FY 2019 HERD Survey Contact Procedures

FY 2019 HERD SURVEY CONTACT PROCEDURES
SUMMARY OF CONTACTS
CONTACT

DATE
Tuesday, 29 October 2019

MODE
FedEx

FROM
Michael
Gibbons of
NCSES

E-mail

Carolyn
Bennett of
ICF

E-mail

Michael
Gibbons of
NCSES

Monday, 18 November 2019

DESCRIPTION
New institution welcome
• Introduction to the survey for
institutions new to the
population
• Letter to the president,
chancellor, or equivalent
• Copy sent to the respondent
Prelaunch
• Update respondent name
• Initial contact verification
request
Launch
• Introduction to the survey
• URL and institution ID
• Instructions to reset or create a
password
• List of changes from last year
Verification reminder 1

E-mail

Monday, 2 December 2019

Verification reminder 2

E-mail

Monday, 9 December–Friday,
13 December 2019

Verification reminder 3
• Verify primary contact
• Seek information for new point
of contact, as needed
Due date reminder 1
• Mailer

Phone

Carolyn
Bennett of
ICF
Carolyn
Bennett of
ICF
ICF staff

Mail

No signature

Monday, 6 January 2020

Due date reminder 2

E-mail

Friday, 24 January 2020

Due date reminder 3a
• Reminder of 31 January
deadline
Due date reminder 3b
• Reminder of deadline
extension
Announced survey deadline
Nonresponse 1a
• Need response as soon as
possible
Nonresponse 1b
• Reminder of deadline extension

E-mail

Carolyn
Bennett of
ICF
Carolyn
Bennett of
ICF

1

Tuesday, 5 November 2019
2
Tuesday, 12 November 2019
3

4

5

6

Monday, 16 December 2019
7

8

9

Friday, 31 January 2020
Tuesday, 4 February 2020
10

E-mail

Carolyn
Bennett of
ICF

CONTACT

DATE
Monday, 10 February 2020

11

Monday, 17 February–Friday,
21 February 2020

12

Monday, 2 March 2020

13

Friday, 13 March 2020
Tuesday, 17 March 2020
14

Monday, 23 March 2020
15

16

Monday, 30 March–Thursday,
2 April 2020
Friday, 3 April 2020
Monday, 6 April 2020
Monday, 4 May 2020

Other Contacts—Thank-You
Automatic after submission
17

DESCRIPTION
Nonresponse 2
• Only for institutions without an
upcoming expected date of
completion
• Asks for submission by 13
March
• Explains that a letter will be
sent to the senior administrator
after that date
Nonresponse 3
• Only for institutions without an
upcoming expected date of
completion
• Ask for submission by 13
March
• Explain that a letter will be sent
to the senior administrator after
that date
Nonresponse 4a
• For institutions that missed an
expected completion date
Nonresponse 4b
• For institutions with an
upcoming expected completion
date or without a missed
expected completion date
Extended survey deadline
Nonresponse 5
• Letter to the senior
administrator
• Asks for submission by 3 April
• Copy sent to the primary
contact
Nonresponse 6
• Last e-mail reminder before the
survey closes
Nonresponse 7
• Phone calls to high-priority
institutions
Final survey deadline
Last day that new survey
submissions are accepted
Database closes after all surveys
are reviewed and approved
Survey received. Data review is in
progress.

MODE
E-mail

FROM
Michael
Gibbons of
NCSES

Phone

ICF staff

E-mail

Michael
Gibbons of
NCSES

FedEx

Director of
NCSES

E-mail

Phone

Michael
Gibbons of
NCSES
ICF staff

E-mail

No signature

CONTACT

18

DATE
Automatic after survey is
marked as final by data
approver

As data are approved

19

Other Contacts—Data Corrections
As needed
20
21
22
23

2 weeks after first data
correction e-mail
1 week after second data
correction e-mail
Automatic after resubmission

Other Contacts—Refusal Conversion
After refusal
24
After continued refusal or
Refusal conversion 1
25

Other Contacts—Password Changes
Automatic when requested
26
through the Web survey
Automatic when requested
27
through the Web survey
Automatic when an alternate
28
contact sets up his or her
password

DESCRIPTION
Thank-you 1a
• For institutions with $150,000
or more in R&D expenditures
Thank-you 1b
• For institutions with less than
$150,000 in R&D expenditures
Thank-you 2a
• Letter to the senior
administrator
Thank-you 2b
• E-mail that includes an Adobe
PDF copy of Thank-you 2a

MODE
E-mail

FROM
Michael
Gibbons of
NCSES

Mail;
e-mail

Mail:
Director of
NCSES

Data quality issues 1

E-mail

Data quality issues 2

E-mail

Data quality issues 3

Phone

Resubmission thank-you

E-mail

Jennifer
Greer of ICF

Refusal conversion 1

Phone
or
E-mail
FedEx

ICF staff

Password reset

E-mail

No signature

Alternate contact password setup

E-mail

No signature

Alternate contact password setup
alert

E-mail

No signature

Refusal conversion 2
• Letter to the senior
administrator
• Asks for confirmation of refusal
• Requests partial data
• Copy sent to the respondent

E-mail:
Michael
Gibbons of
NCSES
Jennifer
Greer of ICF
Jennifer
Greer of ICF
ICF staff

Director of
NCSES

DETAILED DESCRIPTION OF CONTACTS
There is a typical set of contacts that an institution, usually one designated respondent, receives
during a Higher Education Research and Development (HERD) Survey cycle. (Primary contacts
have the option of designating other institution staff who should also receive survey
communications.) These contacts, including their goals, the timing, and whether multiple versions
may be sent, are described below. Each description also includes a link to a sample of the e-mail,
letter, or call script for that contact.
Note: The contact procedures for the HERD Short Form and Federally Funded Research and
Development Center R&D surveys, are described separately. The dates and text are almost
identical except when referring to survey name and organization type.
•

New institution welcome letter—Institutions that are new to the population for FY 2019
receive a special welcome letter sent to the office of the president, chancellor, or equivalent,
with a copy sent to the designated respondent, to inform them of their inclusion in survey (see
Contact 1—New Institution Welcome). The goal of the letter is to obtain support from the
senior administrator. (If the senior administrator is also the designated contact, he or she will
not receive this letter.) Any institution added to the population after survey launch but before
January 2020 will receive the letter.

•

Prelaunch e-mail—This e-mail is sent to all institutions, to the primary contact currently listed
in the database (see Contact 2—Prelaunch). Typically, this person is the previous year’s
respondent; however, an institution may have changed the designated respondent during the
population review or between survey cycles. This e-mail is usually sent 1 week before survey
launch. The goals of the e-mail are to (1) inform the respondent of the upcoming launch e-mail,
(2) give the institution an opportunity to change the designated respondent before the survey
information is sent, and (3) give ICF data collection staff an opportunity to identify incorrect
e-mail addresses before the survey is delivered. In most cases, the prelaunch e-mail is sent only
once. If the e-mail is returned as undeliverable, data collection staff attempt to identify the
correct address and then resend the e-mail.

•

Launch e-mail—This e-mail is sent to all primary contacts listed in the database after the
Web-based data collection system opens (see Contact 3—Launch). The goals of the e-mail are
to (1) provide information about accessing the Web survey, (2) briefly describe the purpose of
the survey, (3) describe any changes to the survey instrument or procedures, (4) list sources of
additional information and assistance, and (5) distribute the Adobe Acrobat version of the data
collection instrument as an attachment.

•

Verification reminder contacts—Approximately two weeks after the prelaunch e-mail
(which is also the initial contact verification request) is sent, respondents who have not
contacted data collection staff to verify that they are the correct respondent or logged in to the
survey are sent a reminder e-mail (see Contact 4—Verification Reminder 1). This e-mail asks
them to respond and either confirm or update their contact information. The goal of the e-mail
is to confirm that someone has taken responsibility for the survey by listing himself or herself
as the primary contact. If a respondent phones or e-mails data collection staff with a question

about the survey, the person is recorded as having verified that he or she is the correct
respondent for the survey. A second verification reminder is sent to all respondents who still
have not confirmed their contact information (see Contact 5—Verification Reminder 2).
If an institution does not respond to the three initial requests to verify a primary contact
(including the prelaunch e-mail), data collection staff begin making phone calls (see
Contact 6—Verification Reminder 3). The goal of the calls is to confirm that someone has
received the survey information and has taken responsibility for the survey by listing himself
or herself as the primary contact. The primary contact at each institution is asked to confirm
receipt of the earlier e-mails and either confirm or update his or her contact information or
provide contact information for another respondent.
If a primary contact has not been verified after one round of phone calls (over 1 week), National
Center for Science and Engineering Statistics (NCSES) and/or ICF data collection staff attempt
to identify and verify an alternative contact.
•

Due date reminder contacts—Because there are almost 3 months between the launch e-mail
and the survey due date, primary contacts are sent occasional reminders.
The first reminder is a mailer sent 6–7 weeks before the announced due date to all institutions
that have not submitted final data (see Contact 7—Due Date Reminder 1). Primary contacts
who complete the survey for multiple campuses will receive only one mailer.
The second reminder is an e-mail sent 3–4 weeks before the survey deadline to all institutions
that have not submitted final data. (see Contact 8—Due Date Reminder 2). Primary contacts
who complete the survey for multiple campuses will receive only one e-mail.
The third reminder is an e-mail sent approximately 1 week before the survey deadline. There
are two versions of this e-mail, one for institutions that have not been granted a deadline
extension and one for institutions that have been granted an extension (see Contact 9—Due
Date Reminder 3a and Due Date Reminder 3b). Primary contacts who complete the survey for
multiple campuses will receive only one e-mail.

•

Nonresponse contacts—Beginning a few days after the announced survey due date, all
institutions that have not submitted final data are contacted about nonresponse. Multicampus
respondents will receive only one instance of each contact, which will specify which campuses
have and have not submitted final data. The schedule of nonresponse contacts is as follows:
• An e-mail is sent 2-3 business days after the survey deadline to all institutions that have
not submitted final data. There are two versions of this e-mail, one for institutions that have
not been granted a deadline extension and one for institutions that have been granted an
extension (see Contact 10—Nonresponse 1a and Nonresponse 1b). The e-mail reminds
contacts of the missed due date or the deadline extension date and of the importance of
receiving a response from all institutions.
• An e-mail is sent approximately a week later to all institutions that have not submitted final
data and do not have an upcoming expected completion date (see Contact 11—

•

•

•

•
•

Nonresponse 2). The e-mail provides a first warning of the letter that will be sent to the
senior administrator if data are not submitted.
The following week, data collection staff phone the primary contact of institutions that
have not submitted final data and do not have an upcoming expected completion date (see
Contact 12—Nonresponse 3). Respondents are asked whether they can submit the survey
by 13 March and are reminded about the letter to senior administrators.
An e-mail is sent approximately 2 weeks later to all institutions that have not submitted
final data. There are two versions of this e-mail, one for institutions that missed an expected
completion date and one for all other institutions (see Contact 13—Nonresponse 4a and
Nonresponse 4b). The e-mail informs respondents that their institution’s administration
will be contacted if data are not submitted by 13 March.
After the extended deadline has passed, a letter is sent via FedEx 2-day delivery to the
senior administrator (e.g., president, chancellor) of institutions that have not submitted final
data, and a copy of the letter is sent to the primary contact (see Contact 14—
Nonresponse 5). An alternate version of this letter (version B) is sent to institutions that
were granted an extension until 13 March because their fiscal year matches the calendar
year or because they were added to the population after December 2019; version B of the
letter acknowledges this later due date.
Approximately two weeks before the website closes, an e-mail is sent announcing that the
survey will be closing and that data will not be accepted after that (see Contact 15—
Nonresponse 6).
During the final 2 weeks of data collection, ICF and NCSES staff make phone calls to
follow up with high-priority institutions, i.e., institutions with higher expenditure amounts,
institutions that have expressed a sincere desire to participate in the survey, and institutions
that have entered some data but have not submitted the survey (see Contact 16—
Nonresponse 7).

•

Automatic survey receipt and thank-you e-mails—An e-mail acknowledging receipt of the
survey submission is automatically sent to the primary contact by the Web-based survey
system after the respondent clicks on the button to submit the survey (see Contact 17—Survey
Received). The primary contact typically receives this e-mail within minutes of submitting
data. The purpose of the e-mail is to confirm receipt of the survey and inform the respondent
that ICF will review the institution’s response and follow up with any questions. Once the
survey submission is finalized by ICF, a thank-you e-mail is automatically sent (see
Contact 18—Thank-You 1a and Thank-You 1b). The goals of the e-mail are to (1) thank the
respondent for participating in the survey, (2) confirm that the data have been reviewed and
finalized, (3) remind the respondent that the data can still be reviewed and downloaded at any
time, and (4) provide additional information about reports and the public release of data. For
those institutions reporting less than $150,000 in R&D expenditures, the e-mail also informs
them that they are not eligible for inclusion in the survey population. (It would be unusual for
an institution in the HERD Survey standard form population to report less than $150,000 in
R&D expenditures, but we prepare this e-mail anyway.)

•

Thank-you letters to institution administrators—A letter is sent to the senior administrator
at each institution (e.g., president, chancellor) (see Contact 19—Thank-You 2a). The letter
briefly discusses the history and uses of the survey data, acknowledges personnel at the

•

institution that completed the survey, and provides information on finding survey data on the
NSF website. The letter, signed by the Director of NCSES, is sent to institutions that have
approved final data. Batches of these letters are sent weekly, beginning in January 2020, and
letters are mailed within 4 weeks of data approval. The letter to the president or chancellor is
delivered via U.S. mail, and a copy of the letter is e-mailed to the primary contact and other
staff identified by the primary contact as contributing to the survey (see Contact 19—ThankYou 2b).
Data quality issue (DQI) contacts—Institutions that submit data with errors, unexplained or
poorly explained trend changes, or unexplained missing data are contacted to resolve DQIs.
The first e-mail is usually sent within 4 weeks of data submission (see Contact 20—Data
Quality Issues 1). If a response is not received after 1 week, a second e-mail is sent (see Contact
21—Data Quality Issues 2). If there is no response to the second e-mail, data collection staff
phone the primary contact until a response is received (see Contact 22—Data Quality Issues
3). Once an institution resubmits its corrected survey, a thank-you e-mail is automatically sent
(see Contact 23—Resubmission Thank-You).

Institutions Receiving Special Attention
Throughout the year, institutions are selected for additional or alternative contacts. In most cases,
this simply means that the respondent or other institution staff will receive contacts from survey
staff in addition to, or in lieu of, the standard contacts described above. Frequently, institutions do
not remain on the “special attention” list throughout the data collection; once an issue is resolved,
the institution will begin receiving only the standard contacts, along with the rest of the survey
population. A list of circumstances that would qualify an institution for special attention is
provided below. In some cases, a specific contact has been prepared to address the situation.
•

Deadline extension requests—ICF may grant deadline extensions through 13 March 2020
without approval from the NSF project officer. The first suggested extension date will be 28
February, assuming that the institution does not propose an earlier date. A 13 March deadline
extension date will be offered only if the respondent insists that an earlier deadline cannot be
met. All requests for deadline extensions beyond 13 March must be approved by NCSES. After
13 March, we will be evaluating our response rate and therefore cannot guarantee an extension
beyond that date. Respondents will be assured that they will receive at least 2 weeks’ notice
before the survey website closes.

•

Institutions whose fiscal year matches the calendar year or that were late additions to the
survey population—Because these institutions begin gathering their data later, they
automatically receive a longer deadline extension. If one of these institutions requests an
extension, the institution is given until 13 March to submit the survey.

•

Institutions that indicate that they will not be participating in the survey—If a respondent
indicates that an institution will not be participating in the survey, ICF initiates
refusal-conversion efforts via phone or e-mail, whichever seems most appropriate (see
Contact 24—Refusal Conversion 1). Although these contacts are tailored somewhat to the
specific institution, the standard approach includes offering a deadline extension, requesting

partial data, and informing the respondent that all refusals must be confirmed by the senior
administrator.
If the respondent continues to refuse to participate or does not respond to Refusal conversion 1,
a letter signed by the Director of NCSES is sent to the institution’s senior administrator to
confirm the decision not to participate in the survey (see Contact 25—Refusal Conversion 2).
NCSES must be consulted before this letter is sent.
•

Institutions whose primary contact has left the institution and that have not provided an
alternative contact—Typically, institutions do not remain without an identified primary
contact for long, but establishing a new primary contact often involves several phone calls or
e-mails from survey staff.

•

One primary contact who responds for several campuses—Standard contacts are prepared
with the assumption that one person is responsible for one institution’s data submission. In
some cases, standard e-mails and letters are revised to be appropriate for respondents who
complete the survey for multiple campuses to avoid sending those respondents multiple copies
of the same e-mail or letter.

Automated Password E-mails
In most email messages, respondents are directed to the ID/Password Help link on the survey
website if they need to create or reset a password. Automated e-mails are sent by the Web-based
survey system when a respondent requests that his or her password be reset (see Contact 26—
Contact 26—Password Reset), when a primary contact designates a new alternate contact in the
system (see Contact 27—Alternate Contact Password Setup), and when a newly designated contact
sets up his or her password (see Contact 28—Alternate Contact Password Setup Alert).

Contact 1—New Institution Welcome
•
•

Printed on survey letterhead and sent via FedEx 2-day delivery
Not sent to institutions for which the president/chancellor is the designated contact

Day_to_be_sent
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
The National Center for Science and Engineering Statistics (NCSES) within the National Science
Foundation (NSF) has identified [[instnameletters]] as eligible to participate in the FY 2019 Higher
Education Research and Development Survey.
Your institution is now one of over 900 institutions that NCSES surveys annually to collect information
on our nation’s academic research expenditures. The survey is the primary source of information on
research and development expenditures at higher education institutions in the United States. You can find
more about the survey, including results from previous years at https://www.nsf.gov/statistics/srvyherd/.
Institutions are included in the survey if: (1) the institution grants a bachelor’s or higher level degree, and
(2) the institution had at least $150,000 during FY 2018 in separately accounted for R&D expenditures.
Earlier this year we contacted your office and received information confirming your institution's
eligibility.
[[firstname]] [[lastname]], [[title]], is currently serving as your institution’s coordinator for the FY 2019
survey. The survey deadline is January 31, 2020.
The survey is conducted for NSF by ICF. If you have questions about your institution’s participation in
this survey please contact me at [email protected] or (703) 292-4590.
Thank you for your participation in this important effort.
Sincerely,

Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
Cc: [[firstname]] [[lastname]]

Contact 2—Prelaunch
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Please verify contact information for the NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
In about one week, the National Center for Science and Engineering Statistics (NCSES) within the
National Science Foundation (NSF) will begin the FY 2019 Higher Education R&D (HERD) Survey. I
would appreciate very much if you would take a moment to reply and let us know whether or not you are
still the appropriate contact person for [[instnameletters]].
The current survey contact information appears below. If corrections are necessary, please let us know so
we can update your institution’s information.
Name:
Title:
Phone:
Email:

[[firstname]] [[lastname]]
[[title]]
[[phone]]
[[email]]

Address:
[[primary_institution]]
[[addr]]
[[city]], [[state]] [[zip]]
This annual survey is being conducted for NSF by ICF. If you have any questions regarding this
information, please contact survey support toll-free at (866) 936-9376 or send an email to
[email protected].
Thank you so much for your continuing participation in the survey.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 3—Launch
•

Before sending the launch e-mail, ICF data collection staff will e-mail the programming team to
open the survey to respondents.
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Attachment: HERD survey PDF
Dear [[firstname]] [[lastname]]:
The website is now open for the National Science Foundation's (NSF's) FY 2019 Higher Education R&D
Survey.
This survey is the primary source of information on research and development expenditures at higher
education institutions in the United States and outlying areas. Over 900 universities and colleges complete
the survey every year. Your response to this survey is very important because it helps us produce the most
accurate statistics possible on U.S. higher education R&D expenditures. The survey deadline is January
31, 2020.
Survey website: www.herdsurvey.org
Institution name: [[instnamelong]]
Institution ID: [[inst_id]]
You may use your password from last year’s HERD survey if you have one. If you have forgotten your
password or are new to the survey, please click on ID/Password Help on the survey login page to
create or reset your password.
If you are no longer the appropriate person to contact, please let us know so we can update our
information.
Please note the changes to the FY 2019 survey in the What’s New section of the attached PDF (page 2).
On Questions 4 and 5, a checkbox response was replaced with the question requiring a Yes or No
response. This change was made to eliminate ambiguity in some responses. Question 13 was revised to
clarify that the values for capitalization thresholds should be reported as dollars in thousands (e.g., 5 =
$5,000), like all expenditure values on the survey.
The survey is conducted for the National Center for Science and Engineering Statistics (NCSES) within
the NSF by ICF. If you need to revise contact information or have any questions about the survey
website, please contact survey support at (866) 936-9376 or send an email to [email protected]. If
you have questions about survey items, please contact me at [email protected] or (703) 292-4590.
Thank you for completing this survey.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics National Science Foundation

Contact 4—Verification Reminder 1
•

Sent to all institutions that have not yet verified their contact information or have not logged in to
the Web survey

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Please verify contact information for the NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We are trying to verify all respondent contacts for the FY 2019 Higher Education R&D Survey. Please
take a moment to reply to this message and let us know if you are still the appropriate contact for
[[instnameletters]].
If you would like to correct any of the contact information below, please include that in your reply.
Name: [[firstname]] [[lastname]]
Title: [[title]]
Phone: [[phone]]
Email: [[email]]
Address:
[[primary_institution]]
[[addr]]
[[city]], [[state]] [[zip]]
If you have any questions about your participation in the survey, please contact survey support at (866)
936-9376 or send an email to [email protected].
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 5—Verification Reminder 2
•

Sent to all institutions that have not yet verified their contact information or have not logged in to
the Web survey

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Contact information for NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We are asking all institutions to confirm their contact information for the FY 2019 Higher Education
Research and Development Survey.
Please take a minute to reply to this email and let us know whether or not you are still the appropriate
contact for [[instnameletters]].
The information we currently have is listed below. If you would like to correct any of the contact
information below, please include that in your reply.
Name:
Title:
Phone:
Email:

[[firstname]] [[lastname]]
[[title]]
[[phone]]
[[email]]

Address:
[[primary_institution]]
[[addr]]
[[city]], [[state]] [[zip]]
Thank you,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF
Toll-free number: (866) 936-9376
[email protected]

Contact 6—Verification Reminder 3
In-person
1. Tell respondent that we are trying to verify contact information for their institution.

2. Ask respondent if they have received the previous e-mails and provide the date the most recent email was sent.

3. Ask if they should continue to be the primary contact for the survey.
a. If the respondent confirms that they should be the primary contact, review contact
information with respondent as necessary to confirm correct information for the primary
contact. Thank respondent for participating, ask if they have any questions for us.
b. If the respondent says that they should no longer be the primary contact, ask who the new
contact should be or who we should call to identify a new contact. Try to get name, title,
phone and e-mail for the next contact. Thank respondent for their help.
Leaving a message
1. If the respondent cannot be reached leave a message identifying yourself and the survey, the
purpose of the call, the date of the e-mail referenced, and the action the respondent must take.
Voicemail Example: “Hello my name is [[survey staff]], and I’m calling on behalf of the
National Science Foundation about the Higher Education R&D Survey. I just wanted to
verify that you should be the primary contact for this year’s survey. Please call us at 866936-9376 or respond to the e-mail we sent on [[date email was sent]]. I would appreciate
a response by the end of this week.”
A similar message, with needed revisions, can be left with an administrative assistant or coworker.
2. During a call cycle, typically a week, only one message should be left, but continue to try and
contact respondents at different times of day throughout the cycle.

Contact 7—Due Date Reminder 1
•
•

A card, with a sticky note inside, that is 3″ x 5″ when folded; mailed in a legal envelope bearing
the survey return address
Sent to institutions that have not submitted the survey

Design/text for card:
Look and feel: color, format and text font should be the same as the FY 2018 mailer (see images on next
page)
Cover page: Large NSF logo on in the middle top 2/3 of card (use same logo as one on existing postcard),
“Higher Education R&D Survey” as heading on the bottom third of card.
Inside left:
Friday, January 31, 2020, is the deadline for submitting your response to the NSF Higher Education R&D
Survey. Your institution’s response is important to update the national data on academic R&D. We
appreciate your efforts to submit your response by the deadline.
To access the online survey, go to www.herdsurvey.org
Thank you for your participation. For additional help, please contact us:
Email: [email protected]
Toll-free number: (866) 936-9376
Inside right:
Background – calendar showing month of January 2020, with the 31 circled and pointed to.
Design/text for sticky-note:
Look and feel: color, format and text font should be the same as the FY 2018 mailer (see images on next
page)

The deadline for the
FY 2019
NSF Higher Education
R&D Survey is:
Friday, January 31, 2020
Login at
www.herdsurvey.org

FY 2018 Mailer
Cover Page

Inside Page

Sticky-note Insert

Contact 8—Due Date Reminder 2
•

Sent to institutions that have not submitted the survey

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Reminder: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
In November we asked for your participation in the National Science Foundation’s FY 2019 Higher
Education R&D Survey. This is a friendly reminder that the survey deadline is January 31, 2020.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, click on ID/Password Help on
the survey login page to create/reset your password.
We greatly appreciate your efforts to fit the survey response into your busy schedule and respond by the
deadline. If you have questions about using the survey website, please call survey support at (866) 9369376 or send an email to [email protected].
If you have any questions about the survey items, please contact Michael Gibbons of NSF at
[email protected] or (703) 292-4590.
Thank you for your time and your participation.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 9—Due Date Reminder 3a
•

Sent to institutions that have not submitted the survey and have not been granted an extension

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Due date for NSF Higher Education R&D Survey: January 31, 2020 ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We are reminding all survey respondents about the upcoming deadline for the National Science
Foundation’s FY 2019 Higher Education R&D Survey.
Please respond by Friday, January 31, 2020.
The information below can be used to access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
If you have any questions, please call toll-free at (866) 936-9376 or send an email to
[email protected].
Thank you in advance for completing the HERD Survey. Your information is vital in developing
comprehensive statistics on R&D expenditures in the United States.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 9—Due Date Reminder 3b
•

Sent to institutions that have not submitted the survey and have been granted an extension

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Due date for NSF Higher Education R&D Survey
Dear [[firstname]] [[lastname]]:
We are reminding all survey respondents about the upcoming deadline for the National Science
Foundation’s FY 2019 Higher Education R&D Survey. Your deadline has been extended to
[[expecteddate]].
The information below can be used to access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
If you have any questions, please call toll-free at (866) 936-9376 or send an email to
[email protected].
Thank you in advance for completing the HERD Survey. Your information is vital in developing
comprehensive statistics on R&D expenditures in the United States.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 10—Nonresponse 1a
•

Sent to all institutions that have not submitted the survey except those that have been granted a
deadline extension (see Contact 10—Nonresponse 1b)

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Please reply regarding the NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We need your response as soon as possible to the National Science Foundation's FY 2019 Higher
Education R&D Survey. It is important for us to have every institution’s current R&D information so that
our FY 2019 statistical tables will be complete.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
If you have questions or need further information, e-mail survey support at [email protected] or
call toll-free at (866) 936-9376.
Thank you very much for your help with the survey.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 10—Nonresponse 1b
•

Sent to all institutions that have not submitted the survey and have been granted a deadline
extension

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
Your deadline for the National Science Foundation’s FY 2019 Higher Education R&D Survey is
extended to [[expecteddate]]. It is important that we receive your response on or before this date. We
would very much like to have every institution’s current R&D information so that our FY 2019 statistical
tables will be complete and comprehensive.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
If you have questions or need further information, you may reach us by email at [email protected]
or by calling toll-free at (866) 936-9376.
We know you are busy, and we greatly appreciate your efforts to respond to the survey in a timely
manner.
Sincerely,
Carolyn Bennett
Data Collection Manager
NSF Higher Education R&D Survey
ICF

Contact 11—Nonresponse 2
•

Sent to all institutions that have not submitted the survey and do not have an upcoming expected
completion date

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Subject: Please reply regarding the NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
I would greatly appreciate your institution’s response to the National Science Foundation’s FY 2019
Higher Education R&D Survey. We are asking for all survey responses by Friday, March 13, 2020. After
that date, NSF will begin contacting the Presidents and Chancellors of institutions that have not yet
responded.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
If you have any questions, please contact me at [email protected] or (703) 292-4590.
Thank you very much for your continued participation.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 12—Nonresponse 3
•

Phone call to the primary contact at all institutions that have not submitted final data and do not
have an upcoming expected completion date

In-person
Issues to be highlighted during a phone call to a nonrespondent from data collection staff:
1. Indicate that you are calling on behalf of the National Science Foundation regarding the Higher
Education Research and Development Survey
2. Point out their latest activity on the survey. For example:
“In your last e-mail you mentioned that you would have the survey submitted by XX.”
“It looks like you logged on to the survey back in January. Do you still have the survey
information?”
3. Inform respondent that NSF will be sending letters to the Presidents and Chancellors of institutions
that have not submitted data by March 13.
4. Ask if they can submit by March 13. Tell them that after March 8 we will be closing data collection
as soon as we reach our desired response rate. We will contact them at least one week before we
close the data collection period to give them one final chance to submit their data.
5. Tell the respondent you will e-mail the survey web address and their institution ID if they do not have
it. Be sure to verify the correct e-mail address. Let them know that they will need to set up a new
password through the website, if they have forgotten theirs.
6. Ask the respondent if he/she has any questions and let them know that if they have any questions in
the future, they can send an e-mail to [email protected] or call you toll free at 866-936-9376.
Leaving a message
1. If the respondent cannot be reached leave a voice mail identifying yourself and the survey, the
purpose of the call, the date of the e-mail referenced, and the action the respondent must take.
Voicemail Example: “Hello my name is [[survey staff]], and I’m calling on behalf of the National
Science Foundation about the Higher Education R&D Survey. I just wanted to remind you that
the extended due for the survey is March 13. After March 13 NSF will be sending letters to the
Presidents of Chancellors of institutions that have not submitted final data. Please call us at 866936-9376 and let us know if you will be able to submit by that date. If you have any questions
about the survey or need us to resend survey information, give us a call.”
A similar message, with needed revisions, can be left with an administrative assistant or co-worker.
2. During a call cycle, typically a week, only one message should be left, but continue to try and contact
respondents at different times of day throughout the cycle.

Contact 13—Nonresponse 4a
•

Sent to the primary contact at institutions that missed an expected completion date that was after
the survey due date

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
Earlier you let us know that you would submit the FY 2019 Higher Education R&D Survey by
[[expecteddate]]. As of today we have not received your response. We would appreciate a response no
later than Friday, March 13.
After March 13, NSF will send letters to the Presidents and Chancellors of all institutions that have not
yet responded. These letters will explain that our deadline has passed and offer a last chance to participate
before the survey closes. We also want to ensure that any decision to decline participation is made at the
highest level since institutional nonresponses will be imputed.
Institutions that do not respond are still included in the published tables. Their R&D expenditures are
estimated and labeled as imputed estimates in our reports. The procedure to estimate missing information
is done as a last resort; our goal is to receive current data from everyone so that our national statistics are
as accurate as possible.
As NSF’s project manager for the survey, I would greatly appreciate your help by submitting your survey
response as soon as possible.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
Thank you very much for your institution’s continued participation in this national survey.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-4590

Contact 13—Nonresponse 4b
•

Sent to the primary contact at institutions that have not submitted the survey and have an
upcoming expected completion date or never had an expected completion date that was after the
survey due date

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We need your survey response by Friday, March 13 for the FY 2019 Higher Education R&D Survey.
After that date, NSF will send letters to the Presidents and Chancellors of all institutions that have not yet
responded. These letters will explain that our deadline has passed and offer a last chance to participate
before the survey closes. We also want to ensure that any decision to decline participation is made at the
highest level since institutional nonresponses will be imputed.
Institutions that do not respond are still included in the published tables. Their R&D expenditures are
estimated and labeled as imputed estimates in our reports. The procedure to estimate missing information
is done as a last resort; our goal is to receive current data from everyone so that our national statistics are
as accurate as possible.
As NSF’s project manager for the survey, I would greatly appreciate your help by submitting your survey
response as soon as possible.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you are new to the survey or have forgotten your password, please click on ID/Password
Help on the survey login page to create/reset your password.
Thank you very much for your institution’s continued participation in this national survey.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-4590

Contact 14—Nonresponse 5
•
•
•

Printed on survey letterhead and sent via FedEx 2-day delivery
Version A: Sent to institutions that have not submitted final data and did not have a deadline
extension because of special circumstances
Version B: Sent to institutions whose fiscal year matches the calendar year or that were late
additions to the survey population

[date expected to be mailed]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
I am writing to let you know we need your institution's response by Friday, April 3 to the National
Science Foundation’s Higher Education Research and Development Survey. We launched the survey on
November 12, 2019, and asked for responses by January 31, 2020. [Version B: March 13, 2020.] Our
current contact within your institution is [[firstname]] [[lastname]], [[title]].
This survey is the only source of comprehensive national information on R&D spending within the higher
education sector. The survey has been revised in recent years to collect additional data which allow more
detailed peer comparisons with other institutions. Although your institution’s participation in this survey
is voluntary, your survey response is very important to the accuracy of NSF’s statistics.
Please let us know if we should contact a different person to provide your institution’s response. You may
contact the survey manager, Mr. Michael Gibbons, at (703) 292-4590 or [email protected].
Thank you for your continuing participation in this annual assessment of our nation’s R&D.
Sincerely,

Emilda Rivers
Director
National Center for Science and Engineering Statistics

cc: [[firstname]] [[lastname]], [[title]]

Contact 15—Nonresponse 6
•
•

Sent to all institutions that have not submitted the survey
The survey’s closing date may need to be changed based on when the e-mail is sent. This e-mail
is not sent until ICF is sure that we are 2 weeks away from meeting our target response rate.

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Final Notice: NSF Higher Education R&D Survey due April 3 ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We need your response to the National Science Foundation's FY 2019 Higher Education R&D Survey
before the website closes on Friday, April 3 . This is the final extension that we are providing survey
respondents. We would really appreciate your survey response so that our statistical tables are as
complete as possible, since they are used by many of your peers and the media.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you have any questions, please contact me at [email protected] or (703) 292-4590.
Thank you very much for your institution’s continued participation in this survey.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 16—Nonresponse 7
•

Phone calls made to the primary contacts of high-priority institutions that have not submitted final
data

In-person
Issues to be highlighted during a phone call to a non-respondent from data collection staff:
1. Indicate that you are calling on behalf of the National Science Foundation regarding the Higher
Education Research and Development Survey
2. Remind respondent that the survey web site will close on April 3.
3. Ask if they will be able to respond to the survey and, if yes, when
4. If they ask for more time or indicate that they can’t submit by April 3, tell them that they can have
until noon the following Monday (April 6) but for time beyond that they will have to speak to
Michael Gibbons.
5. Ask the respondent if he/she has any questions and let them know that if they have any questions in
the future, they can send an e-mail to [email protected] or call you toll free at 866-936-9376.
Leaving a message
1. If the respondent cannot be reached leave a voice mail identifying yourself and the survey, the
purpose of the call, the date of the e-mail referenced, and the action the respondent must take.
Voicemail Example: “Hello my name is [[survey staff]], and I’m calling on behalf of the National
Science Foundation about the Higher Education R&D Survey. I just wanted to remind you that
the survey website is closing on Friday April 3. Please call us at 866-936-9376 and let us know
when you will be able to submit your survey. If you have any questions about the survey give us a
call.”
A similar message, with needed revisions, can be left with an administrative assistant or co-worker.
2. During a call cycle, typically a week, only one message should be left, but continue to try and contact
respondents at different times of day throughout the cycle.

Contact 17—Survey Received
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We have received your institution’s submission for the National Science Foundation’s (NSF) FY 2019
Higher Education R&D Survey. Our data collection team is now reviewing all survey responses and will
follow up with any questions in the next few weeks. We will send you an email to let you know when the
review is complete.
Thank you very much for your help with this effort. If you have any questions or need further
information, contact us at [email protected] or call toll-free at (866) 936-9376.

Contact 18—Thank-You 1a
•
•

Automatically sent to institutions with $150,000 or more in total R&D expenditures after the data
review is completed and the survey response is marked as approved
Includes an Adobe PDF version of the survey prefilled with the institution’s submitted data

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Thank You ([[inst_id]])
Attachment: PDF with final data
Dear [[firstname]] [[lastname]]:
On behalf of the National Center for Science and Engineering Statistics (NCSES) within the National
Science Foundation (NSF), I want to thank you for participating in the FY 2019 Higher Education
Research and Development (HERD) Survey. The detailed information you provided for
[[instnameletters]] will increase both the accuracy and usefulness of the national R&D statistics for the
academic community.
Your survey submission has been reviewed by our Data Quality Manager and will now be added to the
final database. If you find errors that need to be corrected, please contact us at (866) 936-9376 as soon as
possible.
For your convenience we have attached a copy of the survey form with your final data. You may also
view or download this final version of the survey data at any time by logging onto the survey website
using the information below.
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you have forgotten your password, click on ID/Password Help on the survey login page.
To see our NSF publications for previous years of the survey, please visit:
www.nsf.gov/statistics/herd/
If you have any other questions, please contact our survey contractor, ICF, toll-free at (866) 936-9376 or
send an email to [email protected].
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-4590

Contact 18—Thank-You 1b
•
•

Automatically sent to institutions with less than $150,000 in total R&D expenditures after the
data review is completed and the survey response is marked as approved
Includes an Adobe PDF version of the survey prefilled with the institution’s submitted data

To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: Thank you ([[inst_id]])
Dear [firstname]] [[lastname]]:
On behalf of the National Science Foundation (NSF), I want to thank you for participating in the FY 2019
Higher Education Research and Development Survey. According to the information you submitted, your
institution spent less than $150,000 on R&D in FY 2019. Because this does not meet the threshold for the
survey population, your institution will not be included in the FY 2019 tables showing statistical
information by institution. This also means that you will not be contacted to participate in the FY 2020
survey.
If you wish to take another look at the FY 2019 survey response for [[instnameletters]], please use the
following information:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you have forgotten your password, click on ID/Password Help on the survey login page.
If upon review you discover omissions that would increase your R&D expenditures above the $150,000
threshold, please contact our survey contractor, ICF, toll-free at (866) 936-9376 or send an email to
[email protected].
If you have any other questions, please do not hesitate to contact me.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-7765

Contact 19—Thank-You 2a
•
•
•
•

Printed on survey letterhead and delivered in a legal envelope via U.S. first-class mail
Sent to the president, chancellor, or equivalent at institutions with approved final data
Sent in weekly batches beginning in January
In the second paragraph, more than one person may be acknowledged if requested by the primary
contact.

[date letter will be mailed]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
The National Science Foundation (NSF) thanks [[instnameletters]] for participating in the Higher
Education Research and Development Survey. The information your institution provided for FY 2019
will become part of our longitudinal statistics on R&D expenditures in 40 fields. For 45 years, NSF has
provided information from this survey to federal, state, and academic decision makers. In addition, data
from our surveys become part of the international statistics that compare the overall research activity of
the United States with other nations.
I would especially like to recognize [[firstname]] [[lastname]], [[title]], who provided this year’s survey
response for [[instnameletters]]. The efforts of your staff involved a significant amount of work to provide
the information requested on the survey. We appreciate these contributions to NSF’s measurement of
academic R&D within the United States.
Our website includes survey results for previous years of the Higher Education R&D Survey as well as a
variety of other science and engineering statistics. It is located at www.nsf.gov/statistics/. You may
contact John Jankowski, Director of NSF's Research and Development Statistics Program for further
information at (703) 292-7781 or [email protected].
Again, thank you for your continuing participation.
Sincerely,

Emilda Rivers
Director
National Center for Science and Engineering Statistics
cc: [[firstname]] [[lastname]]

Contact 19—Thank-You 2b
•
•

Sent to respondents with an Adobe PDF copy of Thank-you 2a attached
Sent in weekly batches beginning in January

To: Primary contact e-mail
Cc: only individuals thanked in letter
From: NSF Higher Education R&D Survey
Re: Thank you ([[inst_id]])
Dear [[firstname]] [[lastname]]:
On behalf of the National Science Foundation (NSF), I want to thank you again for participating in the
FY 2019 Higher Education Research and Development Survey.
Attached is a copy of a letter we have mailed to [[admintitle]] [[adminlastname]] thanking
[[instnameletters]] for participating in this year’s survey and recognizing your role in providing the
requested information.
If you have any questions, please contact our survey contractor, ICF, toll-free at (866) 936-9376 or
[email protected].
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-4590

Contact 20—Data Quality Issues 1
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
I am reviewing your data for NSF’s FY 2019 Higher Education R&D Survey, and I need your help to
clarify or correct [a few items/one item/two items]. After your reply, I can finalize your survey answers
for FY 2019. I would like to finalize your survey data by [one week after message].
Please go to the survey website to explain or correct data quality issues.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you have forgotten your password, click on ID/Password Help on the survey login page.
When you return to the survey, you will see a red flag next to each question that has a data quality issue.
At the top of each marked question you will find a description of the issue(s) and instructions for
correcting or explaining. After you have addressed each issue, click the Resubmit button. The survey has
been reopened so you can make revisions to data if needed.
If you have any questions or concerns, please contact us at [email protected] or call toll free at
(866) 936-9376.
Sincerely,
Jennifer Greer
Data Quality Manager
NSF Higher Education R&D Survey
ICF

Contact 21—Data Quality Issues 2
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
I need your help to clarify or correct [a few items/one item/two items] from your institution's FY 2019
Higher Education R&D Survey. I had previously contacted you about these issues on [date of DQI 1]. I
need your response to finalize your institution's FY 2019 survey. I would like to finalize your survey data
by [one week from email].
Please go to the survey website to explain or correct data quality issues.
To access the survey for [[instnamelong]]:
Survey website: www.herdsurvey.org
Your institution’s ID: [[inst_id]]
If you have forgotten your password, click on ID/Password Help on the survey login page.
When you return to the survey, you will see a red flag next to each question that has a data quality issue.
At the top of each marked question you will find a description of the issue(s) and instructions for
correcting or explaining. After you have addressed each issue, click the Resubmit button. The survey has
been reopened so you can make revisions to data if needed.
If you have any questions or concerns, please contact us at [email protected] or call toll free at
(866) 936-9376.
Sincerely,
Jennifer Greer
Data Quality Manager
NSF Higher Education R&D Survey
ICF

Contact 22—Data Quality Issues 3
In-person
Issues to be highlighted during a phone call to a DQI nonrespondent from data collection staff:
1. Indicate that you are calling on behalf of the National Science Foundation regarding the Higher
Education Research and Development Survey
2. Thank them for participating in the survey and let them know that we just need to clarify or
correct [a few items/one item/two items] in order to finalize their survey.
3. Ask if they received the data quality issues e-mail and if so, when they might be able to respond.
4. If the respondent doesn’t know if they got the e-mail or isn’t sure when they can respond, and if
the issues are easy to explain and the respondent might be able to respond immediately say, “The
issue(s) are minor and you might be able to answer them right now. Do you mind if I read them to
you?” If they say yes, read the questions and record their responses.
5. Offer to resend the last DQI e-mail if the issues are complicated or they can’t respond on the
phone.
6. Ask the respondent if he/she has any questions and let them know that if they have any questions
in the future, they can send an e-mail to [email protected] or call you toll free at 866-9369376.
Leaving a message
1. If the respondent cannot be reached leave a voice mail identifying yourself and the survey, the
purpose of the call, the date of the e-mail referenced, and the action the respondent must take.
Voicemail Example: “Hello my name is [name], and I’m calling on behalf of the National
Science Foundation about the Higher Education R&D Survey. I’m following up on an email we sent on [date] asking you to clarify some issues on your institution’s FY 2019
survey. We are closing the database soon and cannot finalize your institution until we
receive a response. Please respond to the e-mail or give us a call as soon as possible at
866-936-9376. Thank you again for your participation in this year’s survey.”
A similar message, with needed revisions, can be left with an administrative assistant or coworker.
2. During a call cycle, typically a week, only one message should be left, but continue to try and
contact respondents at different times of day throughout the cycle.

Contact 23—Resubmission Thank-You
To: Primary contact e-mail
Cc: Other e-mails
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
We have received your institution's resubmission for the FY 2019 Higher Education Research and
Development (HERD) Survey. Thank you for taking the time to address our questions about your
submitted data. If we have any further questions, we will let you know. We will send an email to let you
know when your institution’s survey submission is finalized.
Thank you very much for your help with this effort. If you have any questions or need further
information, you may reach me by email at [email protected] or call toll-free at (866) 936-9376.
Sincerely,
Jennifer Greer
Data Quality Manager
NSF Higher Education R&D Survey
ICF

Contact 24—Refusal Conversion 1
•

Phone call or e-mail within 1 week of refusal to participate in the survey

1. Ask which items seem to be the most burdensome. Explain that we will need to impute the totals
for them since they were found to qualify for the survey, so any partial data would be preferable.
Main questions we need answered in order of preference:
a. Question 1: R&D expenditures by source of funds
b. Questions 9 and 11: R&D expenditures by field and source of funds
2. If respondent changes mind about refusal, set up date for survey deadline
a. Use actual survey deadline if more than two weeks in future
b. Use March 13 after deadline
3. If still a total refusal, explain that we will need to confirm this decision with their senior
administrator’s office.
4. Thank respondent and say that we hope next year will work out better for their institution’s
response.

Contact 25—Refusal Conversion 2
•
•

Printed on survey letterhead and sent via FedEx 2-day delivery
Sent as needed, at the direction of NCSES

[date letter will be mailed]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
The National Center for Science and Engineering Statistics (NCSES) within the National Science
Foundation (NSF) is now conducting the FY 2019 Higher Education R&D Survey. We were informed by
[[firstname]] [[lastname]], [[title]], that [[instnameletters]] will not be participating in this year’s data
collection. While participation in this survey is voluntary, we wanted to confirm this decision with you
before proceeding without your institution’s information.
NSF’s annual Higher Education R&D Survey is a unique source for longitudinal statistics on research
spending at our nation’s universities and colleges. The NSF website provides detailed tables, reports, and
databases using this information. The statistical tables show spending in each of 40 fields of R&D for
over 900 institutions (see www.nsf.gov/statistics/herd/). Since 1972, federal, state, and academic decision
makers have depended on NSF’s academic R&D information to be complete, accurate, and timely. In
addition, many institutions use our statistics for comparisons with other universities and colleges.
Please let us know if you can provide some or all of the FY 2019 survey responses so we can present the
most current data for your institution. Alternatively, we will display imputed data for [[instnameletters]]
in the institution level tables. We believe your data or estimates will represent [[instnameletters]] better
than our imputation. You may contact Michael Gibbons of my staff at (703) 292-4590 or
[email protected].
Thank you for your continuing support of NSF’s statistical information.
Sincerely,

Emilda Rivers
Director
National Center for Science and Engineering Statistics

Cc: [[firstname]] [[lastname]]

Contact 26—Password Reset
To: Survey user requesting password reset
From: NSF Higher Education R&D Survey
Re: NSF HERD Survey Password ([[inst_id]])
You have requested to reset your password for the Higher Education R&D Survey for:
Institution name: [[instnamelong]]
Institution ID: [[inst_id]]
Please use the link below to reset your password. This link will expire in 15 minutes.
[[reset_link]]
If you need further assistance or did not make a request to reset your password, contact Survey Support at
(866) 936-9376, or by email at [email protected].

Contact 27—Alternate Contact Password Setup
To: Newly designated alternate
From: NSF Higher Education R&D Survey
Re: NSF HERD Survey Password ([[inst_id]])
[[designator_first_name]] [[designator_last_name]] has granted you access to the Higher Education R&D
Survey for:
Institution name: [[instnamelong]]
Institution ID: [[inst_id]]
Please use the link below to set up your password.
[[reset_link]]
This link will expire in 7 days, but you can request a new link at any time by clicking on ID/Password
Help on the survey login page.
If you need further assistance, please contact Survey Support at (866) 936-9376, or by email at
[email protected].

Contact 28—Alternate Contact Password Setup Alert
To: Primary contact
From: NSF Higher Education R&D Survey
Re: NSF HERD Survey – new password created ([[inst_id]])
[[alternate_first_name]] [[alternate_last_name]] has created a password on the NSF Higher Education
R&D Survey for:
Institution name: [[instnamelong]]
Institution ID: [[inst_id]]
You can add or remove individuals who can create a login account on the Contact information and login
accounts page on the web survey. If you need further assistance, please contact Survey Support at (866)
936-9376, or by email at [email protected].