FY 2022 Higher Education Research and Development Survey Short Form - FY 2016

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

NATIONAL SCIENCE FOUNDATION
ALEXANDRIA, VA 22314

HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2022 Short Form
Please submit your survey data by January 31, 2023.
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 8 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://shortform.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 2022
Changes to Questions
There were no changes to the FY 2022 survey.

2

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 2022 fiscal year.
Fiscal Year (FY)
Please report data for your institution’s 2022 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

•

•

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

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

•

Non-research training grants

•

Clinical trials, Phases I, II, or III

•

•

Research training grants funding work on organized
research projects

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

•

Tuition remission provided to students working on
research

3

Reporting Units
Please include these components of your institution:
•

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

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.

4

Question 1.

How much of your total expenditures for research and development (R&D) came from
the following sources in FY 2022? (See definition of R&D on the previous page.)
•
•
•

Source of funds

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 on pages 10–12.
R&D expenditures

(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).
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)

(Confidential1)

• First, multiply the negotiated rate by the corresponding base.
• Second, subtract recovered indirect costs.

$ TOTAL

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

2

$

______
$ 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.

5

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.



6

Question 2.

What were your FY 2022 R&D expenditures in the fields below? Please report
federally funded expenditures in column (1) and all other expenditures in column (2).
•

Examples of the disciplines included under each field are provided on pages 10–12.
R&D expenditures

(Dollars in thousands)

(1)
Federal

R&D Fields

(2)
Nonfederal

(3)
Total1

A. Computer and Information Sciences

$

______

$

______

$ TOTAL

B. Engineering

$

______

$

______

$ TOTAL

C. Geosciences, Atmospheric Sciences, and
Ocean Sciences

$

______

$

______

$ TOTAL

D. Life Sciences

$

______

$

______

$ TOTAL

E. Mathematics and Statistics

$

______

$

______

$ TOTAL

F. Physical Sciences

$

______

$

______

$ TOTAL

G. Psychology

$

______

$

______

$ TOTAL

H. Social Sciences

$

______

$

______

$ TOTAL

I.

Other Sciences

$

______

$

______

$ TOTAL

J. Non-S&E Fields

$

______

$

______

$ TOTAL

$ TOTAL

$ TOTAL

K. Total for All Fields of R&D1

$ TOTAL

Total in row k, column (1) should match total reported in Question 1, row a.
Total in row k, column (2) should match total reported in Question 1, rows b–f.
1

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

7

Question 3.

How much of your R&D expenditures reported in Question 1 did your institution
receive as a subrecipient from another U.S. university or college?
Please report the original source of funds in columns (a) and (b).
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.
Originating source of R&D expenditures
(Dollars in thousands)

Funds received from other
U.S. higher education institutions
Include colleges and universities and units owned,
operated, and controlled by such institutions.
1

(a)
Federal

$

______

(b)
Nonfederal

(c)
Total1

______

$ TOTAL

$

The row total is automatically generated on the Web survey.

Question 4.

How much of your R&D expenditures reported in Question 1 did your institution
pass through to subrecipients at other U.S. universities or colleges?
Please report the original source of funds in columns (a) and (b).
Originating source of R&D expenditures
(Dollars in thousands)

Funds passed through to other
U.S. higher education institutions
Include colleges and universities and units owned,
operated, and controlled by such institutions.
1

(a)
Federal

$

______

(b)
Nonfederal

(c)
Total1

______

$ TOTAL

$

The row total is automatically generated on the Web survey.

Question 5.

In what month did your institution’s 2022 fiscal year end?

________________

8

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 ______________________

9

EXAMPLES OF DISCIPLINES UNDER EACH R&D FIELD
A. Computer and Information Sciences
Artificial intelligence
Computer and information
technology administration and
management
Computer science

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

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

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

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

Data processing
Information sciences, studies
Information technology

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

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

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

4. Other Geosciences,
Atmospheric Sciences,
and Ocean Sciences

Other fields that cannot be
classified using the fields listed
above

Examples of disciplines continue on next page.

10

D. Life Sciences

1. Agricultural Sciences
Agricultural business and
management
Agricultural chemistry
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
Veterinary biomedical and
clinical sciences
Veterinary medicine
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
Foods, nutrition, and wellness
studies
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
Zoology

4. Natural Resources and
Conservation
Fishing and fisheries sciences
and management
Forestry
Natural resources conservation
and research
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

E. Mathematics and Statistics
Applied mathematics

F. Physical Sciences
1. Astronomy and
Astrophysics

Astronomy
Astrophysics
Planetary astronomy and
science

Mathematics

2. Chemistry

(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

Statistics

3. Materials Science
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

Examples of disciplines continue on next page.

11

H. Social Sciences
1. Anthropology

Cultural anthropology
Medical anthropology
Physical and biological
anthropology

2. Economics
Agricultural economics
Applied economics
Business development
Development economics and
international development
Econometrics and quantitative
economics
Industrial economics
International economics
Labor economics
Managerial economics
Natural resources 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
History and philosophy of
science and technology
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.

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
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

8.

Other Non-S&E
Fields
Architecture
City, urban, community
and regional planning
Family, consumer
sciences and human
sciences
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.

12