FY 2013 FFRDC R&D Survey

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

NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

FFRDC RESEARCH AND DEVELOPMENT SURVEY
FY 2013

Please submit your survey data by January 31, 2014.
This survey collects data on research and development (R&D) expenditures at Federally Funded R&D Centers
(FFRDCs). Please report R&D activities and expenditures for your organization’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 organization’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 11 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.ffrdcsurvey.org

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

Thank you for your participation.

Survey Definitions and Instructions
Fiscal year (FY)
Please report data for your organization’s 2013 fiscal year.
Research and development (R&D) expenditures
Please include all current operating expenditures for activities specifically organized to produce R&D outcomes. This
includes basic research, applied research, and development funded by external sponsors or separately budgeted
and accounted for by your organization using internal funds.
Research is systematic study directed toward fuller knowledge or understanding of the subject studied.
• 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 and practical
experience directed toward the production of useful materials, devices, systems, or methods, including the design
and development of prototypes and processes.

R&D includes:

R&D does not include:

•

•

Outreach or training programs

•

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

•

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

Sponsored research (including federal and nonfederal
sponsors)

•

Indirect costs associated with R&D projects

•

R&D equipment and software

•

R&D subcontract expenditures

•

Clinical trials

•

Research training grants

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Question 1.

How much of your total expenditures for separately budgeted research and
development (R&D) came from the following sources in FY 2013? (See definition
of R&D on the previous page)
Report the original source of funds, when possible. For example, if you received
federal funds from another organization, report that amount under “U.S. federal
government.”
Please do not report capital construction costs.
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 organization.

$

b. State and local government
Any state, county, municipality, or other local government entity in
the United States, including state health agencies.

$

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

f.
1

Total

______

$

1

$ TOTAL

Column totals are automatically generated on the Web survey.

Question 2.

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

______

$

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Question 3.

What amounts of your FY 2013 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 or project director. Estimates are
acceptable if necessary.
See the table below this question for examples.
R&D expenditures
(Dollars in thousands)

(1)
Federal

(2)
Nonfederal

(3)
1
Total

_____

$

_____

$ TOTAL

_____

$

_____

$ TOTAL

$

_____

$

_____

$ TOTAL

$ TOTAL

$ TOTAL

$ TOTAL

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

$

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

$

c. Development
The systematic use of the knowledge or
understanding gained from research and practical
experience directed toward the production of
useful materials, devices, systems, or methods,
including the design and development of
prototypes and processes.
d. Total

1

Column 1 total should match Question 1, row a.
Column 3 total should match Question 1, row f.
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.

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Question 4.

Of the total R&D expenditures reported in Question 1, what were the amounts for
the following types of costs?
Please report only direct costs in rows a–e. Indirect costs should be reported in row f.
R&D expenditures
Direct costs from all sources

(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 internal funds and from external
support.

______

$

b. Software purchases
All payments for software. Include both purchases of software
packages and license fees for systems.

$

c. Equipment
Payments for movable equipment. Include ancillary costs such
as delivery and setup.

$

d. Subcontracts
Payments to subcontractors or subrecipients for services on
R&D projects.

$

______
______
______

e. Other direct costs
Other costs that do not fit into one of the above categories,
including (but not limited to) travel, computer usage fees, and
supplies.

______

$

Indirect costs
f. Indirect costs

______

$

Include all indirect costs (overhead) associated with R&D projects.

1

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

$ TOTAL

Column totals are automatically generated on the Web survey.

Question 5.

What was the total executed operating budget of your FFRDC in FY 2013,
excluding capital construction costs?

(Dollars in thousands)

Total operating budget

______

$

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Question 6.
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

_________________

____________

_________________

____________

Organization name

_________________

____________

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Street address (line 1)

_________________

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Street address (line 2)

_________________

____________

_________________

____________

City, state, and ZIP code

_________________

____________

_________________

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Phone number

_________________

____________

_________________

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Fax number

_________________

____________

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E-mail address

_________________

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_________________

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B. Fiscal year: In what month did your organization’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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