Higher Education Research and Development Survey - FY 2019

Higher Education R&D and FFRDC R&D Surveys

Attachment 2 - FY 2019 HERD Survey Questionnaire

Higher Education Research and Development Survey - FY 2019

OMB: 3145-0100

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FORM APPROVED
OMB No. 3145-0100
Expiration Date: xx/xx/xx

NATIONAL SCIENCE FOUNDATION
ALEXANDRIA, VA 22314

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2019
Please submit your survey data by January 31, 2020.
Your participation in this survey provides important information on the national level of R&D activity. The National Science
Foundation (NSF) is authorized to collect this information under the National Science Foundation Act of 1950, as amended.
Your institution’s response is entirely voluntary.
Response to this survey is estimated to require 54 hours. If you wish to comment on the time required to complete this
survey, please contact Suzanne H. Plimpton of NSF at (703) 292-7556, or e-mail [email protected].

The Web address for submitting your data:
http://www.herdsurvey.org/

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

Questions?
Technical support:
[email protected]
(866) 936-9376
General survey questions:
Michael Gibbons
National Center for Science and Engineering Statistics
National Science Foundation
[email protected]
(703) 292-4590

Thank you for your participation.

What’s New for FY 2019
Changes to Questions
•

Question 4 was reformatted to include a question asking whether your institution had a medical school in FY 2019.
This replaces a single checkbox previously included in the instructions. This change was made to eliminate ambiguity
in some responses. There were no other changes to instructions or content of this question.

•

Question 5 was reformatted to include a question asking whether your institution conducted clinical trials in FY 2019.
This replaces a single checkbox previously included in the instructions. This change was made to eliminate ambiguity
in some responses. There were no other changes to instructions or content of this question.

•

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.

Survey Definitions and Instructions
This survey collects data on research and development (R&D) activities at higher education institutions. Please report
R&D activities and expenditures for your institution’s 2019 fiscal year.
Fiscal Year (FY)
Please report data for your institution’s 2019 fiscal year.
Research and Development (R&D)
R&D activity is creative and systematic work undertaken in order to increase the stock of knowledge — including
knowledge of humankind, culture, and society — and to devise new applications of available knowledge. R&D covers
three activities defined below — basic research, applied research, and experimental development.
•

Basic research is 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.

•

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

•

R&D Expenditures
Include all expenditures for R&D activities from your institution’s current operating funds that are separately accounted
for. For purposes of this survey, R&D includes expenditures for organized research as defined by 2 CFR Part 200
Appendix III and expenditures from funds designated for research.
R&D includes:

R&D does not include:

•

Sponsored research (federal and nonfederal)

•

Public service grants or outreach programs

•

University research (institutional funds that are
separately budgeted for individual R&D projects)

•

Curriculum development (unless included as part of
an overall research project)

•

Startup, bridge, or seed funding provided to researchers
within your institution

•

Other departmental funds designated for research

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

•

Recovered and unrecovered indirect costs (see
definitions in Question 1)

•

Estimates of the proportion of time budgeted for
instruction that is spent on research

•

Equipment purchased from R&D project accounts

•

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

•

R&D funds passed through to a subrecipient
organization, educational or other

•

Non-research training grants

•

Clinical trials, Phases I, II, or III (see definition in
Question 5)

•

Unrecovered indirect costs that exceed your
institution’s federally negotiated Facilities and
Administrative (F&A) rate

•

Research training grants funding work on organized
research projects

•

Tuition remission provided to students working on
research

Reporting Units
Please include these components of your institution:

Please do not include:

•

Federally Funded R&D Centers (FFRDCs). This
information is collected separately. See the list of
FFRDCs: http://www.nsf.gov/statistics/ffrdc/.

•

Other organizations or institutions, such as teaching
hospitals or research institutes, with which your
institution has an affiliation or relationship, but which are
not components of your institution.

•

Other campuses headed by their own president,
chancellor, or equivalent within your university system.
Each campus is asked to respond separately.

All units of your institution included in or with your
financial statements, such as:
•
•
•
•
•
•

Agricultural experiment stations
Branch campuses
Medical schools
Hospitals or clinics
Research centers and facilities
A university 501(c)3 foundation

Question 1.

How much of your total expenditures for research and development (R&D) came from
the following sources in FY 2019? (See definition of R&D on the previous page.)
•
•
•

In rows a, b, c, d, and f: Include both direct and recovered indirect costs
(reimbursement of F&A costs from external sponsors).
Report the original source of funds, when possible.
Include all fields of R&D (e.g., sciences, engineering, humanities, education, law, arts).
See full listing in Question 9.
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 institution. Funds from
FFRDCs should be treated as direct federal funding.

______

b. State and local government
Any state, county, municipality, or other local government entity in the United States,
including state health agencies. Include state funds that support R&D at agricultural
and other experiment stations.
Public institutions should report state appropriations restricted for R&D activities here
rather than in row e, Institutional funds.
c. Business
Domestic or foreign for-profit organizations. Report funds from a company’s
nonprofit foundation in row d.

______

d. Nonprofit organizations
Domestic or foreign nonprofit foundations and organizations, except universities
and colleges. Report funds from your institution’s 501(c)3 foundation in row e1.
Funds from other universities and colleges should be reported in row f.
e. Institutional funds
1. Institutionally financed research
All R&D funded by your institution from accounts that are only used for
research. Exclude institution research administration and support (e.g.,
office of sponsored programs).

______

(Confidential1)

2. Cost sharing
Include committed cost sharing other than unrecovered indirect costs.

3. Unrecovered indirect costs
Calculate this amount as follows for your externally funded R&D only
(preferably on a project-specific basis) using the appropriate cost rate—
on-campus, off-campus, etc.

______

(Confidential1)

______

(Confidential1)

• First, multiply the negotiated rate by the corresponding base.
• Second, subtract recovered indirect costs.
4. Total institutional funds2
f.

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

g. Total2
1

$ TOTAL

______

$ TOTAL

Information from confidential items is not published or released for individual institutions; only aggregate totals will appear in
publications. In accordance with the National Science Foundation Act of 1950, as amended, and other applicable federal laws, your
responses will not be disclosed in identifiable form to anyone other than agency employees or authorized persons. 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.
Totals for rows e4 and g are automatically generated on the Web survey.

Question 1.1.

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

a. Competitively awarded internal grants for research
Expenditures for organized research projects, involving a proposal or
statement of work with expected research outcomes.



b. Startup packages/bridge funding/seed funding
Expenditures from funds provided to faculty members to begin or
continue their research while seeking external sponsors.



c. Other departmental funds designated for research
Expenditures for research from other departmental or central
accounts which do not match the descriptions provided in rows a or b.



d. Tuition assistance for student research personnel
University tuition assistance, waivers, or remission provided to
students working on organized research. Please check “Included”
even if these funds are reported as part of the expenditures included
under rows a, b, or c.



Question 2.

How much of the total R&D expenditures reported in Question 1, row g, came from
the following foreign sources?
If you cannot break out expenditures for these categories,
check here and enter total expenditures from foreign sources on row e.

Source of funds
a. Foreign government
All levels of foreign government, including national, regional, municipality, or other
local government.
b. Business
Foreign for-profit organizations. Projects sponsored by a U.S. location of a foreign
company are not considered foreign. Report funds from a company’s nonprofit
foundation in row c.

R&D expenditures
(Dollars in thousands)

______

c. Nonprofit organizations
Foreign nonprofit foundations and organizations, except higher education institutions.
Funds from foreign universities should be reported in row d.

d. Higher education
Foreign colleges and universities and units owned, operated, and controlled by such
institutions.

e. All other sources
Include international governmental organizations located in the U.S., such as the
United Nations, the World Bank, and the International Monetary Fund and all other
entities sending funds to the U.S. from a location outside the U.S. and its territories.
f.
1



______
______
______

Total1

$ TOTAL

The column total is automatically generated on the Web survey.

Question 3.

Of the total R&D expenditures that were externally funded (all sources other than
the institutional funds reported in Question 1, row e4), how much was received
under each of the following types of agreements?
R&D expenditures
(Dollars in thousands)

a. Contracts (including direct or prime contracts and subcontracts)

______

Contracts are legal commitments in which a good or service is provided
by your institution that benefits the sponsor. The sponsor specifies the
deliverables and gains the rights to results.
b. Grants, reimbursements, and all other agreements
Include all other agreements in which payments are received but no
good or service other than periodic reporting is required in exchange.
c. Total1

______

$ TOTAL

(Total should match Question 1, row g minus Question 1, row e4)
1

The column total is automatically generated on the Web survey.

Question 4.
A. Did your institution have a medical school (that is, a school that
awards the MD or DO degree) in FY 2019?




Yes
No

Go to Question 4B.
Go to Question 5.

B. Of the total R&D expenditures reported in Question 1, row g, how much was expended for R&D projects in
your medical school?
Include projects that are assigned to the medical school or to research centers that are organizationally part of the
medical school.
R&D expenditures
(Dollars in thousands)

______

Total R&D expenditures in the university’s medical school

Question 5.
Yes
A. Did your institution conduct any clinical trials in FY 2019?
No




Go to Question 5B.
Go to Question 6.

Clinical trials are research studies designed to answer specific questions about the
effects of drugs, vaccines, medical devices, tests, treatments, and other therapies for
patients. Clinical trials are used to determine safety and effectiveness.
For reference, the National Institutes of Health (NIH) categorizes human clinical trials
into the following four phases.
Please include:
•
•
•

Phase I uses a small group of human patients (20–80) to evaluate safety and
identify side effects.
Phase II uses a larger group (100–300) to test effectiveness and further evaluate
safety.
Phase III uses a large group (1,000–3,000) to confirm effectiveness, monitor side
effects, compare to commonly used treatments, and collect safety information.
Please exclude:

•

Phase IV is a post-market study that collects more information on risks, benefits,
and optimal use.

B. Of the total R&D expenditures reported in Question 1, row g, how much was expended for Phase I, Phase II,
and Phase III clinical trials with human patients?
R&D expenditures
(Dollars in thousands)

(1)
Federal
Human clinical trials
Trials with human patients
1

______

(2)
Nonfederal

(3)
Total1

______

$ TOTAL

The row total is automatically generated on the Web survey.

Question 6.

What amounts of your FY 2019 R&D expenditures were for basic research, applied
research, and experimental development?
If possible, these categories defining the type of R&D should be coded at the individual
project level by the principal investigator. Estimates are acceptable if necessary.
See the table below this question for examples.
R&D expenditures
(Dollars in thousands)

(1)
Federal
a. Basic research
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.

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

d. Total1
Column 1 total should match Question 1, row a.
Column 3 total should match Question 1, row g.
1

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.

(3)
Total1

______

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

(2)
Nonfederal

$ TOTAL

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

Examples
Basic research

Applied research

Experimental 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 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.

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 developing and testing
software and support tools, based on
fieldwork, to improve mathematics
cognition for student special education.

Question 7.

How much of your R&D expenditures reported in Question 1 did your institution
receive as a subrecipient?
Please report the original source of funds in columns (1) and (2) and the pass-through
source in rows a–d.
Funds received directly from an FFRDC should be treated as direct federal funding and
not included on this question.
The subrecipient for an award carries out the work but receives the funds from a
pass-through entity rather than directly from the original funding source. Subrecipients
tend to be the co-authors of publications, writers of technical reports discussing
findings, inventors, etc. Do not include contractor or vendor relationships. A contractor
or vendor receives payment for goods and services provided. See 2 CFR Part 200
Subpart D Section 330.
Examples:
•
•

A university receives federal funds from another university as a subaward
(Row a, column 1).
A university receives federal funds from a company as a subaward
(Row b, column 1).
Originating source of R&D expenditures
(Dollars in thousands)

(1)
Federal

Entity passing funds to your institution

(3)
Total1

a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions

______

$ TOTAL

b. Businesses
For-profit organizations

______

$ TOTAL

c. Nonprofit organizations
Nonprofit foundations and organizations

______

$ TOTAL

d. Other
State and local governments, foreign institutions
including foreign universities/colleges, and others

______

$ TOTAL

e. Total1

(2)
Nonfederal

$ TOTAL

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

Question 8.

How much of the R&D expenditures reported in Question 1 did your institution
pass through to subrecipients?
Please report the original source of funds in columns (1) and (2) and the entity
receiving the funds in rows a–d.
Do not include contractor or vendor relationships. A contractor or vendor receives
payment for goods and services provided. See 2 CFR Part 200 Subpart D Section 330.
Examples:
•
•

Your institution passed through federal funds to another university
(Row a, column 1).
Your institution passed through funds from a company to another university
(Row a, column 2).
Originating source of R&D expenditures
(Dollars in thousands)

(1)
Federal

Entity receiving funds from your institution
a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions

(3)
Total1

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

$ TOTAL

______

b. Businesses
For-profit organizations

c. Nonprofit organizations
Nonprofit foundations and organizations

d. Other
State and local governments, foreign institutions
including foreign universities/colleges, and others

e. Total1

(2)
Nonfederal

$ TOTAL

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

Question 9A–B.

What were your FY 2019 R&D expenditures in the computer and information sciences and
engineering funded by the federal agency sources below? (R&D expenditures from nonfederal
sources will be reported in Question 11.)
•
•
•
•
•

Question 9 total (page 18, row K, column h) should match Question 1, row a.
Please see “Related Information” on the survey website for a list of the subagencies belonging to
each agency shown below.
If an individual project involves more than one of the 40 fields of R&D, please prorate expenditures
when possible and report the amount for each field involved.
For subrecipient funding, report the agency that sponsored the original award.
Funding from FFRDCs should be reported under the primary sponsoring agency for that center.
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

USDA

DoD

Energy

(d)
HHS,

R&D Fields
(Examples listed below)

A. Computer and
Information
Sciences

____

includes NIH

____

(e)

(f)

(g)

(h)

NASA

NSF

Other

Total2

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

B. Engineering

1. Aerospace,
Aeronautical,
and Astronautical
Engineering

2. Bioengineering
and Biomedical
Engineering

3. Chemical
Engineering

4. Civil Engineering

5. Electrical,
Electronic, and
Communications
Engineering

6. Industrial and
Manufacturing
Engineering

7. Mechanical
Engineering

8. Metallurgical and
Materials
Engineering

9. Other
Engineering

10. Total2

$ TOTAL

$ TOTAL $ TOTAL

Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.

Question 9 continues on next page.

Examples of Disciplines: Computer and Information Sciences and Engineering Fields of R&D
A. Computer and Information Sciences
Artificial intelligence
Computer and information
technology administration and
management
Computer science

Computer software and media
applications
Computer systems analysis
Computer systems networking
and telecommunications

Data processing
Information sciences, studies
Information technology

B. Engineering
1. Aerospace, Aeronautical,
and Astronautical
Engineering
Aerodynamics
Aerospace engineering
Space technology

2. Bioengineering and
Biomedical Engineering
Biological and biosystems
engineering
Biomaterials engineering
Biomedical technology
Medical engineering

3. Chemical Engineering
Biochemical engineering
Chemical and biomolecular
engineering
Engineering chemistry
Paper science
Petroleum refining process
Polymer, plastics engineering

4. Civil Engineering
Architectural engineering
Construction engineering
Engineering management,
administration
Environmental, environmental
health engineering
Geotechnical and
geoenvironmental engineering
Sanitary engineering
Structural engineering
Surveying engineering
Transportation and highway
engineering
Water resources engineering

5. Electrical, Electronic, and
Communications
Engineering
Communications engineering
Computer engineering
Computer hardware
engineering
Computer software engineering
Electrical and electronics
engineering
Laser and optical engineering
Power
Telecommunications
engineering

6. Industrial and
Manufacturing
Engineering
Industrial engineering
Manufacturing engineering
Operations research
Systems engineering

7. Mechanical Engineering
Electromechanical engineering
Mechatronics, robotics, and
automation engineering

8. Metallurgical and
Materials Engineering
Ceramic sciences and
engineering
Geophysical, geological
engineering
Materials engineering
Metallurgical engineering
Mining and mineral engineering
Textile sciences and
engineering
Welding

9. Other Engineering
Agricultural engineering
Engineering design
Engineering mechanics,
physics, and science
Engineering physics
Engineering science
Forest engineering
Nanotechnology
Naval architecture and marine
engineering
Nuclear engineering
Ocean engineering
Petroleum engineering
Other engineering fields that
cannot be classified using the
fields listed above

Question 9 continues on next page.

Question 9C.

What were your FY 2019 R&D expenditures in the geosciences, atmospheric sciences, and ocean
sciences funded by the federal agency sources below? (R&D expenditures from nonfederal
sources will be reported in Question 11.)
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

Total2

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric
Science and
Meteorology

2. Geological and
Earth Sciences

3. Ocean Sciences
and Marine
Sciences

____

4. Other
Geosciences,
Atmospheric
Sciences, and
Ocean Sciences

5. Total2

$ TOTAL

$ TOTAL $ TOTAL

Examples of Disciplines: Geosciences, Atmospheric Sciences, and Ocean Sciences Fields of R&D
C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric Science and
Meteorology
Aeronomy
Atmospheric chemistry and
climatology
Atmospheric physics and
dynamics
Extraterrestrial atmospheres
Meteorology
Solar
Weather modification

2. Geological and Earth
Sciences
Earth and planetary sciences
Geochemistry
Geodesy and gravity
Geology
Geomagnetism
Geophysics and seismology
Hydrology and water resources
Minerology and petrology
Paleomagnetism
Paleontology
Physical geography
Stratigraphy and sedimentation
Surveying

3. Ocean Sciences and
Marine Sciences
Biological oceanography
Geological oceanography
Marine biology
Marine oceanography
Marine sciences
Oceanography, chemical and
physical

4. Other Geosciences,
Atmospheric Sciences,
and Ocean Sciences
Other fields that cannot be
classified using the fields listed
above

Question 9 continues on next page.

Question 9D.

What were your FY 2019 R&D expenditures in the life sciences funded by the federal agency
sources below? (R&D expenditures from nonfederal sources will be reported in Question 11.)
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

USDA

DoD

Energy

(d)
HHS,

R&D Fields
(Examples listed below)

includes NIH

(e)

(f)

(g)

(h)

NASA

NSF

Other

Total2

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

D. Life Sciences

____

$ TOTAL

1. Agricultural
Sciences
2. Biological and
Biomedical
Sciences

3. Health Sciences

4. Natural
Resources and
Conservation

5. Other Life
Sciences
6. Total2

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

$ TOTAL $ TOTAL

Examples of Disciplines: Life Sciences Fields of R&D
D. Life Sciences
1. Agricultural Sciences
Agricultural business and
management
Agricultural chemistry
Agricultural economics
Agricultural engineering—report
in Engineering
Agricultural production
operations
Animal sciences
Applied horticulture and
horticultural business services
Aquaculture
Food science and technology
International agriculture
Plant sciences
Soil sciences
Wood science

2. Biological and Biomedical
Sciences
Allergies and immunology
Biochemistry, biophysics, and
molecular biology
Biogeography
Biology and biomedical
sciences, general

Biomathematics, bioinformatics,
and computational biology
Biotechnology
Botany and plant biology
Cell, cellular biology, and
anatomical sciences
Epidemiology, ecology and
population biology
Genetics
Microbiological sciences and
immunology
Molecular medicine
Neurobiology and neuroscience
Pharmacology and toxicology
Physiology, pathology and
related sciences
Zoology, animal biology

3. Health Sciences
Advanced, graduate dentistry
and oral sciences
Allied health and medical
assisting services
Bioethics, medical ethics
Clinical medicine research
Clinical/medical laboratory
science/research and allied
professions

Communication disorders
sciences and services
Dentistry
Dietetics and clinical nutrition
services
Health and medical
administrative services
Health, medical preparatory
programs
Gerontology, health sciences
Kinesiology and exercise
science
Medical clinical science,
graduate medical studies
Medical illustration and
informatics
Medicine
Mental health
Nursing
Optometry
Osteopathic medicine,
osteopathy
Pharmacy, pharmaceutical
sciences, and administration
Podiatric medicine, podiatry
Public health
Radiological science

Registered nursing, nursing
administration, nursing
research and clinical nursing
Rehabilitation and therapeutic
professions
Veterinary biomedical and
clinical sciences
Veterinary medicine
Zoology

4. Natural Resources and
Conservation
Fishing and fisheries sciences
and management
Forestry
Natural resources conservation
and research
Natural resources economics
Natural resources management
and policy
Renewable natural resources
Wildlife and wildlands science
and management

5. Other Life Sciences
Other life sciences that cannot
be classified using the fields
listed above

Question 9 continues on next page.

Question 9E–G.

What were your FY 2019 R&D expenditures in mathematics and statistics, the physical sciences,
and psychology funded by the federal agency sources below? (R&D expenditures from
nonfederal sources will be reported in Question 11.)
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

Total2

____

$ TOTAL

R&D Fields
(Examples listed below)

E. Mathematics and
Statistics

____

____
$____
$____
$____
$____

5. Other Physical
Sciences

____
$____
$____
$____
$____

6. Total2

$ TOTAL

$ TOTAL $ TOTAL

F. Physical Sciences
1. Astronomy and
Astrophysics
2. Chemistry
3. Materials
Science
4. Physics

G. Psychology
1

____

____
$____
$____
$____
$____
____

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

Examples of Disciplines: Mathematics and Statistics, Physical Sciences, and Psychology Fields of R&D
E. Mathematics and Statistics
Applied mathematics

Mathematics

Statistics

F. Physical Sciences
1. Astronomy and
Astrophysics
Astronomy
Astrophysics
Planetary astronomy and
science

2. Chemistry

3. Materials Science

(except Biochemistry—report in
Biological and Biomedical
Sciences)
Analytical chemistry
Chemical physics
Environmental chemistry
Forensic chemistry
Inorganic chemistry
Organic chemistry
Organo-metallic chemistry
Physical chemistry
Polymer chemistry
Theoretical chemistry

Materials chemistry
Materials science

4. Physics

5. Other Physical Sciences
Other physical sciences that
cannot be classified using the
fields listed above

Acoustics
Atomic, molecular physics
Condensed matter and
materials physics
Elementary particle physics
Mathematical physics
Nuclear physics
Optics, optical sciences
Plasma, high-temperature
physics
Theoretical physics

G. Psychology
Clinical psychology

Counseling and applied
psychology

Human development

Research and experimental
psychology

Question 9 continues on next page.

Question 9H–I.

What were your FY 2019 R&D expenditures in the social sciences and other sciences funded by
the federal agency sources below? (R&D expenditures from nonfederal sources will be reported
in Question 11.)
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

Total2

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

H. Social Sciences

____

6. Total2

$ TOTAL

Other Sciences

1. Anthropology

2. Economics

3. Political Science
and Government
4. Sociology,
Demography,
and Population
Studies
5. Other Social
Sciences

I.
1

$
$

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

$ TOTAL $ TOTAL

____

$ TOTAL

Examples of Disciplines: Social Sciences and Other Sciences Fields of R&D
H. Social Sciences
1. Anthropology
Cultural anthropology
Medical anthropology
Physical and biological
anthropology

2. Economics
Applied economics
Business development
Development economics and
international development
Econometrics and quantitative
economics
Industrial economics
International economics
Labor economics
Managerial economics
Public finance and fiscal policy

3. Political Science and
Government
Comparative government
Government
Legal systems
Political economy
Political science
Political theory

4. Sociology, Demography,
and Population Studies
Comparative and historical
sociology
Complex organizations
Cultural and social structure
Demography and population
studies
Group interactions
Rural sociology
Social problems and welfare
theory
Sociology

5. Other Social Sciences
Archeology
Area, ethnic, cultural, gender,
and group studies
Cartography
Criminal science and
corrections
Criminology
Geography
Gerontology, social sciences
International relations and
national security studies
Linguistics
Public policy analysis
Regional studies
Urban studies, affairs

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

Question 9 continues on next page.

Question 9J–K.

What were your FY 2019 R&D expenditures in the non-science and engineering (non-S&E) fields
funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be
reported in Question 11.)
R&D expenditures from federal sources1
(Dollars in thousands)

(a)

(b)

(c)

(d)
HHS,

(e)

(f)

(g)

(h)

USDA

DoD

Energy

includes NIH

NASA

NSF

Other

Total2

____

$ TOTAL

____

$ TOTAL

R&D Fields
(Examples listed below)

J. Non-S&E Fields
1. Business
Management
and Business
Administration

2. Communication
and
Communications
Technologies
3. Education

____

8. Other Non-S&E
Fields

____
$____
$____
$____
$____
$____

9. Total2

4. Humanities
5. Law
6. Social Work
7. Visual and
Performing Arts

K. Total for All
Fields of R&D2

____

____
$____
$____
$____
$____
$____

$ TOTAL
$ TOTAL

____

____
$____
$____
$____
$____
$____

$ TOTAL
$ TOTAL

____

____
$____
$____
$____
$____
$____

$ TOTAL

$ TOTAL $ TOTAL

$ TOTAL

$ TOTAL $ TOTAL

____
$____
$____
$____
$____
$____

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

Total for row K, column h should equal Total for Question 1, row a.
1

Question 9 continues on next page.

Examples of Disciplines: Non-S&E Fields of R&D
J. Non-S&E Fields
1. Business Management
and Business
Administration
Business administration
Business management
Business, managerial
economics
Management information
systems and services
Marketing management and
research

2. Communication and
Communications
Technologies
Communication and media
studies
Communications technologies
Journalism
Radio, television, and digital
communication

3. Education
Education administration and
supervision
Education research
Teacher education, specific
levels and methods
Teaching fields

4. Humanities
English language and literature,
letters
Foreign languages and
literatures
History, including history and
philosophy of science and
technology
Humanities, general
Liberal arts and sciences
Philosophy and religious
studies
Theology and religious
vocations

5. Law
Law
Legal studies

6. Social Work
(no specific examples)

7. Visual and Performing
Arts
Drama, theatre arts and
stagecraft
Film, video, and photographic
arts
Fine and studio arts
Music

Other Non-S&E Fields
Architecture
City, urban, community and
regional planning
Family, consumer sciences and
human sciences
Foods, nutrition, and wellness
studies
Landscape architecture
Library science
Military technology and applied
science
Parks, sports, recreation,
leisure and fitness
Public administration and public
affairs
Other non-S&E fields that
cannot be classified using the
fields listed above
Also, use this category for R&D
that involves multiple non-S&E
fields if it is impossible to report
multidisciplinary or
interdisciplinary R&D
expenditures in specific fields.

Question 10.

Of the amount reported for Other federal sources in Question 9 (row K, column g),
which agencies funded this R&D and how much of the reported amount was from
each agency?
If your institution reported $0 in Question 9, row K, column g, skip this
question and go to Question 11.
•
•
•
•

Use rows a–j to list up to 10 agencies that funded the largest R&D expenditures.
Use row k to report any remaining amount.
For subrecipient funding in this question, list the sponsor of the original award.
Please see “Related Information” on the survey website for a list of federal agencies
and their subagencies.
R&D expenditures
Federal agencies (list up to 10)

(Dollars in thousands)

_____________________________________

______

_____________________________________

Other agencies included in Question 9, column g, but not listed above

Total (should match Question 9, row K, column g)1

______
______
______
______
______
______
______
______
______
______
$ TOTAL

The column total is automatically generated on the Web survey.

Question 11A–B. What were your FY 2019 R&D expenditures in the computer and information sciences and
engineering fields funded by the nonfederal sources below?
•
•

The totals in row K, page 24 should match the corresponding sources in
Question 1, rows b–f.
If an individual project involves more than one of the 40 fields of R&D, please
prorate expenditures when possible and report the amount for each field involved.
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, p. 13)

(a)
State and
local
government

A. Computer and Information
Sciences

B. Engineering
1. Aerospace, Aeronautical, and
Astronautical Engineering

(b)

Business

(c)

Nonprofit
Institutional
organizations
funds

____

2. Bioengineering and
Biomedical Engineering

3. Chemical Engineering

4. Civil Engineering

5. Electrical, Electronic, and
Communications Engineering

6. Industrial and Manufacturing
Engineering

7. Mechanical Engineering

8. Metallurgical and Materials
Engineering

9. Other Engineering

10. Total1

$ TOTAL

(d)

(e)
Other
nonfederal
sources

(f)
Total1

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

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

Examples of disciplines for the above fields of R&D are listed on page 13.

Question 11 continues on next page.

Question 11C–D. What were your FY 2019 R&D expenditures in the R&D fields listed below funded by the
nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, pp. 14–15)

(a)
State and
local
government

(b)

Business

(c)

(d)

Nonprofit
Institutional
organizations
funds

(e)
Other
nonfederal
sources

(f)
Total1

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric Science and
Meteorology

2. Geological and Earth Sciences

3. Ocean Sciences and Marine
Sciences

4. Other Geosciences,
Atmospheric Sciences, and
Ocean Sciences
5. Total1

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

D. Life Sciences

____

$ TOTAL

1. Agricultural Sciences

2. Biological and Biomedical
Sciences

3. Health Sciences

4. Natural Resources and
Conservation

5. Other Life Sciences
6. Total1

____

$ TOTAL

____

$ TOTAL

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

Examples of disciplines for the above fields of R&D are listed on pages 14–15.

Question 11 continues on next page.

Question 11E–I. What were your FY 2019 R&D expenditures in the R&D fields listed below funded by the
nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, pp. 16–17)

E. Mathematics and Statistics

(a)
State and
local
government

(b)

Business

____

(c)

(d)

Nonprofit
Institutional
organizations
funds

____

(e)
Other
nonfederal
sources

Total1

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

(f)

F. Physical Sciences
1. Astronomy and Astrophysics

2. Chemistry

3. Materials Science

4. Physics

5. Other Physical Sciences

____

$ TOTAL

6. Total1

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

G. Psychology

____

H. Social Sciences
1. Anthropology

2. Economics

3. Political Science and
Government

4. Sociology, Demography, and
Population Studies

5. Other Social Sciences

____

$ TOTAL

6. Total1

$ TOTAL

____

$ TOTAL

I. Other Sciences
1

____

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

Examples of disciplines for the above fields of R&D are listed on pages 16–17.

Question 11 continues on next page.

Question 11J–K. What were your FY 2019 R&D expenditures in the non-science and engineering (non-S&E) fields
funded by the nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)

R&D Fields
(See Question 9, p. 19)

(a)
State and
local
government

(b)

Business

(c)

(d)

Nonprofit
Institutional
organizations
funds

(e)
Other
nonfederal
sources

(f)
Total1

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

____

$ TOTAL

J. Non-S&E Fields
1. Business Management and
Business Administration

2. Communication and
Communications Technologies

3. Education

4. Humanities

5. Law

6. Social Work

7. Visual and Performing Arts

8. Other Non-S&E Fields
9. Total1
K. Total for All Fields of R&D1

____

$ TOTAL

Totals in row K, columns a–e should match corresponding sources in Question 1, rows b–f.
1

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

Examples of disciplines for non-S&E fields of R&D are listed on page 19.

Question 12.

Of the total amount of R&D expenditures reported in Question 1, row g, what were
the amounts for the following types of costs?
•
•

Please report only direct costs (including cost sharing) in rows a–e.
Recovered and unrecovered indirect costs should be reported in rows f1 and f2.
R&D expenditures
(Dollars in thousands)

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 your institution’s funds and from external support.

______

1. Noncapitalized software

______

2. Capitalized software (If you are unable to distinguish capitalized
software from capitalized equipment, report both in row c.)

______

Capitalized equipment
Payments for movable equipment exceeding your institution’s capitalization
threshold. Include ancillary costs such as delivery and setup.

______

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

d. Pass-throughs to other universities or organizations
(should match the total in Question 8, row e, column 3)
e.

Other direct costs
Other costs that do not fit into one of the above categories, including
(but not limited to) travel, tuition waivers, services such as consulting,
computer usage fees, and supplies.
Indirect costs
1. Recovered indirect costs
Reimbursement of Facilities and Administrative (F&A) costs
from external sponsors

2. Unrecovered indirect costs
(should equal Question 1, row e3)

______

(Confidential1)

______

(Confidential1)

3. Total indirect costs2

$ TOTAL

g. Total2
(should match total from Question 1, row g)
1

$ TOTAL

Information from confidential items is not published or released for individual institutions; only aggregate totals will appear in publications.
In accordance with the National Science Foundation Act of 1950, as amended, and other applicable federal laws, your responses will not
be disclosed in identifiable form to anyone other than agency employees or authorized persons. 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.
Totals are automatically generated on the Web survey.

Question 13.

At the end of FY 2019, what were your institution’s capitalization thresholds for software and
equipment?
(Dollars in thousands)
(1)
(2)
Software
Equipment

Capitalization thresholds

______

______
25

Question 14A–C. For the R&D fields below, what portion of your FY 2019 R&D expenditures went
for the purchase of capitalized R&D equipment?
•

Question 14 total (row K, column c) should match Question 12, row c (Capitalized equipment).
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, pp. 13–14)

A. Computer and Information Sciences

(b)
Nonfederal

______

$ TOTAL

______

______
$______
$______
$______
$______
$______
$______
$______
$______

B. Engineering
1. Aerospace, Aeronautical, and Astronautical Engineering
2. Bioengineering and Biomedical Engineering
3. Chemical Engineering
4. Civil Engineering
5. Electrical, Electronic, and Communications Engineering
6. Industrial and Manufacturing Engineering
7. Mechanical Engineering
8. Metallurgical and Materials Engineering
9. Other Engineering

10. Total1

______
$______
$______
$______
$______
$______
$______
$______
$______

$ TOTAL

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric Science and Meteorology
2. Geological and Earth Sciences
3. Ocean Sciences and Marine Sciences
4. Other Geosciences, Atmospheric Sciences, and
Ocean Sciences
5. Total1
1

______
$______
$______
$______
$

$ TOTAL

______
$______
$______
$______
$

$ TOTAL

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

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

Examples of disciplines for the above fields of R&D are listed on pages 13–14.

Question 14 continues on next page.

Question 14D–I.

For the R&D fields below, what portion of your FY 2019 R&D expenditures went
for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, pp. 15–17)

(b)
Nonfederal

D. Life Sciences

______
$______
$______
$______
$______

1. Agricultural Sciences

2. Biological and Biomedical Sciences
3. Health Sciences
4. Natural Resources and Conservation
5. Other Life Sciences
6. Total1

______
$______
$______
$______
$______
$

$ TOTAL

E. Mathematics and Statistics

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

______
$______
$______
$______
$______

$ TOTAL

______

$ TOTAL

F. Physical Sciences
1. Astronomy and Astrophysics

2. Chemistry
3. Materials Science
4. Physics
5. Other Physical Sciences
6. Total1

______
$______
$______
$______
$______

$ TOTAL

G. Psychology

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

______
$______
$______
$______
$______

$ TOTAL

______

$ TOTAL

H. Social Sciences
1. Anthropology

2. Economics
3. Political Science and Government
4. Sociology, Demography, and Population Studies
5. Other Social Sciences
6. Total1
I.
1

______
$______
$______
$______
$______

$ TOTAL

______

Other Sciences

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

______

$ TOTAL

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

Examples of disciplines for the above fields of R&D are listed on pages 15–17.
Question 14 continues on next page.

Question 14J–K. For the non-science and engineering (non-S&E) R&D fields below, what portion of your
FY 2019 R&D expenditures went for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)

R&D Fields

(a)
Federal

(See Question 9, p. 19)

(b)
Nonfederal

J. Non-S&E Fields
1. Business Management and Business Administration
2. Communication and Communications Technologies
3. Education
4. Humanities
5. Law
6. Social Work
7. Visual and Performing Arts
8. Other Non-S&E Fields
9. Total1
K. Total for All Fields of R&D1

______
$______
$______
$______
$______
$______
$______
$______
$

$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL

$ TOTAL

Total for row K, column c, should match Question 12, row c (Capitalized equipment).
1

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

Examples of disciplines for non-S&E fields of R&D are listed on page 19.

Question 15.

How many principal investigators and other personnel (headcount) were paid from the
R&D salaries, wages, and fringe benefits you reported in Question 12, row a?
•

A principal investigator (PI) is designated by your institution to direct the R&D
project or program and be responsible for the scientific and technical direction of the
project. Co-investigators (co-PIs) may be designated for this role and should also be
included in column 1.

•

Count each person only once.

•

If a person serves as a PI or co-PI on one project and other personnel on another
project, count that person as a PI.

•

Include all personnel and students paid from R&D accounts regardless of how much
they received.

Number of people (headcount)
1

(1)
Principal
investigators

(2)
All other
personnel

(3)
Total1

______

TOTAL

The row total is automatically generated on the Web survey.

Question 16.

In what month did your institution’s 2019 fiscal year end?

________________

Primary Contact Information. Please complete the contact information for the person responsible for the survey.
Name
Job Title
Institution name
Office/Department
Mailing address (line 1)
Mailing address (line 2)
City, state, and ZIP Code
Phone number

______________________________________________
______________________________________________
______________________________________________
______________________________________________
______________________________________________
______________________________________________
______________________________________________
_____________ E-mail address ______________________

Other Contact Information. List individuals who should be copied on all e-mails about the survey or can create a login
account. Job Title should include information about office/department as appropriate (e.g., VP of Sponsored Programs,
Department of Finance Manager, Analyst II in Grants Management).
Other Contact 1
Name
Job Title
Phone Number

______________________________________________
______________________________________________
_____________ E-mail address ______________________

Other Contact 2
Name
Job Title
Phone Number

______________________________________________
______________________________________________
_____________ E-mail address ______________________

Other Contact 3
Name
Job Title
Phone Number

______________________________________________
______________________________________________
_____________ E-mail address ______________________

File Type	application/pdf
File Title	HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY, FY 2017
Subject	NSF HERD Survey, FY 2017
Author	National Science Foundation
File Modified	2019-07-10
File Created	2019-07-10