NSF Survey of Nonprofit Research Activities - Performer Respondents

NSF Survey of Nonprofit Research Activities (NPRA)

Attachment A - FY 2016 Survey of NPRA

NSF Survey of Nonprofit Research Activities - Performer Respondents

OMB: 3145-0240

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Attachment A. FY 2016 Survey of Nonprofit Research Activities
i. FY 2016 NSF Survey of Nonprofit Research Activities
ii. FY 2016 NSF Survey of Nonprofit Hospital Research Activities

FY 2016 NSF Survey of Nonprofit Research Activities

FORM APPROVED
OMB NO. 3145-0240
EXPIRATION DATE: XX/XX/20XX

NATIONAL SCIENCE FOUNDATION
SURVEY OF NONPROFIT RESEARCH ACTIVITIES
FY 2016
Dear Nonprofit Executive/Research Director:
Nonprofit organizations are an integral part of our economy, and the National Science Foundation (NSF) wants to
hear from you.
This survey focuses on research performed or funded by U.S. nonprofit organizations. If your organization does
not perform or fund research, please contact our help desk at [email protected] or 844-592-6268 so
that we may remove you from future contacts.
The types of information requested in the survey are generally available from the following offices within a nonprofit
organization:


Chief Financial Officer / Finance Department



Human Resources



Director of Research / Chief Science Officer / Research Department

The survey also requests information from your 2016 IRS Form 990 or Form 990-PF.
Your organization’s response is voluntary and is extremely important. NSF is authorized to collect this information
under the National Science Foundation Act of 1950, as amended. NSF will use the collected information to produce
critical national estimates of spending on research and development, and will make the data from this survey
available to the public through data tools and other resources on our website. Our goal is to be able to show research
spending and funding at the organization level by various categories so that nonprofits can benchmark with their
peers. You may select how your organization’s information is reported in question 24.
Questions?
Technical support:
ICF
[email protected]
844-592-6268

Survey questions:
Ronda Britt, Project Officer
National Science Foundation
[email protected]

Please submit your response by Month dd, 2018.
Thank you for contributing to this study of our Nation’s nonprofit research activities!
Under the Paperwork Reduction Act of 1995, individuals do not have to respond to a collection of information unless such collection
displays a valid Office of Management and Budget (OMB) control number. The OMB control number for this survey is displayed at
the top right of this page. Per the Federal Cybersecurity Enhancement Act of 2015, your data are protected from cybersecurity risks
through screening of the federal information systems that transmit your data.
The time required to complete these responses is estimated to be approximately 4 hours for organizations that perform and/or fund
research or 20 minutes for those who do not. This includes the initial identification of the research activities, contracts/grants, and
personnel, as well as the final review and verification of your organization’s response. If you wish to comment on the time required
to complete this survey, please contact Suzanne Plimpton of NSF at 703-292-7556, or e-mail [email protected] using "Survey of
Nonprofit Research Activities" as the subject. Thank you for your participation.

GENERAL INFORMATION

What is the name of the organization for which you are reporting as listed in your IRS Form <990> <990PF>?
For the purposes of this survey, your organization is defined as all units included in your Internal Revenue
Service Form 990 filing.

Is this correct?
Yes
No

Please provide the name of the organization for which you are reporting below.

What is the Employer Identification Number (EIN) of the organization for which you are reporting as
listed in your IRS Form <990> <990-PF>?

Is this correct?
Yes
No

Please contact our helpdesk at 844-592-6268 or [email protected] before
continuing.

Is your organization affiliated or considered part of another for-profit, nonprofit, or higher education
organization? For example, a specific hospital foundation, university research entity, etc.
No
Yes

Please provide the name of the organization with which your organization is affiliated.

ERAL

What were your total expenses for 2016 as (would be) reported on

Please note while nonprofit organizations’ IRS Form 990s [990-PFs] are publicly accessible, your 2016 form
may not have been released at this time. Thank you for taking the time to provide this information.
$

.00

GENERAL INFORMATION
The remaining questions cover your organization’s fiscal year ending in 2016.

InI what month did your organization’s Fiscal Year (FY) 2016 end?

N
I
O
N

Month

Year

__ __

2016

Fiscal Year End

How many Full-Time Equivalent persons (FTEs) were employed by your organization in FY 2016?
FTEs are calculated as the total working (paid) hours during a specific reference period (usually a calendar year)
divided by the number of hours representing a full-time schedule within the same period.
For example, if you have 3 people working 20, 30, and 40 hours in a week and a full-time schedule is 40 hours a
week at your organization, your FTE calculation is (20 + 30 + 40)/40 = 2.25 FTE.
Include only the following types of employees:


Full-time



Part-time



Temporary/seasonal

FTEs
If you would like to add additional detail or clarification to 6, please comment below:

RESEARCH DEFINITION AND GUIDANCE
Questions 7 and 8 ask about research performed and/or funded by your organization. Please read the
information below before answering these questions.
By research we mean …
For the purposes of this survey, research includes research and experimental development.
Research and experimental development comprise creative and systematic work to:
 Increase the stock of knowledge, including knowledge of humankind, culture and society OR
 Devise new applications of available knowledge (including materials, products, devices, processes, systems, or
services)
Research activities must be …
 Novel: projects that advance current knowledge or create new knowledge
 Creative: projects focused on original concepts and hypotheses
 Uncertain: project outcomes are unable to be completely determined at the outset
 Systematic: projects are planned and budgeted
 Transferable/Reproducible: project methodology and results are transferable/reproducible to other situations and
locations
May meet the criteria for research

Most likely do not meet the criteria for research

 Laboratory or animal studies

 Internal program monitoring or evaluation

 Clinical trials

 Public service grants or outreach programs

 Prototype development

 Education or training programs

 Outcomes research

 Quality control testing

 Development/measurement of new methods
to deliver/measure social service outcomes

 Market research

 Policy research
 Humanities research
 Research traineeships
 Other experimental studies

 Management studies/efficiency surveys
 Literary, artistic, or historical projects, such as films, music, or
books and other publications
 Feasibility studies, unless included as part of an overall
research project

ARCH PERFORMANCE

RESEARCH PERFORMANCE

Considering the guidance above, did your organization perform research in FY 2016?
 Include research performed by your organization’s employee, or contract employees. (Contract
employees are individuals contracted to work on projects otherwise fully performed by your
organization staff.)
 Exclude research performed outside your organization by subcontractors or sub-awardees (report
below in 8 ).
Yes
No
If you would like to add additional detail or clarification to 7 , please comment below:

Considering the guidance above, did your organization fund research performed by others outside your
organization in FY 2016?
 Include all grants, contracts, subcontracts, and sub-awards awarded by your organization to external
recipients to perform research.
 Exclude research performed by contract employees (see definition in 7 ).
Yes
No

If No to 7 and 8 , skip to 22 .

If you would like to add additional detail or clarification to 8 , please comment below:

RESEARCH PERFORMANCE
If you responded YES to 7 , please answer the following questions about your organization’s research activities in
FY 2016. Refer to page 4 for guidance on what is included as research.
If you responded NO to 7 , skip to 16 .

In FY 2016, how much was spent on research performed within your organization?
Include:
 Direct costs such as salaries and wages, travel, equipment, supplies, consulting, and other expenditures
directly supporting your organization’s research projects.
 Indirect costs associated with research expenditures such as general and administrative salaries and
wages, fringe benefits, facility costs, depreciation, etc. These should be calculated using your organization’s
applicable fringe, overhead, and G&A or F&A rates.
Exclude:
 Capital expenditures (i.e., costs for construction or renovation of facilities).
 Payments/funds in excess of actual cost of the research work performed (e.g. fees).
 Payments made by your organization to subcontractors or sub-awardees performing research outside your
organization.

.00

If you would like to add additional detail or clarification to 9 , please comment below:

RESEARCH PERFORMANCE

Of the amount reported in 9 , how much came from each of the following sources?
a. Federal government
$

.00

All other sources not reported above. Please list in the space below.

.00

TOTAL

.00

Any agency of the United States government. Include subcontract or sub-award
funds your organization received for research activities on federal projects.

b. State & local government
Any state, county, municipality, or other local government entity in the
United States.

c. Businesses
Domestic or foreign for-profit organizations. Report funds from a company’s
nonprofit foundation in row d.

d. Foundations
Domestic or foreign nonprofit grant-making organizations.

e. Universities
Domestic or foreign degree-granting institutions.

All other nonprofits
Domestic or foreign public charities and other nonprofit organizations not
reported in rows d or e.

g. Internal funds
Your organization’s own funds from your endowment, general donations, or
other unrestricted sources.

h. Individual donors
Gifts designated by the donors for research.

Other, please specify:

RESEARCH PERFORMANCE

Of the amount reported in 9 , how much was spent in each field below?
Examples of subfields are shown below each field.
a. Agricultural Sciences and Natural Resources and Conservation
Agricultural sciences

Forestry

Animal sciences

Natural resources and conservation

Applied horticulture

Plant sciences

Fishing and fisheries science

Soil sciences

.00

Food science and technology

b. Biological, Biomedical and Health Sciences
Biochemistry, biophysics, molecular
biology
Biotechnology
Botany
Cell biology
Epidemiology

.00

Genetics
Medicine
Neuroscience
Public health
Veterinary medicine
Zoology

c. Engineering
Aerospace, aeronautical, and
astronautical engineering

Electrical, electronic, and
communications engineering

Bioengineering and biomedical
engineering

Industrial and manufacturing engineering

Chemical engineering

Mechanical engineering
Metallurgical and materials engineering

Civil engineering

d. Geosciences, Atmospheric Sciences and Ocean Sciences
Atmospheric sciences and
meteorology

Ocean and marine sciences

Geological and earth sciences

e. Mathematics, Statistics, and Computer and Information Sciences
Computer sciences

Mathematics

Information sciences

Statistics

Information technology

f. Physical Sciences
Astronomy and astrophysics

Materials science

Chemistry

Physics

RESEARCH PERFORMANCE

Of the amount reported in 9 , how much was spent in each field below? (Continued)
Examples of subfields are shown below each field.
g. Psychology and Social Sciences
Anthropology

Linguistics

Archaeology

Psychology

City, urban, community, and regional
planning

Political science and government

Criminology
Economics

.00

Public policy analysis
Sociology, demography, and population
studies

Geography

h. Humanities
English languages and literature,
letters

History
Philosophy and religious studies

Foreign languages and literature

i. Other Fields
Business management and
business administration

Law
Library science

Communication and
communications technologies

Social work

Education

Visual and performing arts

j. TOTAL

RESEARCH PERFORMANCE

Of the amount reported in 9 , how much was for basic research, applied research, and experimental
development?
If possible, these categories defining the type of work should be classified at the individual project level by the
researcher. Please report the totals by the original source of funding in columns 1 and 2. Estimates are
acceptable. See the table below this question for examples.
Sources of Research Expenditures
1. Federal
a. Basic research

2. Nonfederal

3. Total

.00

Experimental or theoretical work undertaken
primarily to acquire new knowledge of the underlying
foundations of phenomena and observable facts,
without any particular application or use in view.

b. Applied research
Original investigation undertaken in order to acquire
new knowledge. It is directed primarily towards a
specific, practical aim or objective.

c. Experimental development
Systematic work, drawing on knowledge gained
from research and practical experience and
producing additional knowledge, which is directed to
producing new products or processes or to
improving existing products or processes

d. Total
Column 1 total should match Question 10a.
Column 3 total should match Question 10j.

If you would like to add additional detail or clarification to 12 , please comment below.

Examples
Basic research

Applied research

Experimental development

A researcher is studying the properties of
human blood to determine what affects
coagulation.
A researcher is studying the properties of
molecules under various heat and cold
conditions.

A researcher is conducting research on
how a new chicken pox vaccine affects
blood coagulation.
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 studying the
implementation of a specific math
curriculum to determine what teachers
needed to know to implement the
curriculum successfully.

A researcher is conducting clinical trials to
test a newly developed chicken pox
vaccine for young children.
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 developing and testing
software and support tools, based on
fieldwork, to improve mathematics
cognition for student special education.

A researcher is investigating the effect of
different types of manipulatives on the
way first graders learn mathematical
strategy by changing manipulatives and
then measuring what students have
learned through standardized instruments.

RESEARCH PERFORMANCE

Approximately how many (paid) full-time equivalents (FTEs) worked on research activities in FY 2016?
FTE research personnel are calculated as the total working (paid) hours spent working on research during a
specific reference period (usually a calendar year) divided by the number of hours representing a full-time
schedule within the same period. Include only your organization's employees. Report contract employees in 14.
For example, if you have 3 people working 20, 30, and 40 hours in a week on research activities and a fulltime schedule is 40 hours a week at your organization, your research FTE calculation is (20 + 30 + 40)/40 =
2.25 FTE.
a. Researchers
Professionals engaged in the conception or creation of new knowledge.

FTEs

b. Technicians and other support personnel
Staff who work under the supervision of researchers to conduct research activities or who
provide direct support services for the research project.

FTEs

c. TOTAL

FTEs

Did any contract employees work on your research activities in FY 2016?
Contract employees are individuals contracted to work on projects otherwise fully performed by your
organization staff.
No
Yes

Approximately how many contract employees worked on your research activities during
FY 2016?
Contract employees

Did any volunteers work on your research activities in FY 2016?
Volunteers are unpaid workers contributing appreciable and essential activity to research performed by your
organization. Their research skills should be comparable to those of your employees. Individuals funded by
other sources to conduct research at your organization should not be considered volunteers.
No
Yes

Approximately how many volunteers worked on your research activities during FY 2016?
Volunteers

RESEARCH FUNDING
If you responded YES to 8 , please answer the following questions about funding research activities outside your
organization in FY 2016. Refer to page 4 for guidance on what is included as research.
If you responded NO to 8 , skip to 21.

In FY 2016, how much funding did your organization provide to others to perform research activities?




Include all grants, contracts, subcontracts, and sub-awards awarded by your organization to external
recipients to perform research.
For multi-year awards, include only the amount paid to the external recipient in FY 2016.
Research performed by contract employees should be included in 9 - 12 and excluded from the
amounts reported here.

a. Research grants or contracts

.00

Include grants and contracts awarded by your organization to external recipients
to perform independent research.

b. Subcontracts and sub-awards
Include subcontracts and sub-awards awarded by your organization to external
recipients to support your research activities.

c. TOTAL

If you would like to add additional detail or clarification to 16, please comment below:

Of the amount reported in 16 , how much was provided to the following types of organizations?
a. Universities or other educational entities

.00

Domestic or foreign degree-granting institutions.

b. Other nonprofit organizations
Domestic or foreign nonprofit foundations and organizations.

c. Businesses
Domestic or foreign for-profit organizations.

d. Other, please specify:
All other recipients not reported above. Please list in the space below.

e. TOTAL

RESEARCH FUNDING

Of the amount reported in 16 , how much funding was provided for each field below?
Examples of subfields are shown below each field.
a. Agricultural Sciences and Natural Resources and Conservation
Agricultural sciences

Forestry

Animal sciences

Natural resources and conservation

Applied horticulture

Plant sciences

Fishing and fisheries science

Soil sciences

.00

Food science and technology

b. Biological, Biomedical and Health Sciences
Biochemistry, biophysics, molecular
biology
Biotechnology
Botany
Cell biology
Epidemiology

Genetics
Medicine
Neuroscience
Public health
Veterinary medicine
Zoology

c. Engineering
Aerospace, aeronautical, and
astronautical engineering

Electrical, electronic, and
communications engineering

Bioengineering and biomedical
engineering

Industrial and manufacturing engineering

Chemical engineering

Mechanical engineering
Metallurgical and materials engineering

Civil engineering

d. Geosciences, Atmospheric Sciences and Ocean Sciences
Atmospheric sciences and
meteorology

Ocean and marine sciences

Geological and earth sciences

e. Mathematics, Statistics, and Computer and Information Sciences
Computer sciences

Mathematics

Information sciences

Statistics

Information technology

f. Physical Sciences
Astronomy and astrophysics

Materials science

Chemistry

Physics

RESEARCH FUNDING

Of the amount reported in 16 , how much funding was provided for each field below? (Continued)
Examples of subfields are shown below each field.
g. Psychology and Social Sciences
Anthropology

Linguistics

Archaeology

Psychology

City, urban, community, and regional
planning

Political science and government

Criminology
Economics

.00

Public policy analysis
Sociology, demography, and population
studies

Geography

h. Humanities
English languages and literature,
letters

History
Philosophy and religious studies

Foreign languages and literature

i. Other Fields
Business management and
business administration

Law
Library science

Communication and
communications technologies

Social work

Education

Visual and performing arts

j. TOTAL

RESEARCH FUNDING

Of the amount reported in 16 , how much came from each of the following sources?
a. Federal government