FY 2020 Higher Education R&D Survey Population Screening Methodology

Appendix A Population Review Screener

Appendix B Collection Schedule and Contacts
Contact

Date

1

Tuesday, 25 August
2020

2

Tuesday, 8 September
2020

3

Monday, 14
September - Thursday,
17 September 2020
And

Description/Message

Mode

From

Screener launch email
 Screener PDF attached
 September 4 due date
 Version 1 to primary contact from last year
 Version 2 to senior administrator
 Version 3 to senior administrator where no
e-mail can be found
o U.S. priority mail
o printed questionnaire
o postage paid envelope
o September 11 due date
Nonresponse reminder 1
 Screener PDF attached
 September 11 due date
 Version 1 to primary contact from last year
 Version 2 senior administrator
Nonresponse reminder 2 and 3
 Version 1 for calls to primary contact from
last year
 Version 2 for calls to senior administrator
 Response needed within 1 week of calls

Email or
Priority
Mail

Michael
Gibbons of
NCSES

Email

Michael
Gibbons of
NCSES

Phone

ICF staff

Priority
Mail

Michael
Gibbons of
NCSES

Email or
Letter

Michael
Gibbons of
NCSES

Priority
Mail

Michael
Gibbons of
NCSES

Thursday, 24
September - Tuesday,
29 September 2020
4

Monday, 5 October
2020

Nonresponse reminder 4
 Screener enclosed
 Postage paid envelope
 October 16 due date
Post Response Contacts for Eligible Institutions

5

As completed

6

Within 2-weeks of
submission

Thank you for eligible institutions
 Version 1 email to senior administrator
copying designated point of contact
 Version 2 letter to senior administrator with
copy sent to designated point of contact
Welcome letter to new institutions
 Sent to senior leadership at institution
 Copy of letter sent to respondent
Post Response Contacts for Ineligible Institutions

Contact
7

Date
As completed

Description/Message

Mode

Thank you for ineligible institutions under
threshold
 Version 1 email to senior administrator
copying designated point of contact
 Version 2 letter to senior administrator with
copy sent to designated point of contact

Email or
Letter

From
Michael
Gibbons of
NCSES

Contact 1, version 1
Population Screener Launch Email
To: [[email]]
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Attachment: HERD survey questionnaire PDF
Dear [[firstname]] [[lastname]]:
I am writing to request your assistance in helping the National Center for Science and Engineering
Statistics (NCSES) within the National Science Foundation (NSF) measure nationwide spending on
research and development (R&D) at colleges and universities. By answering five short questions (see
attached questionnaire), you will help us update our list of institutions for NSF's Higher Education
Research and Development (HERD) Survey. Even if your institution has no R&D, it is still very
important that we hear from you so we can remove your institution from our list.
To complete the questionnaire please 1) enter your responses into the attached file, 2) save it to your
desktop, 3) reply to this e-mail and attach your saved questionnaire.
The NSF HERD Survey is an annual survey of U.S. institutions with annual R&D expenditures of
$150,000 or more. It covers nonprofit institutions that offer an accredited bachelor’s or higher degree.
NSF is the federal agency responsible for compiling and reporting the total amount spent on R&D within
the United States from all sources of funding, both private and public. The published statistics from our
surveys are used to show the contribution of U.S. academic institutions to research. Your assistance will
help us make sure that our list of institutions performing R&D is complete and accurate. Institutions are
often included in this review because they reported having research expenses in their previous year’s
IPEDS report, which indicates they may qualify to participate in the upcoming HERD survey.
I would appreciate very much if you could return your response via e-mail by Friday, September 4,
2020. If you have any questions, please contact our survey contractor, ICF, at [email protected] or
call toll-free 866-936-9376.
Thank you for your help with this national effort.
Michael Gibbons
Project Officer
Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 1, version 2
Population Screener Launch Email
To: [[adminemail]]
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Attachment: HERD survey questionnaire PDF
Dear [[adminsalutation]] [[adminlastname]]:
I am writing to request your assistance in helping the National Center for Science and Engineering
Statistics (NCSES) within the National Science Foundation (NSF) measure nationwide spending on
research and development (R&D) at colleges and universities. By answering five short questions (see
attached questionnaire), you will help us update our list of institutions for NSF's Higher Education
Research and Development (HERD) Survey. Even if your institution has no R&D, it is still very
important that we hear from you so we can remove your institution from our list.
To complete the questionnaire please 1) enter your responses into the attached file, 2) save it to your
desktop, 3) reply to this e-mail and attach your saved questionnaire.
The NSF HERD Survey is an annual survey of U.S. institutions with annual R&D expenditures of
$150,000 or more. It covers nonprofit institutions that offer an accredited bachelor’s or higher degree.
NSF is the federal agency responsible for compiling and reporting the total amount spent on R&D within
the United States from all sources of funding, both private and public. The published statistics from our
surveys are used to show the contribution of U.S. academic institutions to research. Your assistance will
help us make sure that our list of institutions performing R&D is complete and accurate. Institutions are
often included in this review because they reported having research expenses in their previous year’s
IPEDS report, which indicates they may qualify to participate in the upcoming HERD survey.
I would appreciate very much if you could return your response via e-mail by Friday, September 4,
2020. If you have any questions, please contact our survey contractor, ICF, at [email protected] or
call toll-free 866-936-9376.
Thank you for your help with this national effort.
Michael Gibbons
Project Officer
Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 1, version 3
Population Screener Launch Letter


On HERD letterhead and sent to president or chancellor; Hard-copy of screener and postage paid
envelope included. Sent via 2-day priority mail

[[currentdate]]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
I am writing to request your assistance in helping the National Center for Science and Engineering
Statistics (NCSES) within the National Science Foundation (NSF) measure nationwide spending on
research and development (R&D) at colleges and universities. By answering five short questions (see
enclosed questionnaire), you will help us update our list of institutions for NSF's Higher Education
Research and Development (HERD) Survey. Even if your institution has no R&D, it is still very
important that we hear from you so we can remove your institution from our list.
The NSF HERD Survey is an annual survey of U.S. institutions with annual R&D expenditures of
$150,000 or more. It covers nonprofit institutions that offer an accredited bachelor’s or higher degree.
NSF is the federal agency responsible for compiling and reporting the total amount spent on R&D within
the United States from all sources of funding, both private and public. The published statistics from our
surveys are used to show the contribution of U.S. academic institutions for research. Your assistance will
help us make sure that our list of institutions performing R&D is complete and accurate. Institutions are
often included in this review because they reported having research expenses in their previous year’s
IPEDS report, which indicates they may qualify to participate in the upcoming HERD survey.
I would appreciate very much if you could respond by Friday, September 11, 2020. Please return the
enclosed questionnaire in the postage-paid return envelope or fax it to 866-936-9376.
If you have any questions, please contact our survey contractor, ICF, at [email protected] or call
toll-free 866-936-9376.
Thank you for your help with this national effort.
Sincerely,

Michael Gibbons
National Center for Science and Engineering Statistics
National Science Foundation

Contact 2, version 1
Nonresponse Reminder 1
To: [[email]]
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Attachment: HERD survey questionnaire PDF
Dear [[firstname]] [[lastname]]:
We need your response as soon as possible to a short set of questions for the Higher Education Research
and Development Survey conducted by the National Center for Science and Engineering Statistics
(NCSES) within the National Science Foundation (NSF). Please complete and return the attached PDF
questionnaire. We would very much like to have your institution’s information so that our coverage of
academic institutions will be complete.
I would appreciate very much if you could return your response via e-mail by Friday, September 11,
2020. Even if your institution had no R&D expenditures, we still need to hear from you. NSF is the
federal agency responsible for estimating the total amount spent on R&D within the U.S. Your
institution’s response helps us provide complete and accurate national statistics.
To complete the questionnaire please 1) enter your responses into the attached file, 2) save it to your
desktop, 3) reply to this e-mail and attach your saved questionnaire.
If you have any questions, please contact our survey contractor, ICF, at [email protected] or call
toll-free 866-936-9376.
Thank you for your help with this national effort.
Michael Gibbons
Project Officer
Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 2, version 2
Nonresponse Reminder 1
To: [[adminemail]]
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Attachment: HERD survey questionnaire PDF
Dear [[adminsalutation]] [[adminlastname]]:
We need your response as soon as possible to a short set of questions for the Higher Education Research
and Development Survey conducted by the National Center for Science and Engineering Statistics
(NCSES) within the National Science Foundation (NSF). Please complete and return the attached PDF
questionnaire. We would very much like to have your institution’s information so that our coverage of
academic institutions will be complete.
I would appreciate very much if you could return your response via e-mail by Friday, September 11,
2020. Even if your institution had no R&D expenditures, we still need to hear from you. NSF is the
federal agency responsible for estimating the total amount spent on R&D within the U.S. Your
institution’s response helps us provide complete and accurate national statistics.
To complete the questionnaire please 1) enter your responses into the attached file, 2) save it to your
desktop, 3) reply to this e-mail and attach your saved questionnaire.
If you have any questions, please contact our survey contractor, ICF, at [email protected] or call
toll-free 866-936-9376.
Thank you for your help with this national effort.
Michael Gibbons
Project Officer
Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 3, version 1
Nonresponse Reminder 2 and 3
Call the office of the primary contact at each institution that has not responded to the questionnaire.
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 questionnaire.
2. Confirm receipt of the Questionnaire Nonresponse e-mail/letter



If the contact does not have a copy of the e-mail, verify their e-mail address and resend the email.
If the letter was not received ask if there is an e-mail we can send the letter to expedite the
process. If not then confirm the mailing address and resend the letter with attached population
review questionnaire or ask if they could answer the questions via phone.

3. Inform the contact that NSF needs a response by



September 23 (nonresponse reminder 2)
October2 (nonresponse reminder 3)

4. Ask if the questionnaire was forwarded to another office and if they can follow up on the status of the
institution’s response.
5. If the contact indicates that they know they do or do not have expenditures, you can take a response
over the phone. Just confirm that they are thinking about externally and internally sponsored R&D in
all field of study including non-science and engineering fields.
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 email to [email protected] or call you toll free at 866-936-9376.
Leaving a message
1. If the primary contact’s office cannot be reached leave a voice mail identifying yourself and the
survey, the purpose of the call, the date of the e-mail/letter 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 questionnaire. Please call us at 866936-9376 and let us know when you will be able to complete the brief five question survey that
was e-mailed to you on XXXX (or that was mailed to you on XXX). 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 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 week-long cycle.

Contact 3, version 2
Nonresponse Reminder 2 and 3
Call the office of the senior administrator at each institution that has not responded to the questionnaire.
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 questionnaire.
2. Confirm receipt of the questionnaire Nonresponse e-mail/letter. You do not speak directly to the
president/chancellor. You can speak to their assistant or whoever answers the phone (e.g., “I’m trying
to confirm whether Dr. Jones received a short survey we sent to her on …”)




If the contact does not have a copy of the e-mail, verify their e-mail address and resend the email.
If the letter was not received ask if there is an e-mail we can send the letter to expedite the
process. If not then confirm the mailing address and resend the letter with attached population
review questionnaire or ask if they could answer the questions via phone.
You can also use this as an opportunity to ask if there is someone else the survey should be sent
to.

3. Inform the contact that NSF needs a response by



September 23 (nonresponse reminder 2)
October2 (nonresponse reminder 3)

4. Ask if the questionnaire was forwarded to another office and if they can follow up on the status of the
institutions response.
5. If the contact indicates that they know they do or do not have expenditures, you can take a response
over the phone. Just confirm that they are thinking about externally and internally sponsored R&D in
all field of study including non-science and engineering fields.
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 email to [email protected] or call you toll free at 866-936-9376.
Leaving a message
1. If the senior administrator’s office cannot be reached leave a voicemail identifying yourself and the
survey, the purpose of the call, the date of the e-mail/letter 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 questionnaire. Please call us at 866936-9376 and let us know when you will be able to complete the brief five question survey that

was e-mailed to you on XXXX (or that was mailed to you on XXX). . 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 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 week-long cycle.

Contact 4
Nonresponse Reminder 6


On HERD letterhead and sent to president or chancellor; Hard-copy of screener and postage paid
envelope included. Sent via 2-day priority mail

[[currentdate]]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
I am writing to request your assistance in helping the National Center for Science and Engineering
Statistics (NCSES) within the National Science Foundation (NSF) measure nationwide spending on
research and development (R&D) at colleges and universities. By answering five short questions (see
enclosed questionnaire), you will help us update our list of institutions for NSF's Higher Education
Research and Development (HERD) Survey. Even if your institution has no R&D, it is still very
important that we hear from you so we can remove your institution from our list.
The NSF HERD Survey is an annual survey of U.S. institutions with annual R&D expenditures of
$150,000 or more. It covers nonprofit institutions that offer an accredited bachelor’s or higher degree.
NSF is the federal agency responsible for compiling and reporting the total amount spent on R&D within
the United States from all sources of funding, both private and public. The published statistics from our
surveys are used to show the contribution of U.S. academic institutions for research. Your assistance will
help us make sure that our list of institutions performing R&D is complete and accurate. Institutions are
often included in this review because they reported having research expenses in their previous year’s
IPEDS report, which indicates they may qualify to participate in the upcoming HERD survey.
I would appreciate very much if you could respond by Friday, October 16, 2020. Please return the
enclosed questionnaire in the postage-paid return envelope or scan and return to [email protected].
If you have any questions, please contact our survey contractor, ICF, at [email protected] or call
toll-free 866-936-9376.
Thank you for your help with this national effort.
Sincerely,

Michael Gibbons
National Center for Science and Engineering Statistics
National Science Foundation

Contact 5, version 1
Thank you to Eligible Institutions (Institutions reporting $150,000 or more)
To: [[adminemail]]
CC: Designated contact (if provided)
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Dear [[adminsalutation]] [[adminlastname]]:
On behalf of the National Center for Science and Engineering Statistics (NCSES) within the National
Science Foundation (NSF), I want to thank [[instnameletters]] for participating in the institution update
for the Higher Education Research and Development (HERD) Survey. Based on the information provided
about FY 2019 and FY 2020 R&D expenditures, your institution will be included in the FY 2020 HERD
Survey. We will send [[firstname]] [[lastname]] information on accessing the survey website when the
survey begins for all institutions in November.
If you have questions in the meantime, please do not hesitate to contact me at
[email protected] or 703-292-4590.
Thank you very much for your help with this effort.
Michael Gibbons
Project Officer
Higher Education Research and Development Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 5, version 2
Thank You to Eligible Institutions (Institutions reporting $150,000 or more)
On HERD Letterhead
[[currentdate]]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
On behalf of the National Center for Science and Engineering Statistics (NCSES) within the National
Science Foundation (NSF), I want to thank [[instnameletters]] for participating in the institution update
for the Higher Education Research and Development Survey. Based on the information you provided
about FY 2019 and FY 2020 R&D expenditures, your institution is now included in the FY 2020 survey.
Our survey contractor, ICF, will send [[firstname]] [[lastname]] information on accessing the survey
website when the survey begins for all institutions in November.
If you have any questions, please contact our survey contractor, ICF, at [email protected] or call
toll-free 866-936-9376.
Thank you for your help with this national 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 6-Welcome letter



Printed on HERD letterhead and sent via 2-day priority mail
Not sent to institutions for which the president/chancellor is the designated contact

[[currentdate]]
[[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 2020 Higher
Education Research and Development Survey.
Your institution is now one of nearly 1,000 institutions that NSF 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.
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 2019 or FY 2020 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 2020
survey. The survey will begin in early November and the survey deadline is January 29, 2021.
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 7, version 1
Thank You E-mail for ineligible institutions (Institutions reporting less than $150,000)
To: [[adminemail]]
CC: Designated contact (if provided)
From: NSF Higher Education R&D Survey
Re: NSF Higher Education R&D Review ([[inst_id]])
Dear [[adminsalutation]] [[adminlastname]]:
On behalf of the National Center for Science and Engineering Statistics (NCSES) within the National
Science Foundation (NSF), I want to thank [[instnameletters]] for participating in the institution update
for the Higher Education Research and Development Survey. We appreciate your help in providing
current information on your institution’s R&D activity. Based on the information you provided about FY
2019 and FY 2020 R&D expenditures, your institution will not be included in the FY 2020 Higher
Education R&D Survey.
If you have questions please contact me at [email protected], or call me at 703-292-4590.
Thank you again for your cooperation in providing this important information.
Sincerely,
Michael Gibbons
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation

Contact 7, version 2
Thank You Letter for ineligible institutions (Institutions reporting less than $150,000)
On HERD Letterhead
[[currentdate]]
[[adminfirstname]] [[adminmiddlename]] [[adminlastname]]
[[admintitle]]
[[instnameletters]]
[[adminaddr]]
[[admincity]], [[adminstate]] [[adminzip]]
Dear [[adminsalutation]] [[adminlastname]]:
On behalf of the National Center for Science and Engineering Statistics (NCSES) within the National
Science Foundation (NSF), I want to thank [[instnameletters]] for participating in the institution update
for the Higher Education Research and Development Survey. We appreciate the update on the current
status of your institution’s R&D activity. Based on the information you provided about FY 2019 and FY
2020 R&D expenditures, your institution will not be included in the FY 2020 survey.
If you have questions please contact me at [email protected], or call me at 703-292-4590. 
Thank you for your help with this national effort.
Sincerely,

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