Form State R&D Coordina State R&D Coordina State R&D Coordinator Web Collection

Survey of FY 2009
State Research & Development
Expenditures
State Coordinator Web Pages
4/14/10

These are the Web pages for the State Coordinator section of the State R&D
application. The pages are designed so that the State Coordinator can:
1) Be introduced to the scope and definitions of the survey
2) Supply contact information for department/agency respondents
3) Notify Census Bureau when departments/agencies are ready to begin
the survey
4) Monitor department/agency responses
5) Officially submit state summary data

1

Welcome!
The purpose of the State R&D Expenditures Survey is to measure your state's contributions toward
scientific advancement and technological innovation.

Survey Questions and Definitions (PDF)

**** Warning ****
You have accessed a United States government computer. Use of this computer without authorization or for
purposes for which authorization has not been extended is a violation of federal law and can be punished with
fines or imprisonment (Public Law 99-474). Violators are subject to having their processes terminated. System
usage by an individual accessing the site may be monitored, recorded, and subject to audit. Use of this system
indicates consent to monitoring and recording.

UserID:

Password:

Login

•

Results of this survey will be published by the National Science Foundation at
www.nsf.gov/statistics.

•

The U.S. Census Bureau is serving as the data collector for NSF and your participation is voluntary.

2

System Re
equireme
ents
Popup bloc
ckers disab
bled
Ja
avaScript enabled
Operating System: Windows
W
95
5, 98, ME, 20
000, XP, NT
T or 7
B
Browser:
N
Netscape
6.0
0 or later / Internet
I
Exp
plorer 5.0 orr later / Moz
zilla Firefox 1.0 or laterr
S
System
So
oftware: Ad
dobe PDF re
eader

do
ownload Ado
obe Acrobatt

Burd
den Statem
ment

Burrden Stattement

Expirres XX/XX/XXXX

duction Act of 1995, no persons
s are requiired to resp
pond to a collection
c
Under the Paperwork Red
nformation unless suc
ch collectio
on displays a valid Offfice of Man
nagement and
a
Budgett (OMB)
of in
conttrol numbe
er. The OMB control number
n
for this surve
ey is display
yed at the top right of
o the
surv
vey "Home" page.
mplete thes
se response
es is estim
mated to be approxima
ately four hours
h
for
The time required to com
the state coord
dinator and
d one and a half hourrs for agen
ncy respond
dents.
n state coordinators in
ncludes the
e initial ide
entification of departm
ment and agency
a
The burden on
conttacts, monitoring of department
d
t and agen
ncy respons
ses, and fin
nal review and verific
cation of
state data.
n agency re
espondents
s includes the
t
initial collection
c
o data and the entry of data
of
The burden on
into the Web application
a
.
his burden estimate or
o any othe
er aspect of
o this collection of infformation,
Send comments about th
uding sugg
gestions forr reducing burden to::
inclu
Pape
erwork Pro
oject XXXX--XXXX
U.S.. Census Bureau
4700 Silver Hill Road, Stop 1500
shington, DC
D 20233-1
1500.
Was
ail commen
nts to Pape
erwork@cen
nsus.gov; use "Paperrwork Proje
ect XXXX-X
XXXX " as
You may e-ma
the subject.

Contact Us
C
Kenny Herrell,
H
Surv
vey Projectt Manager
U.S. Burreau of the Census
(800) 62
22-6193
govs.nsff@census.g
gov
OMB No
o. xxxx-xxxxx
3

Overview for State Coordinator
As Coordinator for your state, we are asking you to:
•
•
•

Identify and provide contact information for departments and agencies in your
state that may have conducted or funded R&D during FY 2007.
Work with the selected departments and agencies as they complete the survey.
Review, revise and submit your state's final data after the departments and
agencies have completed the survey.

Step 1

Provide state coordinator contact information

Step 2

Preview questions, definitions, and examples

Step 3

Provide department/agency contact information

Step 4

Notify department/agency contacts

Step 5

Notify the Census Bureau so that the contacts can begin survey

Step 6

Department progress

Step 7

Review and submit data

4

Step 1

State Coordinator contact information

Please provide contact information in case we have questions about your state's survey
responses.
Your name

Title

Agency Name

Telephone
(area code)

(phone number)

(extension)

E-mail

5

Step 2

Survey definitions and 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”)?

If you have any questions about these definitions or the survey in general, please
contact:
Kenny Herrell, Survey Project Manager
U.S. Census Bureau
(800) 622-6193
govs.nsf@census.gov

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.

6

B) What should be included/excluded in R&D?

R&D includes, but is not limited to,
activities that produce:
•

Ideas that might be patented

•

Findings that could be published in
academic journals

•

New or improved products or
applications

R&D does NOT include:
•
•
•
•
•
•
•
•
•
•
•
•

Program planning and evaluation
Strategic planning
Market research or analysis
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)
Commercialization (includes
promoting/producing the
products/services from R&D projects)

7

Examples of classifying R&D in four sitautions
Activity

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.

8

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

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

•

It increases our
knowledge of the
subject

•

It hasn’t been done
before.

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.
•

When it is R&D

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

When it is NOT R&D
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.)

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 of R&D funding include:
State

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

Federal

Grants, contracts, and appropriations from the United States
government

9

All other

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

E) What does R&D performer mean?
Internal Performer:
Within your department/agency

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:
Academic institutions

R&D performed for your department/agency by public
or private universities and colleges

Companies and individuals

R&D performed for your department/agency by
companies or individuals under contract for research
projects

Other performers

R&D performed for your department/agency by:
Nonprofit organizations
Other departments/agencies within your state
Other state governments
City, county, regional, or other local governments
Federal government

10

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

Do NOT include
• Agency and other fiduciary fund
expenditures
• Intra-governmental transactions
• Non-cash payments

Ependitures for Academic institutions, Companies or Individuals, or Others as
Performers (External)
Include:
• Grants
• Payments for contracted R&D
projects
• Reimbursable costs for R&D
projects

Do NOT include
• 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 2006.
Construction and Acquisition of R&D 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 comapre it to the
othre 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 separately for this survey. Applied research is conducted with a specific practical
objective.)

11

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.

12

Step 3

Department/Agency Contact Information

Contact information for departments/agencies identified for last year’s survey is provided in the
“Preselected Agency” list below. This information will be used by the Census Bureau to
contact these departments/agencies with instructions for accessing and completing the survey
questions online.
•

Please verify the preselected information, or you may make changes by clicking on the
department/agency name.

•

Use the “Add Department/Agency” button at the bottom of this page to identify and
provide information for additional agencies you think should also participate in the FY
2007 survey.

All preselected and added departments/agencies will answer a short screener question to
determine if they had qualifying R&D expenditures for FY 2007.
Please DO NOT add academic institutions to the list of department/agencies since they are
surveyed seperately.

3a
Department/Agency

Contact Name

E-mail

Title

Phone #

Preselected Agencies:

13

3b
Department/Agency

Contact Name

E-mail

Title

Phone #

Agencies you have added:

Add department/agency

3c
If you would like to delete an agency on your state’s list, please contact Kenny Herrell.

Example of page where state coordinator enters dept/agency contact information
Department/agency
Name of contact
person
Title

E-mail address

Phone number
(area code)

(phone number)

(extension
)

14

Step 4

Notify Departments/Agencies About Survey

If you have not already done so, please contact the following departments/agencies identified in
Step 3. Suggested e-mail text is provided below.
•
•
•
•
•
•
•
•
•
•
•
•
•

Agriculture, Department of
Barley Commission
Environmental Quality, Department of
Fish and Game, Department of
Health and Welfare, Department of
Idaho Bean Commission
Idaho Forest Products Commission
Idaho Oilseed Commission
Idaho Pea and Lentil Commission
Potato Commission
Transportation, Department of
Water Resources, Department of
Wheat Commission

After you have contacted these departments/agencies, please proceed to Step 5 so they can
begin the survey.
Suggested e-mail text…

Subject: State R&D Expenditures Survey
Shortly, you will be contacted by the U.S. Census Bureau requesting your participation in the FY 2007
Survey of State R&D Expenditures. You will receive two e-mails containing information you will need to
complete the survey via the survey Website. One e-mail will contain a UserID, while the other e-mail will
contain a PASSWORD. Please use the instructions provided in order to complete the ten survey items.
The Census Bureau and the National Science Foundation (NSF) are conducting this study jointly. This
information will be reported by state, as well as combined with other information about R&D for our
state’s companies and academic institutions.
It is very important that NSF represent our state accurately, so I am asking you to give this effort your
attention.
I appreciate your help so that our survey response will be timely.

15

Step 5

Notify Census Bureau so that Contacts Can Begin Survey

First, check the box next to each department/agency that is ready to begin the survey and
receive their User ID and password.
Next, click the “Submit” button to request that the Census Bureau send the UserID and
password. (Separate emails are sent for the User ID and for the password.)
Use the "Resend" link later if you want us to resend the two emails for the User ID and
password.

Status

Agency Name

Request UserID and Password

Submit

16

Step 6

Department Progress

This step allows you to view or edit individual department/agency responses.
•

Click on the department/agency name to view or edit individual responses.

•

The next step allows you to review and revise the summary, or aggregate, data for your
state.

______ of ______ departments and agencies have submitted survey responses for your state.
This includes organizations that reported no R&D for FY 2009.

View or Edit Department/Agency Responses
Name

The options
o
o
o
o
o
o
o
o
o

Status

for status are:
Not logged in yet
0 of 5 questions completed
1 of 5 questions completed
2 of 5 questions completed
3 of 5 questions completed
4 of 5 questions completed
5 of 5 questions completed, not submitted
Submitted, no R&D reported
Submitted, R&D reported

17

Example of page where state coordinator can view department/agency survey responses.

R&D Expenditure Questions
Question 1
R&D Expenditures by Performer and Source

Total Agency
Reported

Internal Performers - Department/agency
State funds

$ xxx,xxx

Federal funds

$ xxx,xxx

Other funds

$ xxx,xxx

External Performer - Academic institutions
All funds
External Performer - Companies and Individuals
All funds
External Performer – Others
All funds

$ xxx,xxx
$ xxx,xxx
$ xxx,xxx

Total R&D Expenditures

$ xxx,xxx

Question 2 (subset of Question 1 “Total”)

$ xxx,xxx

Basic Research Expenditures

Question 3 (subset of Question 1”Total”)

$ xxx,xxx

R&D Expenditures from Federal Funds

Question 4 (subset of Question 1 “Total”)

$ xxx,xxx

Type of Research
Agriculture

$ xxx,xxx

Environment and Natural Resources

$ xxx,xxx

Health

$ xxx,xxx

Transportation

$ xxx,xxx

Other

$ xxx,xxx

Question 5
Expenditures for Construction and Acquisition of Facilities
Used Primarily for R&D

$ xxx,xxx

18

Step 7

Review, Revise, and Submit Final State Data

This last step allows you to submit your final state data.
To revise these amounts, you may return to Step 6 or contact individual departments/agencies.

Question 1

R&D Expenditures by Performer and Source

Final State Data

Internal Performers - Department/agency
State funds

$ xxx,xxx

Federal funds

$ xxx,xxx

Other funds

$ xxx,xxx

External Performer - Academic institutions
All funds
External Performer - Companies and Individuals
All funds
External Performer – Others

$ xxx,xxx
$ xxx,xxx
$ xxx,xxx

All funds

Total R&D Expenditures

$ xxx,xxx

Question 2 (subset of Question 1 “Total”)

$ xxx,xxx

Basic Research Expenditures

Question 3 (subset of Question 1”Total”)

$ xxx,xxx

R&D Expenditures from Federal Funds

Question 4 (subset of Question 1 “Total”)

$ xxx,xxx

Type of Research
Agriculture

$ xxx,xxx

Environment and Natural Resources

$ xxx,xxx

Health

$ xxx,xxx

Transportation

$ xxx,xxx

Other

$ xxx,xxx

Question 5
Expenditures for Construction and Acquisition of Facilities
Used Primarily for R&D

Previous

Submit Final Data

$ xxx,xxx

Printer-Friendly (PDF)

19

FY 2009 State R&
&D Expend
ditures Survey
SURVE
EY RESUL
LTS
You have successfully submitted data. Tha
ank you!
If you need
d to revise da
ata or have questions re
egarding the status of yo
our
survey, ple
ease contact Kenny Herrrell at (800) 622-6193
6
orr
govs.nsf@census.gov..
To retrieve a printable copy of your submission
n, please clicck here.

Display
y Submis
ssion (PD
DF formatt)

You must have the
e Adobe Acro
obat

reader installed on your machine
e to view and
d print the form
m

200