Academic R&D Survey (3145-0100) (Reference)

NSF Form 411 (08-06)

FORM APPROVED
OMB No. 3145-0100
Expiration Date: 05/31/09

NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230

SURVEY OF RESEARCH AND DEVELOPMENT EXPENDITURES
AT UNIVERSITIES AND COLLEGES, FY 2006
Please submit your survey data by January 30, 2007.
The Web address for submitting your data:
http://www.qrc.com/expweb
Or, mail this form to:
ORC Macro
7315 Wisconsin Avenue, Suite 400W
Bethesda, MD 20814-3202
Or, e-mail your response to:
expweb@qrc.com
The Web password and user ID were e-mailed to each institution. If
you have questions about this or any other issue, please call: Survey
Support at ORC Macro, 1-866-349-8626. For general survey
questions, you may also contact Ronda Britt of NSF at rbritt@nsf.gov
or (703) 292-7765.
Your cooperation in returning the survey questionnaire promptly is
very important. This information is solicited under the authority of the
National Science Foundation Act of 1950, as amended. Your response
is entirely voluntary; your failure to provide some or all of the information
will in no way adversely affect your institution.
Report data for your institution’s 2006 fiscal year. All financial data
should be reported in thousands of dollars; for example, an expenditure
of $25,342 should be rounded to the nearest thousand dollars and
reported as $25.

Scope:
This survey collects data on expenditures by universities and colleges for
separately budgeted research and development (R&D). Definitions used
are compatible with OMB Circular A-21, revised May 10, 2004. Items 1
and 2 ask for current fund expenditures by source of funds and by field of
science and engineering. Item 3 collects data on that portion of current
fund expenditures reported in Items 1 and 2 that went for the purchase of
scientific and engineering research equipment. Item 2A asks for current
fund expenditures in non-science and engineering fields, and Item 2B
requests information on the Federal Government agency sources of
current fund expenditures by field of science and engineering.

Definitions:
Research and Development (R&D). R&D for purposes of this survey is
the same as “organized research” as defined in Section B.1.b. of OMB
Circular A-21 (revised). It includes all R&D activities of an institution that
are separately budgeted and accounted for. R&D includes both
“sponsored research” activities (sponsored by Federal and non-Federal
agencies and organizations) and “university research” (separately
budgeted under an internal application of institutional funds).
Research is systematic study directed toward fuller knowledge
or understanding of the subject studied. Research is classified
as either basic or applied, according to the objectives of the
investigator.

Where exact data are not available, estimates are acceptable. Your
estimates will be better than ours.
Include data for branches and all organizational units of your institution,
such as medical schools and agricultural experiment stations. Data on
research centers and facilities administered by your institution should be
included. In addition, include hospitals or clinics owned, operated, or
controlled by universities, and integrated operationally with the clinical
programs of your medical schools.

Development is systematic use of the knowledge or
understanding gained from research, directed toward the
production of useful materials, devices, systems, or methods,
including design and development of prototypes and processes.

NOTE: Academic institutions should exclude data for federally funded
research and development centers (FFRDCs). Data for these facilities
are collected separately.

Current fund expenditures. These are expenditures of funds available
for current operations. Such expenditures include all unrestricted gifts
and restricted current funds to the extent that such funds were expended
for current operating purposes.

It is estimated that response to this survey will require 22 hours. If you
wish to comment on this burden, please contact Suzanne H. Plimpton of
NSF at (703) 292-7556, or e-mail splimpto@nsf.gov.

Please circle the month in which your institution’s fiscal year begins:
Jan Feb Mar Apr May Jun Jul Aug Sept Oct Nov Dec
Primary Contact—Person who is responsible for your institution’s survey answers:
Name (Mr., Mrs., Ms., Dr. (circle one)):
Title:

E-mail:

Telephone number:

Fax:

Address:

Date submitted:

Alternate Contact—Person to contact if the Primary Contact is unavailable. This person should know that you are the Primary Contact
for the survey. Examples include your supervisor, the data preparer, or another coworker:
Name (Mr., Mrs., Ms., Dr. (circle one)):
Title:

E-mail:

Telephone number:

Fax:
1

Instructions for Items 1 and 2
Separately budgeted research and development (R&D) includes all funds expended for activities specifically organized to
produce research outcomes and commissioned by an agency either external to the institution or separately budgeted by an
organizational unit within the institution. Include research equipment purchased under research project awards from
“current fund” accounts. Also include research funds for which an outside organization, educational or other, is a
subrecipient. Exclude training grants, public service grants, demonstration projects, clinical trials, and departmental
research expenditures that are not separately budgeted. Also, exclude any R&D expenditures in the fields of education,
law, humanities, music, the arts, physical education, library science, and all other non-science fields. These non-science
and engineering R&D expenditures are reported in Item 2A. Allocate funding to the original sources whenever possible, as
specified below. If this information is unknown, report the proximate funding source.
Total
a . Federal Government. Report awards for R&D (including direct and reimbursed indirect costs) by all agencies of the
Federal Government.
b . State and local governments. Include funds for R&D (including direct and reimbursed indirect costs) from State,
county, municipal, or other local governments and their agencies. Include here State funds that support R&D at
agricultural and other experiment stations.
c . Industry. Include all awards for R&D (including direct and reimbursed indirect costs) from profit-making
organizations, whether engaged in production, distribution, research, service, or other activities. Do not include
awards from nonprofit foundations financed by industry; these should be included under “All other sources.”
d . Institution funds. Report funds, including related indirect costs, that your institution spent for R&D activities from
the following unrestricted sources: general-purpose State or local government appropriations; general-purpose awards
from industry, foundations, or other outside sources; tuition and fees; endowment income; gifts; and other institutional
funds. In addition, estimate your institution’s on-campus and off-campus unreimbursed indirect costs associated with
externally funded R&D projects, including mandatory and voluntary cost sharing. To estimate unreimbursed indirect
costs, preferably on a project-by-project basis, use your appropriate on-campus or off-campus negotiated research
indirect cost rate(s) multiplied by the corresponding base(s) minus actual indirect cost recovery.
e. All other sources. Include awards for R&D (including direct and reimbursed indirect costs) from nonprofit
foundations and voluntary health agencies as well as from all other sources not elsewhere classified. Also include
gifts from individuals that are restricted by the donor to research. Funds from foundations that are affiliated with, or
granted solely to your institution, should be included under “Institution funds.” Funds for R&D received from a health
agency that is a unit of a State or local government should be included under “State and local governments.”

Instructions for Items 1A and 1B
For Federal awards, subrecipient means the non-Federal entity that expends Federal awards received from a passthrough entity to carry out a Federal program, but does not include an individual that is a beneficiary of such a program. A
subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.
—OMB Circular A-133, Section .105 (revised June 27, 2003) For awards from non-Federal sources, the subrecipient
definition is analogous to the Federal one.
Higher Education [subrecipients] refers to all academic colleges and universities and all units owned, operated, and
controlled by such institutions.

2

Item 1. How much of your current fund expenditures for separately budgeted research and development in
the sciences and engineering (including indirect costs) came from the following sources in FY 2006?

(1)
Total
(Dollars in
thousands)

Line
No.

Source of Funds

a. Federal Government

1110 $

b. State and local governments

1125

c. Industry

1150

d. Institution funds (sum of lines 1161 and 1162)

1160

(1) Institutionally financed organized research

1161

(2)
What Percentage of
Federal & Total
Funds Are Basic
Research?
%
Basic research is
directed toward an
increase of
knowledge; it is
research where the
primary aim of the
investigator is a
fuller knowledge or
understanding of
the subject under
study rather than a
specific application
thereof.

(2) Unreimbursed indirect costs and related sponsored research 1162
e. All other sources

1175

f. TOTAL (sum of a through e)

1100 $

%

BASIC RESEARCH
Please provide the
percentages of Federal
and total expenditures that
are basic research (not
applied research) as
defined in column (2).

CONFIDENTIALITY
Information received from
individual institutions in
lines d(1) and d(2), or
estimates for basic
research expenditures,
will NOT be published or
released; only aggregate
totals will appear in
tabulations.

Item 1A. How much of your total (item 1, line f) and Federal (item 1, line a) R&D expenditures were passed through
by your institution to subrecipients? (If all information is not available, report those amounts that are available.
Exclude vendor relationships.)

(Dollars in thousands)

Line
No.

Subrecipients
To higher education subrecipients

1910

To other subrecipients

1920

To all subrecipients

1900

(1) Total

$

(2) Federal

$

Item 1B. How much of your total (item 1, line f) and Federal (item 1, line a) R&D expenditures did your institution
receive as a subrecipient? (If all information is not available, report those amounts that are available.
Exclude vendor relationships.)

(Dollars in thousands)

Line
No.

Your Institution as a Subrecipient

(1) Total

(2) Federal

From higher education pass-through entities 1610
From other pass-through entities

1620

From all pass-through entities

1600

3

$

$

Item 2. Allocate your FY 2006 current fund expenditures (total and federally financed) for separately budgeted
research and development (including indirect costs) by field of science and engineering.
Please note that total R&D expenditures in line j, column (1) should be the same as reported in Item 1, line f.
Total Federal R&D expenditures in line j, column (2) should be the same as reported in Item 1, line a.
Please see pages 8 and 9 for the NSF/NCES Crosswalk of Discipline Codes.

(Dollars in thousands)

Line
N o.

Field of Science and Engineering
a. Engineering (Total)

1410

(1) Aeronautical & astronautical

1411

(2) Bioengineering/biomedical engineering

1418

(3) Chemical

1412

(4) Civil

1413

(5) Electrical

1414

(6) Mechanical

1415

(7) Metallurgical & materials

1417

(8) Other

1416

b. Physical Sciences (Total)

(1) Total

(2) Federal

$

$

$

$

1420

(1) Astronomy

1421

(2) Chemistry

1422

(3) Physics

1423

(4) Other

1424

c. Environmental Sciences (Total)

1430

(1) Atmospheric

1431

(2) Earth sciences

1432

(3) Oceanography

1433

(4) Other

1434

d. Mathematical Sciences (Total)

1441

e. Computer Sciences (Total)

1442

f. Life Sciences (Total)

1450

(1) Agricultural

1451

(2) Biological

1452

(3) Medical

1453

(4) Other

1454

g. Psychology (Total)

1460

h. Social Sciences (Total)

1470

(1) Economics

1471

(2) Political science

1472

(3) Sociology

1473

(4) Other

1474

i. Other Sciences, not elsewhere classified (Total)

1480

j. Total (sum of a through i)

1400

Please EXCLUDE from your response any R&D expenditures in the fields of education, law, humanities, music, the arts, physical
education, library science, and all other non-science and engineering fields. These non-science and engineering R&D expenditures
are reported in Item 2A.
4

Item 3. Allocate the portion of your FY 2006 current fund expenditures (total and federally financed)
for separately budgeted research and development that went for the purchase of research equipment
by field of science and engineering.
Please report that portion of current fund expenditures reported in items 1 and 2 that went for the purchase of research equipment. This includes all
research equipment purchased under sponsored research project awards from current fund accounts.
For column (1), report current fund expenditures for R&D from all sources: Federal Government, State, county, municipal or other governments and their
agencies (including State funds supporting R&D at agricultural experiment stations); industry; institution funds; and private foundations and voluntary
health agencies, individuals, and associations.
For column (2), include funds from awards for R&D sponsored by agencies of the Federal Government.
Please see pages 8 and 9 for the NSF/NCES Crosswalk of Discipline Codes.

(Dollars in thousands)

Line
N o.

Field of Science and Engineering
a. Engineering (Total)

1810

(1) Aeronautical & astronautical

1811

(2) Bioengineering/biomedical engineering

1818

(3) Chemical

1812

(4) Civil

1813

(5) Electrical

1814

(6) Mechanical

1815

(7) Metallurgical & materials

1817

(8) Other

1816

b. Physical Sciences (Total)

(1) Total

(2) Federal

$

$

$

$

1820

(1) Astronomy

1821

(2) Chemistry

1822

(3) Physics

1823

(4) Other

1824

c. Environmental Sciences (Total)

1830

(1) Atmospheric

1831

(2) Earth sciences

1832

(3) Oceanography

1833

(4) Other

1834

d. Mathematical Sciences (Total)

1841

e. Computer Sciences (Total)

1842

f. Life Sciences (Total)

1850

(1) Agricultural

1851

(2) Biological

1852

(3) Medical

1853

(4) Other

1854

g. Psychology (Total)

1860

h. Social Sciences (Total)

1870

(1) Economics

1871

(2) Political science

1872

(3) Sociology

1873

(4) Other

1874

i. Other Sciences, not elsewhere classified (Total)

1880

j. Total (sum of a through i)

1800

Current fund expenditures in each field for scientific research equipment is that PORTION or SUBTOTAL of the amounts reported in the
corresponding cells of the “Total” and “Federal” columns in Item 2.
5

Item 2A. What were your current fund expenditures (total and federally financed) for separately budgeted
research and development (including indirect costs) for non-science and engineering fields in FY 2006?
NOTE:

For rows 2A(a) through 2A(i), report only data that have not been reported in Items 1 and 2 on this survey.
Non-S&E R&D should include any separately budgeted scholarly and creative activity, but should exclude training.

(Dollars in thousands)

Line
No.

Non-science & Engineering Fields
a. Education

1510

b. Law

1520

c. Humanities

1530

d. Visual & Performing Arts

1540

e. Business and Management

1550

f. Communications, Journalism, and Library Science

1560

g. Social Work

1570

h. Other Non-S&E Fields (please specify)

1580

i. Total, Non-S&E Fields (sum of a through h)

1500

j. Total, S&E (from Item 2, line j)

1400

k. Grand Total (sum of i and j)

2000

(1) Total

(2) Federal

$

$

$

$

CROSSWALK BETWEEN NSF NON-SCIENCE & ENGINEERING FIELDS AND THE NATIONAL CENTER FOR
EDUCATION STATISTICS (NCES) CLASSIFICATION OF INSTRUCTIONAL PROGRAMS (CIP)
Questionnaire Field

CIP
Code

CIP Program Category Title

Education

13.xx

Education

Law

22.xx

Legal Professions and Studies

Humanities

16.xx

Foreign Languages, Literatures, and Linguistics

23.xx

English Language and Literature/Letters

24.xx

Liberal Arts and Sciences, General Studies and Humanities

38.xx

Philosophy and Religious Studies

39.xx

Theology and Religious Vocations

54.xx

History (except History of Science)

Visual & Performing Arts

50.xx

Visual and Performing Arts

Business and Management

52.xx

Business, Management, Marketing, and Related Support Services

Communications, Journalism, and Library

09.xx

Communication, Journalism and Related Programs

Science

25.xx

Library Science

10.xx

Communications Technologies/Technicians and Support Services

Social Work

44.07

Social Work

Other Non-S&E Fields

31.xx

Parks, Recreation, Leisure and Fitness Studies

29.xx

Military Technologies

6

Item 2B. What were the Federal Government agency sources for your FY 2006 federally financed
current fund expenditures for separately budgeted research and development (including indirect costs)
(item 2, column 2) by field of science and engineering?
Total Federal expenditures reported in Item 2B, column 1 should be the same as the Federal expenditures reported in Item 2, column 2.
Allocate funding to the original sources whenever possible. If that information is unknown, report the proximate funding source.
KEY: USDA, Department of Agriculture; DoD, Department of Defense; DOE, Department of Energy; HHS, Department of Health and Human Services;
NASA, National Aeronautics and Space Administration; NSF, National Science Foundation. “Other” Federal sources include all other Federal agencies.

(Dollars in thousands)
Field of Science and
Engineering
a. Engineering (Total)

Line
No.

1411

(2) Bioengineering/biomedical engineering

1418

(3) Chemical

1412

(4) Civil

1413

(5) Electrical

1414

(6) Mechanical

1415

(7) Metallurgical & materials

1417

(8) Other

1416

1421

(2) Chemistry

1422

(3) Physics

1423

(4) Other

1424

(1) Atmospheric

(3)
DoD

(4)
DOE

(5)
HHS*

(6)
NASA

(7)
NSF

(8)
Other

1420

(1) Astronomy

c. Environmental Sciences (Total)

Specific Federal Agencies
(2)
USDA

1410 $

(1) Aeronautical & astronautical

b . Physical Sciences (Total)

(1)
Total
Federal

1430
1431

(2) Earth sciences

1432

(3) Oceanography

1433

(4) Other

1434

d . Mathematical Sciences (Total)

1441

e. Computer Sciences (Total)

1442

f. Life Sciences (Total)

1450

(1) Agricultural

1451

(2) Biological

1452

(3) Medical

1453

(4) Other

1454

g . Psychology (Total)

1460

h . Social Sciences (Total)

1470

(1) Economics

1471

(2) Political science

1472

(3) Sociology

1473

(4) Other

1474

i . Other Sciences (Total)

1480

j . Total (sum of a through i)

1400 $

* Includes NIH.
Please EXCLUDE from your response any R&D expenditures in the fields of education, law, humanities, music, the arts, physical
education, library science, and all other non-science and engineering fields.
7

CROSSWALK BETWEEN NSF FIELDS OF SCIENCE & ENGINEERING AND THE
NATIONAL CENTER FOR EDUCATION STATISTICS (NCES) CLASSIFICATION OF INSTRUCTIONAL PROGRAMS
The left-hand column shows each of the detailed fields as displayed on the questionnaire form. The right-hand column shows the NCES fields that are
included within the NSF category as well as some additional illustrative disciplines. These additional disciplines are intended to be guidelines—not sharp
definitions—as to what should be reported under a particular field.

QUESTIONNAIRE
FIELD
a. ENGINEERING
(1) Aeronautical and
Astronautical
(2) Bioengineering/
Biomedical
Engineering

(3) Chemical

(4) Civil

(5) Electrical

NCES CLASSIFICATION AND ADDITIONAL ILLUSTRATIVE DISCIPLINES
14.02

Aerospace, Aeronautical and
Astronautical Engineering
(also aerodynamics, space technology)
14.05 Biomedical/Medical Engineering
(also all bioengineering)
03.0509 Wood Science and Wood
Products/Pulp and Paper
Technology
14.07 Chemical Engineering
(also petroleum refining process)
04.02 Architecture
14.04 Architectural Engineering

14.25
14.32

Petroleum Engineering
Polymer/Plastics
Engineering

14.08
14.14

Civil Engineering
Environmental/
Environmental Health
Engineering
(also geotechnical, hydraulic, hydrologic, sanitary and environmental, structural, transportation)
14.09 Computer Engineering, General
14.10 Electrical, Electronics, and
Communications Engineering
(also power engineering)

(6) Mechanical
(7) Metallurgical &
Materials

(8) Other

b. PHYSICAL
SCIENCES
(1) Astronomy
(2) Chemistry

(3) Physics

(4) Other
c.

ENVIRONMENTAL
SCIENCES
(1) Atmospheric

(2) Earth Sciences

(3) Oceanography

(4) Other
d. MATHEMATICAL
SCIENCES

14.11
14.06

Engineering Mechanics
Ceramic Sciences and
Engineering
14.18 Materials Engineering
14.20 Metallurgical Engineering
(also welding)
14.01 Engineering, General
14.12 Engineering Physics
14.13 Engineering Science

14.19 Mechanical Engineering
14.21 Mining and Mineral
Engineering
14.28 Textile Sciences and
Engineering
14.22
14.23

Naval Architecture and
Marine Engineering
Nuclear Engineering

14.31 Materials Science
40.9999 Physical Sciences, Other

14.24
14.27
14.99
30.06

Ocean Engineering
Systems Engineering
Engineering, Other
Systems Science and
Theory

(also agricultural engineering, marine and ocean engineering systems)
40.02 Astronomy and Astrophysics
(also Gamma-ray, neutrino, optical and radio, X-ray)
40.05 Chemistry
(also analytical, inorganic, organic, organo-metallic, pharmaceutical, physical, polymer sciences (except biochemistry))
40.08 Physics
(also acoustics, atomic/molecular, chemical, condensed matter, elementary particles, nuclear structure, optics, plasma,
theoretical/mathematical)
40.01 Physical Sciences
40.99 Physical Sciences, Other
(used for multidisciplinary projects within physical sciences and for disciplines not requested separately)
40.04 Atmospheric Sciences and
Meteorology
(also aeronomy, extraterrestrial atmospheres, solar, weather modification)
40.0601 Geology/Earth Science,
15.1102 Survey Technology/
General
Surveying
45.0702 Cartography
40.06 Geological and Earth
Sciences/Geosciences
(also engineering geophysics, general geology, geodesy and gravity, geomagnetism, hydrology, inorganic, isotopic, lab
geophysics, organic geochemistry, paleomagnetism, paleontology, physical geography, seismology)
26.1302 Marine Biology and Biological
Oceanography
40.0607 Oceanography, Chemical and
Physical
(also biological, chemical, geological, physical)
(used for multidisciplinary projects within Earth, Atmospheric, and Ocean Sciences)
27.03 Applied Mathematics
27.99
14.3701 Operations Research
27.05 Statistics
27.01
Mathematics
30.08
(also algebra, analysis, foundations and logic, geometry, numerical analysis, topology)

8

Mathematics and Statistics,
Other
Mathematics and Computer
Science

QUESTIONNAIRE
FIELD

NCES Classification and Additional Illustrative Disciplines (cont.)
11.

e. COMPUTER
SCIENCES

f. LIFE SCIENCES
(1) Agricultural

Computer and Information
52.1201 Management Information
Sciences and Support
Systems, General
Services
(also design, development, and application of computer capabilities to data storage and manipulation, information science)
01.03
Agricultural Production
01.07
International Agriculture
03.
Natural Resources and
Operations
01.12
Soil Sciences
Conservation
01.0303 Aquaculture
04.06
Landscape Architecture
(also agricultural chemistry, agronomy, animal science, conservation, fish and wildlife, forestry, horticulture)
19.05

(2) Biological

26.01
26.0202
26.0203
26.03
26.04
26.0403
26.05
26.0503

Foods, Nutrition, and
Related Services
Biology, General
Biochemistry
Biophysics
Botany/Plant Biology
Cell/Cellular Biology and
Anatomical Sciences
Anatomy
Microbiological Sciences
and Immunology
Medical Microbiology and
Bacteriology

26.0505
26.0507
26.0701
26.0702
26.0707
26.0799

Parasitology
Immunology
Zoology/Animal Biology
Entomology
Animal Physiology
Zoology/Animal Biology,
Other
26.0804 Animal Genetics
26.09
Physiology, Pathology and
Related Sciences
26.0910 Pathology/Experimental
Pathology

26.1001
26.1004
26.1101
26.1102
26.1301
26.1309
26.99

Pharmacology
Toxicology
Biometry/Biometrics
Biostatistics
Ecology
Epidemiology
Biological and Biomedical
Sciences, Other
30.1901 Nutrition Sciences

(also allergies and immunology, biogeography, biotechnology, pathology, physical anthropology, virology)

(3) Medical

26.0209 Radiation Biology/
Radiobiology
26.9999 Biological and Biomedical
Sciences, Other
30.2401 Neuroscience
51.04
Dentistry (DDS, DMD)

51.1201 Medicine (MD)
51.1610 Psychiatric/Mental Health
Nurse/Nursing
51.17
Optometry (OD)
51.19
Osteopathic
Medicine/Osteopathy (DO)

51.20

Anesthesiology
Cardiology
Colon and Rectal Surgery
Dental/Oral Surgery
Dermatology
Family Medicine
Gastroenterology
General Surgery
Geriatric Medicine
Hematology

Internal Medicine
Medical Programs
Other
Neonatal-Perinatal Medicine
Neurological Surgery
Neurology
Nuclear Medicine
Nuclear Radiology
Obstetrics and Gynecology
Oncology

Ophthalmology
Orthopedics/Orthopedic Surgery
Otorhinolaryngology
Pediatrics
Pharmacology
Physical and Rehabilitative Medicine
Plastic Surgery
Preventive Medicine
Psychiatry
Thoracic Surgery
Urology

51.10

51.2308 Physical Therapy/Therapist
51.2399 Rehabilitation and Therapeutic
Professions, Other
51.99
Health Professions and
Related Clinical Sciences,
Other

51.21
51.22
51.24

Pharmacy, Pharmaceutical
Sciences, and Administration
Podiatric Medicine/Podiatry
(DPM)
Public Health
1
Veterinary Medicine (DVM)

(exclude all residency programs)
30.11
51.02
(4) Other

51.07

g. PSYCHOLOGY

42.01
42.02

Gerontology
Communication Disorders
Sciences and Services
Health and Medical
Administrative Services

Clinical/Medical Laboratory
Science and Allied
Professions
51.16
Nursing
51.2306 Occupational
Therapy/Therapist

(used for multidisciplinary projects within life sciences)
Psychology, General
Clinical Psychology

42.17
School Psychology
51.2301 Art Therapy/Therapist

(also animal behavior, educational, experimental, human development and personality, social)
h. SOCIAL
SCIENCES
(1) Economics

(2) Political Science

01.0103 Agricultural Economics

45.06

Economics

52.06

Business/Managerial
Economics

(also applied, development, econometrics, industrial, international, labor, public finance and fiscal policy, quantitative,
resource)
44.04
Public Administration
44.05
Public Policy Analysis
44.99
Public Administration and
Social Service Professions, Other

45.09
45.10

International Relations and
Affairs
Political Science and
Government

(also comparative government, legal systems, political theory, regional studies)
45.02

(3) Sociology

(4) Other

Anthropology (Social and
45.05
Demography and
45.11
Sociology
Cultural only)
Population Studies
(also comparative and historical, complex organizations, cultural and social structure, group interactions, social problems
and welfare theory)
04.03
City/Urban, Community and
43.01
Criminal Justice and
45.03
Archeology
Regional Planning
Corrections
45.07
Geography and Cartography
05.
Area, Ethnic, Cultural, and
44.02
Community Organization
45.12
Urban Studies/Affairs
Gender Studies
and Advocacy
45.99
Social Sciences, Other
16.0102 Linguistics
45.01
Social Sciences, General
(also history of science, socioeconomic geography)

i.
1

OTHER, n.e.c.

(used when the multidisciplinary and interdisciplinary aspects make the classification under one primary field impossible)

Institutions with schools of veterinary medicine should distribute R&D expenditures among the appropriate disciplines (agricultural, biological, and
medical) rather than only in medical sciences.
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Questions and Answers
This document answers common questions about the academic R&D expenditures survey.

DATA USES AND AVAILABILITY
How are these data typically used?
Congress has directed NSF to provide “a central clearinghouse for the collection, interpretation, and analysis of data on
scientific and engineering resources and to provide a source of information for policy formulation by other agencies of the
Federal Government....” As part of its response, the Division of Science Resources Statistics (SRS) conducts annual surveys
of the research and development (R&D) expenditures at the Nation’s universities and colleges.
Congress and Federal and State government planners use the data for science policy analysis, national and international
studies, legislative hearing reports, budget formulation sessions, and other measurements of the adequacy of the Nation’s
research base. Academic institutions use the information for policy analysis, publicity, and other purposes. Industrial firms
often request data to prepare for on-campus recruiting. The data often appear in higher education studies and publications.
How are the data made available?
NSF’s annual Academic Research and Development Expenditures Survey compiles detailed data in a comprehensive
document, available on request. Institutional profiles show trend data for responses at the institutional level from all academic
science and engineering (S&E) surveys.
Survey data are now available on the Web. To obtain the most recent survey publications and data tables, data files,
institutional profiles, and access to WebCASPAR, the Web-based Computer-Aided Science Policy Analysis and Research
database system, direct your browser to http://www.nsf.gov/statistics/.

FIELD

OF

SCIENCE CLASSIFICATIONS

How should I assign field classifications for R&D performed in multidisciplinary centers?
Multidisciplinary research should be categorized by individual research project according to the nature of the research
performed. When individual projects encompass multiple fields of S&E, prorate expenditures to report the proportions of
each discipline involved. Do not lump funds together into “other” field categories unless the type of research is actually
defined as “other.” NSF recommends crediting such research to the appropriate S&E discipline when the project first begins.
How should I allocate research dollars spent for computing or supercomputing services?
Report research dollars spent for computer usage to the individual fields of science and engineering for which the R&D is
performed. Do not report these funds in computer science, unless computer science research was performed.
What fields should be excluded from the science and engineering totals?
Exclude fields that are considered to be non-science—education, law, humanities, business, music, the arts, library science,
and physical education. Note that you would report separately budgeted R&D for the philosophy of science (a science
category), but not philosophy (one of the humanities). The NSF/NCES Crosswalk included with the questionnaire lists all
S&E fields.

BASIC RESEARCH
How should basic research be calculated?
The percentage of basic research should be defined at the individual grant level by each principal researcher. Where this is not
possible, grants should be reviewed by each department head or other relevant research coordinator.

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SOURCES

OF

FUNDING

Should faculty practice plan income be included in the survey?
Expenditures for faculty practice plans are not considered research and should not be included. If income from such plans
is used to fund other research and the funds are separately budgeted, then the expenditures should be included in institutional
funds.
How much of our administrative costs can be reported in the survey?
Administrative salaries and other administrative costs, particularly at your organized research units, can be reported only if
funded through projects specifically restricted and budgeted for research. General administrative costs should not be
reported.
How should I report institutional funds?
All research dollars reported for your institution should be funds that are separately budgeted and restricted for research, such
as sponsored research accounts or general accounts that are specifically budgeted for research. Do not include funds not
specifically budgeted for research.
If your institution does not track underrecovery of indirect costs, use the underrecovery formula included in the questionnaire
instructions. Do not forget to include and distribute unreimbursed indirect costs by detailed field in survey Item 2.
Be sure to report all indirect costs related to your institutional funds.
Can I report donated research equipment in the survey?
Since donated research equipment is not typically captured in university accounting systems, the value of donated research
equipment should not be reported.

COLLABORATIVE RESEARCH ARRANGEMENTS
Should I report expenditures received through collaborative research ventures with other institutions?
Report only what your institution actually expends and accounts for when participating in joint research ventures.

How do I distinguish between being a subrecipient of pass-through funds and being a subcontractor of R&D
services?
For Federal awards, a subrecipient is an entity that receives Federal financial assistance from the State or any other entity to
administer a program (OMB Circular A-133, Section .210 (revised)). The subrecipient actually administers or controls the
program, as opposed to the subcontractor who contracts for a specific service on a per-unit basis. A key factor in
determining if a subrecipient arrangement exists is determining if the entity assumes the responsibility to administer the
program. Subrecipients tend to be the co-authors of publications, writers of technical reports discussing findings, inventors,
etc. Unlike a subrecipient relationship, a subcontract is a procurement of goods and/or services. Payments to subcontractors
are expenditures for services, not expenditures for research, and are different from pass-through funds to subrecipients.

ORGANIZATIONAL UNITS
Which organizational units should I include in the survey?
Include research conducted through units that are considered part of your institution’s organizational structure. For example,
report expenditures from branch campuses, medical schools, agricultural stations, research centers and institutes, and any
other units whose expenditures are separately budgeted and are accounted for by your institution’s financial system.
Exclude R&D expenditures performed by federally funded research and development centers (FFRDCs), nonprofit
institutions, and private laboratories. Do not report salaries of faculty doing research at outside institutions unless your
institution accounts for the funding of that research.
For more information, contact Survey Support at 1-866-349-8626 or expweb@qrc.com. For general questions
regarding survey procedures and data reporting, contact Ronda Britt of NSF at rbritt@nsf.gov or (703) 292-7765.

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