Form State R&D Agency W State R&D Agency W State R&D Agency Web Collection

Survey Questions (Click here)

pages 2-5

Definitions and Examples (Click here)

pages 6-10

Please provide your survey responses at:

http://harvester.census.gov/nsf

The purpose of this survey is to measure your state’s contributions toward
scientific advancement and technological innovation. The results of this
survey will be used to estimate national totals for R&D in conjunction with
other data collected by the National Science Foundation from private industry,
academic institutions, and the Federal government.

OMB: XXXX-XXXX
Expires: MM/DD/YYYY

Survey Questions

R&D Screener Question

Did your department/agency do any of the following during FY 2009? Your
answer will determine whether you continue to the R&D Expenditure questions in Step
4.
•

Had a division, branch, or office devoted to research or development

•

Performed research or development activities using department/agency staff

•

Funded research or development at another state or local government

•

Funded universities or other nonprofit organizations to perform research or
development activities

•

Funded companies or individuals to perform research or development activities

•

Performed or funded other research or development activities not specified above
[ ] Yes
[ ] No

If you select "No" your state survey coordinator will be notified that your department or agency
does not have qualifying R&D activities for the FY 2009 survey.

Note: You may provide comments for each question on the survey website.

2

R&D Expenditure Questions
Question 1
What were your department/agency R&D expenditures for FY 2009 by the
following types of performers?
•

•

Include R&D from all sources, and report sources separately when your
department/agency performs the R&D internally.
Do NOT report expenditures for construction and acquisition of facilities used primarily
for R&D; use Question 5.

See Page 6 for R&D definitions and examples.

Internal Performers
•

•
•

R&D performed by your
department's/agency's employees
Services performed by others in support of
an internal R&D project (e.g., lab testing)
Administration/management of external
R&D projects

Expenditures by
Internal Performers

Examples of
expenditures:
• Salaries
• Benefits
• Supplies
• Travel

•
•
•

Equipment
Indirect Costs
Purchased
Services

Source of
Expenditures

Examples of
Sources

$

State Funds

State appropriations, state grants,
tobacco settlement funds, lottery
proceeds

$

Federal Funds

Federal awards

$

Other Funds

Funds from all other sources, such as:
nonprofit organizations, companies,
other state/local governments

External Performers
R&D done for your
department/agency by:
• Academic institutions
• Companies and
individuals
• Others

Examples of expenditures:
• Grants
• Payments for contracted
R&D projects
• Reimbursable costs for R&D
projects

Expenditures by
External Performers

Source of
Expenditures

Academic Institutions
$

All Funds (federal, state, other)

Exclude pass-through
grants for which you
have no administrative
oversight or control.

Companies and Individuals
$

All Funds (federal, state, other)

Others
$

All Funds (federal, state, other)

$

Total R&D Expenditures
(automatically calculated)
3
3

R&D Expenditure Questions
Question 2
How much of your total R&D expenditures reported in Question 1 were for basic
research? You may provide an estimate, if necessary.
•

Basic research is conducted primarily to acquire new knowledge without any specific
product or process in mind. (The other two categories of R&D, applied and development,
are not reported as separate categories in this survey. Applied research is conducted with
a specific practical objective.)

See Page 10 for examples.

$

Basic research expenditures (if none, enter “0”)

Note: You may provide comments for each question on the survey website.

R&D Expenditure Questions
Question 3
How much of your total R&D expenditures reported in Question 1 were from
federal funds? You may provide an estimate, if necessary.
•
•

•
$

Include expenditures for internal and external performers
Federal sources include grants, contracts, and appropriations from the United States
government.
Exclude any nonfederal matching amounts.

R&D expenditures from federal funds (if none, enter “0”)

Note: You may provide comments for each question on the survey website.

4

R&D Expenditure Questions
Question 4
How much of your total R&D expenditures reported in Question 1 were for each
type of R&D below? You may provide an estimate, if necessary.
Expenditures

Type of R&D

$

Agriculture

$

Environment and natural
resources

$

Health

Examples
Animal health
Aquaculture
Crop management
Food and commodities
Forestry
Air and water quality
Fish, game, and wildlife
Marine and aquatic environments
Parks and preserves
Soil and water conservation
Biomedical research
Mental health and addiction
Public health
Highways and roads
Water transit
Rapid transit
Rail

$

Transportation

$

Other

$

Total R&D Expenditures (automatically calculated)

R&D in other areas, such as:
Corrections
Education
Energy
Geological survey
Labor
Public safety
Social Services

Note: You may provide comments for each question on the survey website.

5

R&D Expenditure Questions
Question 5
What were your department/agency FY 2009 expenditures for construction and
acquisition of facilities used primarily for R&D?
Please
•
•
•

include:
Construction projects
Major renovations of buildings
Purchasing land and buildings

See Page 6 for R&D definitions and examples.
$

Expenditures for construction and acquisition of facilities used
primarily for R&D (if none, enter “0”)

Note: You may provide comments for each question on the survey website.

6

Definitions & Examples
A. What does R&D mean?
B. What should be included/excluded in R&D?
C. What makes it R&D?
D. What are sources of R&D funding?
E. What does R&D performer mean?
F. What expenditures should be included/excluded?
G. What are the other survey definitions (including “basic research”)?

A. What does R&D mean?
Research and development (R&D) is creative work conducted systematically to:
1) extend scientific knowledge, or
2) devise new or improved applications.
Applications can include materials, products, devices, processes, systems or services.

B. What should be included/excluded in R&D?
R&D includes, but is not limited to, activities
that produce:

R&D does NOT include:

•

Ideas that might be patented

•

Program planning and evaluation

•

Findings that could be published in academic

•

Strategic planning

journals

•

Market research or analysis

New or improved products or applications

•

Economic / policy / feasibility studies

•

Routine data collection / dissemination

•

Management information systems

•

Routine monitoring / testing

•

General patient services

•

Marketing products / services

•

Business development services for new

•

companies
•

Intellectual property protection (patents,
disclosures)

•

7

Commercialization (includes
promoting/producing the
products/services from R&D projects)

Examples of classifying R&D in four situations

It IS R&D…

It is NOT R&D…

Technical
assistance

You hire a technical consultant to test
the disease resistance for the new fish
species you are developing. (The
assistance addresses the uncertainty
of the science/technology aspects of
the product or service.)

You hire a technical consultant to help
you design the graphic design for the
package to ship your new fish species
when you begin offering it for sale to other
states. (The assistance addresses the
uncertainty of the marketing/production
aspects of the product or service.)

Help for new
businesses

You provide funding to new
businesses to help them with the
costs of building prototypes of
products they are developing.

You provide funding for new technology
companies to help them acquire basic
skills to market their new products.

Consulting

You use a consultant to plan testing of
a highway pavement material that
your transportation research center is
trying to develop.

You use a consultant to help you secure
health and safety approval for your new
pavement material.

Developing a
product from your
research

You hire a university research center
to test a new type of grass you
developed to test whether it will
survive actual conditions along the
coastline.

You hire a law firm to help you with the
process for patenting the new grass that
you developed.

Activity

8

C. What makes it R&D?
What makes it R&D
R&D is novel.
•

It increases our knowledge
of the subject

•

It hasn’t been done before.

When it is R&D

When it is NOT R&D

You are testing blood samples
as part of a research project to
find out the side effects of a new
cancer treatment.

You are collecting information
from samples of patients to
estimate the incidence of
chicken pox in the state’s
population.
(You are using a standard
approach to estimate the
spread of chicken pox.)

R&D creates solutions useful to
others.
•

Others might benefit from
the findings.

•

The findings can be
generalized to other
situations and locations.

The outcome of R&D is
uncertain.
•

The solution isn’t obvious
to an expert in that field.

You are testing a pavement on
your highways that is currently
used only at airports. Other
states will want the results.

You are testing pavement on
your state’s highways to
estimate how much you need
to budget for pavement
replacement over the next five
years.
(Other states will not benefit
from your specific state
information.)

Your research involves
monitoring streams to determine
whether a new program is
increasing the population of a
particular type of fish.

You are monitoring streams
as part of plan to implement
long-term monitoring for a
particular type of fish.
(The monitoring plan has
already been tested and you
are certain of the quality of
the plan.)

D. What are sources of R&D funding?
Sources

Examples

State

State appropriations and grants, tobacco settlement funds, state lottery
proceeds

Federal

Grants, contracts, and appropriations from the United States
government

All other

Grants and contracts from:
• Companies
• Nonprofit organizations, including foundations
• Other state governments
• City, county, regional, or other local governments

9

E. What does R&D performer mean?
Internal Performers

Those within your department/agency who perform R&D
•

R&D performed by your department's/agency's
employees

•

Services performed by others in support of an
internal R&D project (e.g., lab testing)

External Performers

Those outside your department/agency who perform R&D
under the administrative oversight or control of your
department/agency. This may include projects for your
department/agency, as well as your extramural research
programs.

Academic institutions

Public or private universities and colleges

Companies and individuals

Companies or individuals under contract for research projects

Others

Nonprofit organizations, including foundations
Other departments/agencies within your state
Other state governments
City, county, regional, or other local governments
Federal government

F. What expenditures should be included/excluded?
Expenditures are amounts paid for current operations and capital outlays.
Respondents to this survey will be asked to report expenditures by performer of R&D. Please refer
below for guidance on the types of expenditures to report for internal and external performers.

Expenditures for your Department/Agency as Performer (Internal)
Include:
•
•
•
•
•

•

Do NOT include:
•

Salaries, wages, and benefits
Supplies
Purchased services (e.g. lab testing)
Travel
Indirect or overhead costs for R&D
activities
Equipment

•
•

10

Agency and other fiduciary fund
expenditures
Intra-agency transactions
Non-cash/In-kind payments

Expenditures for Academic Institutions, Companies or Individuals, or Others as
Performers (External)
Include:
•
•
•

Do NOT include:
•

Grants
Payments for contracted R&D
projects
Reimbursable costs for R&D projects

Pass-through grants over which you have
no administrative oversight or control

G. What are the other survey definitions (including “basic
research”)?
Fiscal Year is your state’s fiscal year ending in 2009.
Construction and Acquisition of Facilities Used Primarily for R&D includes major costs for
construction and purchase of buildings to be primarily used as R&D facilities. Include new construction,
major renovations, and purchase of land or buildings.
Basic Research
In order to understand the definition of basic research, it may be helpful to compare it to the other two
components of R&D—applied research and development. Below are definitions and examples.
Basic research is conducted primarily to acquire new knowledge without any specific product or process
in mind. (The other two categories of R&D, applied research and development, are not reported as
separate categories in this survey. Applied research is conducted with a specific practical objective.)

Examples
Basic research

Applied research

Development

You are studying the
properties of blood to
determine what affects
coagulation.

You are conducting research on
how a new chicken pox vaccine
affects blood coagulation.

You are testing a newly
developed chicken pox
vaccine with various ages of
school children before
implementing it statewide.

You are studying the
properties of molecules
under various heat and cold
conditions.

You are conducting research on
the properties of particular
substances under various heat
and cold conditions with the
objective of finding longer lasting
components for pavement.

You are testing a newly
developed pavement under
various types of heat and cold
conditions prior to using it on
your state’s highways.

You are studying the heart
chambers of various fish
species.

You are examining various levels
of a toxic substance to determine
the maximum safe level for fish in
a stream.

You are designing a new
system for monitoring a stream
that will try out the results of
your recent research in a real
world situation.

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