact:
Vicki Mills
U.S. Census Bureau
1-888-340-7525
[email protected]

Burden Statement

OMB: 0607-0933
Exp: 05/31/2016

This collection has been approved by the Office of Management and Budget (OMB). The eight-digit OMB approval
number is 0607-0933 and appears in the upper right corner of the login screen. Without this approval, we could
not conduct this survey.
The time required to complete these responses is estimated to be approximately 1 hour for the
state coordinator and 2 hours for agency respondents.
The burden on state coordinators includes the initial identification of department and agency contacts, and final
review and verification of state data.
The burden on agency respondents includes the initial collection of data and the entry of data into the
Web application.
Send comments about this burden estimate or any other aspect of this collection of information, including
suggestions for reducing burden to:
ECON Survey Comments 0607-0933
U.S. Census Bureau
4600 Silver Hill Road, Room EMD-6K064
Washington, DC 20233
You may e-mail comments to [email protected]. Be sure to use "ECON Survey Comments
0607-0933" as the subject.

1

Attachment C

Question 1

Contact Information

Please complete the contact information below and update if needed. (*required fields)
Primary Respondent
Your Name:*
Title:*
Agency:
Address:

City:*
State:*

Select state

-

Zip:
(

Telephone:*

)

-

Extension:

-

Extension:

Email:*
Additional Respondent (if applicable)
Your Name:
Title:
Agency:
Address:

City:
State:

Select state

-

Zip:
Telephone:

(

)

Email:

2

Attachment C

Question 2

Reporting Period

2a. When did your state agency’s Fiscal Year 2015-16 end?
Note: For the rest of this survey, we will refer to this Fiscal Year as FY 2016.

Month

Day

2016

3

Attachment C
Question
3

R&D Activity in FY 2016

Please read through the following definitions of R&D and answer the Screener
Question below.
What is Research and Development (R&D)?
Research and development (R&D) is creative work conducted systematically to extend scientific
knowledge, or devise new applications, which may include materials, products, devices, processes,
systems, methods, or services.
What is R&D?
• R&D is aimed at new findings
o
o
o

It has not been done before
It may produce findings that could be published in academic journals
It includes ideas that could be patented

• R&D increases our knowledge of the subject
o

Helps create new products or applications

• R&D creates solutions that others may find useful
o Findings can be generalized to other situations and locations
• R&D outcomes are uncertain (because it’s never been done before)
o

Solutions are not always obvious or expected

What is NOT R&D?
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•

Construction and acquisition of land and facilities used primarily for R&D (this is reported
separately in Question 11)
Fixed equipment used primarily for R&D (this is reported separately in Question 11)
Program planning and evaluation
Business development services for new companies
Commercialization (includes promoting/producing the products/services from R&D projects)
Economic/policy/feasibility studies
General patient services
Information systems
Management studies
Marketing of products/services
Market research or analysis
Routine data collection/dissemination
Routine monitoring/testing
Strategic planning
Technology transfer

Go to Question 3

4

Attachment C

What makes it R&D?

Examples of R&D
When it is R&D

When it is NOT R&D

R&D is novel.
•

It increases our
knowledge of the
subject.

•

It hasn’t been done
before.

You are testing blood samples
as part of a research project to
find out the side effects of a
new cancer treatment.

You are collecting information
from samples of patients to
estimate the incidence of
chicken pox in the state’s
population. (You are using a
standard approach to estimate
the spread of chicken pox.)

You are testing a pavement on
your highways that is currently
used only at airports. Other
states will want the results.

You are testing pavement on
your state’s highways to
estimate how much you need to
budget for pavement
replacement over the next five
years. (Other states will not
benefit from your specific state
information.)

Your research involves
monitoring streams to
determine whether a new
program is increasing the
population of a particular type
of fish.

You are monitoring streams as
part of plan to implement longterm monitoring for a particular
type of fish. (The monitoring
plan has already been tested
and you are certain of the
quality of the plan.)

R&D creates solutions useful
to others.
•

Others might benefit
from the findings.

•

The findings can be
generalized to other
situations and
locations.

The outcome of R&D is
uncertain.
• The solution isn’t
obvious to an expert
in that field.

Reporting unit
The reporting unit is your department, agency, commission, public authority (herein referred to as
agency) including all divisions and offices regardless of location that either perform or fund R&D.
Estimates are acceptable
Please report all items to the best of your ability.
Go to Question 3

5

Attachment C

Examples of classifying R&D from four activities
Activity

It IS R&D

It is NOT R&D

Technical assistance

You hire a technical consultant
to test the disease resistance
for the new fish species you are
developing. (The assistance
addresses the uncertainty of the
science/technology aspects of
the product or service.)

You hire a technical consultant
to help you design the graphic
design for the package to ship
your new fish species when you
begin offering it for sale to
other states. (The assistance
addresses the uncertainty of the
marketing/production aspects of
the product or service.)

Help for new businesses

You provide funding to new
businesses to help them with
the costs of building prototypes
of products they are developing.

You provide funding for new
technology companies to help
them acquire basic skills to
market their new products.

Consulting

You use a consultant to plan
testing of a highway pavement
material that your transportation
research center is trying to
develop.

You use a consultant to help
you secure health and safety
approval for your new pavement
material.

Developing a product from your
research

You hire a university research
center to test a new type of
grass you developed to test
whether it will survive actual
conditions along the coastline.

You hire a law firm to help you
with the process for patenting
the new grass that you
developed.

Go to Question 3

6

Attachment C

Question 3
3.

R&D Activity in FY 2016

Did your agency do any of the following during FY 2016?

3a. Had a division, branch, or office devoted to research and development?
Yes
No
3b. Performed research and development activities using agency staff?
Yes
No
3c. Funded research and development at another state or local government?
Yes
No
3d

Funded universities or other nonprofit organizations to perform research and development
activities?
Yes
No

3e

Funded companies or individuals to perform research and development activities?
Yes
No

3f.

Performed or fund other research and development activities not specified above?
Yes

NO

Please specify:

Back to What is Research and Development (R&D)?

7

Attachment C
Question
4

Expenditures for R&D Performed Internally
(Internal R&D)

4. During FY 2016, what were the total expenditures for internal R&D performance from federal
funds, state funds, or other funds? If none, please report $0.
Include
Types of Activities
• R&D performed by your agency’s employees
• Services performed by others in support of an agency R&D project (e.g. lab testing)
• Administration and management of R&D performed external to your agency
(e.g.,administration or R&D-related contracts or grant recipients)
Types of Costs
• Salaries
• Benefits
• Supplies and movable equipment for R&D
• Travel
• Indirect costs
• Purchased services
Exclude
• R&D performed by higher education institutions
• R&D performed by businesses and individuals
• R&D performed by non-profit organizations
• R&D performed by other governments
• Construction and acquisition of land or facilities used primarily for R&D (report in Question 11)
• Fixed equipment used primarily for R&D (report in Question 11)
FY 2016
a. Federal Funds used for internal R&D..................
$
For example:
• Grants
• Awards
• Contracts
• Appropriations from the United States Government
b.

State Funds used for internal R&D.....................
For example:
• Appropriations from the state legislature
• Bond Funds
• General funds
• Restricted funds
• Revenue funds
• State grants
• Tobacco settlement funds
• Lottery proceeds
• Funds from other agencies within your state

$

c.

Other Sources used for internal R&D..................
For example:
• Funding from other state governments
• Funding from state/regional partnership agreements
• Funding from local or tribal governments
• Funding from nonprofit organizations
• Funding from business

$

Please Specify

d.

These are your total expenditures for internal
R&D:(sum of 4a through 4c) …………….……………….

8

$

0

Attachment C

Question 5

Expenditures for R&D Performed by External Entities
(External R&D)

5. During FY 2016, what were the total expenditures for external R&D performance from
federal funds, state funds, and other funds? If none, please report $0. Include
•

R&D funded by your agency and performed by:
•
•
•
•
•

higher-education institutions
agricultural experiment stations
businesses and individuals
non-profit organizations
other state or local governments

Exclude
•
a.

pass-through funding for which you have no administrative oversight or control
Federal Funds used for external R&D..................
For example:
•
•
•
•

FY 2016

$

Grants
Awards
Contracts
Appropriations from the United States Government

b.

State Funds used for external R&D.....................
For example:
• Appropriations from the state legislature
• Bond Funds
• General funds
• Restricted funds
• Revenue funds
• State grants
• Tobacco settlement funds
• Lottery proceeds
• Funds from other agencies within your state

$

c.

Other Sources used for external R&D..................
For example:
• Funding from other state governments
• Funding from state/regional partnership agreements
• Funding from local or tribal governments
• Funding from nonprofit organizations
• Funding from business

$

Please specify:

d.

These are your total expenditures for external
R&D: (sum of 5a through 5c) …........……………………….

9

$

0

Attachment C

Question 6

Total R&D Expenditures

6. The following matrix shows the answers reported in Question 4 and Question 5.
To revise them, please return to the appropriate question and enter new data.
FY 2016

External

Internal

Total by
Source

Federal

$

$

$ 0

State

$

$

$ 0

Other

$

$

$ 0

$ 0

$ 0

$ 0

TOTAL

10

Attachment C
Question
7

7. Of the $ 0

Total R&D Expenditures by Function
for FY 2016 reported expenditures, how much was for:

a.

Agriculture..........................................................
For example:
• Animal husbandry
• Aquaculture
• Crop management
• Food and commodities

$

b.

Energy................................................................
For example:
• Alternative fuels (e.g., ethanol, biofuels)
• Energy conservation/efficiency
• Oil and gas
• Other fossil fuels (e.g., coal, clean-coal, lignite)
• Renewable energy (e.g., wind, solar)

$

c.

Environment and Natural Resources...................
For example:
• Air and water quality
• Fish, game, and wildlife
• Forestry
• Geological studies
• Marine and aquatic environments
• Parks and preserves
• Soil and water conservation

$

d.

Health................................................................
For example:
• Biomedical research
• Mental health and addiction
• Pharmaceutical
• Public health

$

e.

Transportation...................................................
For example:
• Aviation
• Highways, roads, and bridges
• Ports and waterways
• Public transportation
• Rail and freight

$

f.

Other functions .................................................
For example:
• Corrections and criminal justice
• Education
• Labor
• Public safety
• Social services
Please specify:

$

g.

Total (sum of 7a through 7f) ………………………….…………

11

$

$ 0

FY 2016

Attachment C

Question 8

Funds Received from Federal Agencies for R&D

8. Of the $ 0

for FY 2016 reported expenditures from federal funds, what amount came

from the following agencies? Please add any agencies not already listed. If none, please report $0.

Federal Agency

FY 2016

Department of Agriculture
Department of Commerce
Department of Defense
Department of Education
Department of Energy
Department of Health and Human Services
Department of Homeland Security
Department of Housing and Urban Development
Department of the Interior
Department of Justice
Department of Labor
Department of State
Department of Transportation
Department of the Treasury
Department of Veterans Affairs
Environmental Protection Agency
National Aeronautics and Space Administration
National Science Foundation

$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$
$

Other, please specify:
$
$
Total (sum of all above) ……………………………………………………….......

12

$ 0

Attachment C

Question 9

FY 2016 Expenditures for R&D Performed Internally by
Type of Work

9. What amount of your
$ 0

reported FY 2016 federal internal R&D expenditures and

reported FY 2016 non-federal internal R&D expenditures in Question 4 were for

basic research, applied research, and experimental development from federal and non-federal
funds? (Please use your best estimate)
FY 2016
Federal

Non-Federal

a. Basic Research……….……….....

$

b. Applied Research……………......

$

$

c. Experimental Development….$

$

$

Research undertaken primarily to acquire new
knowledge without any particular application or
use in mind.
(see Examples of Basic Research below)

$

Research conducted to gain the knowledge or
understanding to meet a specific, recognized
need. (see Examples of Applied Research below)

The systematic use of the knowledge or
understanding gained from research directed
towards the production of useful materials,
devices, systems, or methods, including the
design and development of prototypes and
processes.
(see Examples of Experimental Development
below)

d. Total (sum of 9a through 9c)...$

$

13

0

$

0

Attachment C

Basic Research

Examples
Applied Research

Experimental Development

You are studying the properties of
blood to determine what affects
coagulation.

You are conducting research on
how a new chicken pox vaccine
affects blood coagulation.

You are testing a newly developed
chicken pox vaccine with various
ages of school children before
implementing it statewide.

You are studying the properties of
molecules under various heat and
cold conditions.

You are conducting research on
the properties of particular
substances under various heat and
cold conditions with the objective
of finding longer lasting
components for pavement.

You are testing a newly developed
pavement under various types of
heat and cold conditions prior to
using it on your state’s highways.

You are studying the heart
chambers of various fish species.

You are examining various levels
of a toxic substance to determine
the maximum safe level for fish in
a stream.

You are designing a new system
for monitoring a stream that will
try out the results of your recent
research in a real world situation.

You are studying the effects of
various strategies for teaching
math in order to understand
which is the most effective.

You are studying the
implementation of a specific math
curriculum to determine what
factors lead to successful
implementation by teachers.

You are using research in the field
to develop education software
and support tools for math
curriculum.

Back to Question 9

14

Attachment C

Expenditures for R&D Performed Externally by type of
Entity

Question 10

10. Of the reported external R&D performance of $ 0

for FY 2016 in Question 5,

how much was to
FY 2016
a. Higher education institutions?.......................

$

b. Businesses or individuals? .........................

$

c. Other entities? ...............................................
For example:

$

• Other state governments
• Local governments
• Non-profit organizations
Please specify:

d. Total (sum of 10a through 10c) .........................

Question 11

$ 0

R&D Expenditures for Land and Facilities

11. During FY 2016, what were your agency’s R&D expenditures for construction and
acquisition of land and facilities (including fixed equipment) used primarily for R&D?
This question asks about R&D land and facilities (including fixed equipment, such as reactors, wind
tunnels, and particle accelerators) used primarily for R&D. It includes the acquisition of, construction
of, and major repairs or alterations to structures, works, equipment, facilities, or land for use in R&D
activities.
Construction and acquisition of land and facilities used primarily for R&D includes major costs
for construction and purchase of buildings to be primarily used as R&D facilities.
Include:
• Only expenditures related to the R&D activities of your agency.
Exclude:
• Expendable or movable equipment (e.g., spectrometers, microscopes).
• Office furniture and equipment.
• Costs of pre-design studies (e.g., those undertaken before commitment to a specific facility).
NOTE: The expenditures reported on this question are separate from the R&D expenditures asked
throughout the rest of the survey, and should not be included in the expenditures on any other
question in the survey.
FY 2016
$

15