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pdfAPPENDIX A
MATERIALS FOR COGNITIVE TESTS OF SURVEY QUESTION 2 AND 6
January 12, 2016
ICF International
HERD Cognitive Interview FY 2016 Survey Recruitment E-Mail
To: Primary contact email
From: NSF Higher Education R&D Survey
Re: New question on NSF FY 2016 Higher Education R&D Survey ([[inst_id]])
Dear [[firstname]] [[lastname]]:
For the upcoming National Science Foundation FY 2016 Higher Education R&D Survey, we are
expanding Question 2, R&D expenditures funded by foreign sources. The revised question will ask for
sources of foreign funds such as foreign governments, businesses, nonprofit organizations, and higher
education. We are also including some new examples of basic research, applied research and
experimental development on Question 6.
Before we finalize the FY 2016 survey we would like to get some feedback from current survey
respondents about the new examples and the instructions and categories included on the revised question.
If you are interested in participating and are available for a 15 minute phone interview sometime in the
next week (Month XX-XX), please contact Sean Rider from our survey staff at ICF International at
support@HERDsurvey.org or (866) 936-9376. He will schedule a time for the phone call and send you
the survey to review ahead of time.
Thank you for your help and for your continued participation in the HERD Survey.
Sincerely,
Ronda Britt
Project Officer, Higher Education R&D Survey
National Center for Science and Engineering Statistics
National Science Foundation
HERD Cognitive Interview FY 2016 Survey Confirmation of Appointment E-mail
To: Primary contact email (or other person schedule)
CC: other attendees, including Jennifer or Sherri
From: NSF Higher Education R&D Survey
Re: Confirming meeting ([[inst_id]])
Atth: FY 2016 survey draft
Dear [[firstname]] [[lastname]]:
Thank you for agreeing to talk to us about revisions on the National Science Foundation’s FY 2016
Higher Education R&D Survey. The phone call is scheduled for DayoftheWeek, Month XX, at X:XX
AM/PM. At that time please call our conference line at 1-877-423-6338, participant passcode: 777133.
[ICF staff name] will be leading the interview and I’ll be taking notes.
I have attached a draft of the FY 2016 HERD Survey. Please do not share this with others outside of your
institution at this time; it is a draft pending approval and is subject to change. Take a few minutes to
review Questions 2 and 6 (including the examples) before our scheduled phone call.
January 12, 2016
ICF International
If you have questions or need to reschedule, you may reach me by email at support@HERDsurvey.org or
call toll-free at (866) 936-9376.
Thank you very much for your help.
Sincerely,
Sean Rider
Data Collection Specialist
ICF International
NSF Higher Education R&D Survey
February 9, 2016
ICF International
Interview Protocol: Expansion of HERD Question 2, Foreign Sources, and new Type of R&D
examples for FY 2016 Survey
INTRODUCTION
[Interviewer introduces herself and reminds the interviewee that Sean is also on the phone taking
notes. Tell them that their feedback will remain anonymous.]
Thanks so much for talking with me today. As you know from our initial contact, we wanted to
get your feedback on two changes which will be made to the FY 2016 NSF Higher Education
R&D Survey – an expansion to Question 2, R&D expenditures funded by foreign sources, and a
revised definition and new example of basic research, applied research and experimental
development on Question 6. We are going to talk about Question 2 first.
This question now asks for sources of foreign funds instead of just an overall total for those
funds.
We sent a draft of the revised question for you to review. Did you receive the copy of the survey
we sent and did you have a chance to review the question?
[If they did not receive a copy of the revised survey, be prepared to e-mail it to them
immediately.]
[If they did not have a chance to review, give them a few minutes to review before
beginning the interview]
1. What information is this question asking you to report?
2.
What did you think of the new information we are requesting overall?
a. Could you tell me more about that?
b. Is the question wording easy or difficult to understand?
[If they already answered one of the following questions in their response to the open-ended one,
you do not need to ask again]
3. Let’s look at the list of sources and their descriptions. Do the categories named in
question 2 match your records?
a. How are your records similar or different to what is being requested here?
b. How easy or difficult would it be to report your foreign funded expenditures by
these specific categories?
1
February 9, 2016
ICF International
4. Were there any places where the descriptions of what to include were unclear or could
be expanded on?
5. Is there anything that you know you would be reporting under All other sources? IF
YES, Can you tell me more about that?
6. Would your institution be able to report foreign expenditures in these categories for the
upcoming survey, which will be due next January and will ask about expenditures
during your institution’s 2016 fiscal year?
a. IF NO,
i. Do you believe you will be able to provide those data points for the FY 2017
survey? If not for FY 2017, when do you think the information for that
source could be provided?
b. IF YES,
i. Does your institution track expenditures from these types of sources? If no,
what procedures would you use to come up with these expenditure amounts?
ii. What is your estimate of the additional time it might take to locate the specific
sources of foreign funds for the FY 2016 survey?
Now let’s look at Question 6 on the draft survey form. Did you have a chance to review the
examples included below Question 6 on page 8? IF NO, Please take a few minutes to review all
the examples and let me know when you are ready.
7. What is your overall reaction to these examples?
a. Which of these examples are the most helpful? Why?
b. Are any of the examples confusing? Which ones? Why?
c. Are these examples consistent with your interpretation of basic research, applied
research and experimental development or do you have a different interpretation
of these terms?
d. If I had not drawn your attention to these examples, what is the likelihood you
would have read them?
8. Do you have any comments or questions about anything that we have not covered?
That’s all of our questions. Do you have any other comments or questions for us? Thank you so
much for your time today.
2
FORM APPROVED
OMB No. 3145-0100
Expiration Date: XX/XX/XX
NATIONAL SCIENCE FOUNDATION
ARLINGTON, VA 22230
HIGHER EDUCATION RESEARCH AND DEVELOPMENT SURVEY
FY 2016
Please submit your survey data by January 31, 2017.
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 2016 fiscal year.
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 54 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 splimpto@nsf.gov.
The Web address for submitting your data:
http://www.herdsurvey.org/
Or mail this form to:
ICF International
530 Gaither Road, Suite 500
Rockville, MD 20850
Questions?
Technical support:
Support@HERDsurvey.org
(866) 936-9376
General survey questions:
Ronda Britt
National Center for Science and Engineering Statistics
National Science Foundation
rbritt@nsf.gov
(703) 292-7765
Thank you for your participation.
What’s New for FY 2016
Changes to Survey Definitions
•
The definition of research and development (R&D) and the definitions of basic research, applied research, and
development have been updated, but are still consistent with the definitions used in the previous surveys. The
updates were made to achieve standardized definitions across all NSF R&D surveys. These definitions mirror the
definitions provided in the Frascati Manual 2015, an international document published by the Organisation for
Economic Co-operation and Development that provides guidelines for collecting and reporting data on R&D.
Changes to Questions
•
Postdocs: The question regarding the number of postdocs paid from R&D expenditures (formerly Question 16) has
been removed from the survey.
•
Question 2: This question has been expanded to ask for sources of foreign-funded R&D. The question now asks for
R&D expenditures funded by foreign governments, businesses, nonprofit organizations, and higher education. If you
cannot easily break out expenditures for these new categories this year, check the box at the top of Question 2 and
enter total expenditures from foreign sources on row e.
•
Questions 9, 11, and 14: There have been several revisions to the fields of R&D for which you are asked to report
expenditures. These changes better reflect the types of R&D currently being conducted at universities and colleges
and also make the survey fields more consistent with the taxonomy used by other NSF surveys as well as the
Department of Education’s Classification of Instructional Programs (CIP).
Changes to the fields of R&D include the following:
•
•
•
•
•
Fields are listed in alphabetical order.
The names of some fields have been revised to better reflect the disciplines included in those fields.
New disciplines have been added as examples under many fields.
Some disciplines have been reclassified under different fields.
Four new fields have been added: (1) Industrial and Manufacturing Engineering under Engineering, (2) Natural
Resources and Conservation under Life Sciences, (3) Materials Science under Physical Sciences, and
(4) Anthropology under Social Sciences.
Please see “Related Information” on the survey website for additional information about which disciplines have been
reclassified under different fields.
2
Survey Definitions and Instructions
Fiscal Year (FY)
Please report data for your institution’s 2016 fiscal year.
Research and Development (R&D)
R&D 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 R&D expenditures 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:
•
•
•
•
•
•
•
•
•
•
Sponsored research (federal and nonfederal)
University research (institutional funds that are
separately budgeted for individual R&D projects)
Startup, bridge, or seed funding provided to
researchers within your institution
Other departmental funds designated for research
Recovered and unrecovered indirect costs (see
definitions in Question 1)
Equipment purchased from R&D project accounts
R&D funds passed through to a subrecipient
organization, educational or other
Clinical trials, Phases I, II, or III (see definition in
Question 5)
Research training grants funding work on organized
research projects
Tuition remission provided to students working on
research
R&D does not include:
•
•
•
•
•
•
•
Public service grants or outreach programs
Curriculum development (unless included as part of
an overall research project)
R&D conducted by university faculty or staff at
outside institutions that is not accounted for in your
financial records
Estimates of the proportion of time budgeted for
instruction that is spent on research
Capital projects (i.e., construction or renovation of
research facilities)
Non-research training grants
Unrecovered indirect costs that exceed your
institution’s federally negotiated Facilities and
Administrative (F&A) rate
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.
3
Question 1.
How much of your total expenditures for research and development (R&D) came from
the following sources in FY 2016? (See definition of R&D on the previous page.)
•
•
•
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 in Question 9.
R&D expenditures
Source of funds
(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.
$
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.
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.
$
$
$
1
(Confidential )
$
1
(Confidential )
$
1
(Confidential )
• First, multiply the negotiated rate by the corresponding base.
• Second, subtract recovered indirect costs.
4. Total institutional funds
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. Total
1
2
2
2
$ TOTAL
$
$ 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.
Totals for rows e4 and g are automatically generated on the Web survey.
4
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 Question 1 rows a, b, or c.
!
5
Question 2.
How much of the total R&D expenditures reported in Question 1, row g, came from
the following foreign sources?
If you cannot easily break out expenditures for these categories,
check here and enter total expenditures from foreign sources on row
e.
Source of funds
a. Foreign government
All levels of foreign government, including national, regional, municipality, or
other local government.
b. Business
Foreign for-profit organizations. Projects sponsored by a U.S. location of a
foreign company are not considered foreign. Report funds from a company’s
nonprofit foundation in row c.
R&D expenditures
(Dollars in thousands)
$
$
c. Nonprofit organizations
Foreign nonprofit foundations and organizations, except higher education
institutions. Funds from foreign universities should be reported in row d.
$
d. Higher education
Foreign colleges and universities and units owned, operated, and controlled by
such institutions.
$
e. All other sources
Include international governmental organizations located in the U.S., such as the
United Nations, the World Bank, and the International Monetary Fund and all
other entities sending funds to the U.S. from a location outside the U.S. and its
territories.
f.
1
!
Total
$
1
$ TOTAL
The column total is automatically generated on the Web survey.
Question 3.
Of the total R&D expenditures that were externally funded (all sources other than
the institutional funds reported in Question 1, row e4), how much was received
under each of the following types of agreements?
R&D expenditures
(Dollars in thousands)
a. Contracts (including direct or prime contracts and subcontracts)
Contracts are legal commitments in which a good or service is provided
by your institution that benefits the sponsor. The sponsor specifies the
deliverables and gains the rights to results.
$
b. Grants, reimbursements, and all other agreements
Include all other agreements in which payments are received but no
good or service other than periodic reporting is required in exchange.
c. Total
1
(Total should match Question 1, row g minus Question 1, row e4)
1
$
$ TOTAL
The column total is automatically generated on the Web survey.
6
Question 4.
Of the total R&D expenditures reported in Question 1, row g, how much was
expended for R&D projects in your medical school?
Include projects that are assigned to the medical school or to research centers that are
organizationally part of the medical school.
If your institution does not have a medical school (that is, a school that
awards the MD or DO degree), check here and go to Question 5.
!
R&D expenditures
(Dollars in thousands)
Total R&D expenditures in the university’s medical school
Question 5.
$
Of the total R&D expenditures reported in Question 1, row g, how much was
expended for Phase I, Phase II, and Phase III clinical trials with human patients?
Clinical trials are research studies designed to answer specific questions about the
effects of drugs, vaccines, medical devices, tests, treatments, and other therapies for
patients. Clinical trials are used to determine safety and effectiveness.
For reference, the National Institutes of Health (NIH) categorizes human clinical trials
into the following four phases.
Please include:
•
•
•
Phase I uses a small group of human patients (20–80) to evaluate safety and
identify side effects.
Phase II uses a larger group (100–300) to test effectiveness and further evaluate
safety.
Phase III uses a large group (1,000–3,000) to confirm effectiveness, monitor side
effects, compare to commonly used treatments, and collect safety information.
Please exclude:
•
Phase IV is a post-market study that collects more information on risks, benefits,
and optimal use.
If your institution did not conduct any clinical trials in FY 2016, check here:
!
R&D expenditures
(Dollars in thousands)
(1)
Federal
(2)
Nonfederal
(3)
1
Total
Human clinical trials
Trials with human patients
1
$
$
$ TOTAL
The row total is automatically generated on the Web survey.
7
Question 6.
What amounts of your FY 2016 R&D expenditures were for basic research, applied
research, and experimental development?
If possible, these categories defining the type of R&D should be coded at the individual
project level by the principal investigator. Estimates are acceptable if necessary.
See the table below this question for examples.
R&D expenditures
(Dollars in thousands)
(1)
Federal
a. Basic research
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.
b. Applied research
Original investigation undertaken in order to
acquire new knowledge. It is directed primarily
towards a specific, practical aim or objective.
c. Experimental development
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.
(2)
Nonfederal
(3)
1
Total
$
$
$ TOTAL
$
$
$ TOTAL
$
$
$ TOTAL
1
d. Total
Column 1 total should match Question 1, row a.
Column 3 total should match Question 1, row g.
1
$ TOTAL
$ TOTAL
$ TOTAL
Row and column totals are automatically generated on the Web survey.
Examples
Basic research
Applied research
Experimental development
A researcher is studying the
properties of human blood to
determine what affects coagulation.
A researcher is conducting research
on how a new chicken pox vaccine
affects blood coagulation.
A researcher is conducting clinical
trials to test a newly developed
chicken pox vaccine for young
children.
A researcher is studying the
properties of molecules under various
heat and cold conditions.
A researcher is investigating the
properties of particular substances
under various heat and cold
conditions with the objective of finding
longer-lasting components for
highway pavement.
A researcher is working with state
transportation officials to conduct
tests of a newly developed highway
pavement under various types of heat
and cold conditions.
A researcher is investigating the effect
of different types of manipulatives on
the way first graders learn mathematical
strategy by changing manipulatives and
then measuring what students have
learned through standardised
instruments.
A researcher is studying the
implementation of a specific math
curriculum to determine what teachers
needed to know to implement the
curriculum successfully.
A researcher is developing and testing
software and support tools, based on
fieldwork, to improve mathematics
cognition for student special education.
8
Question 7.
How much of your R&D expenditures reported in Question 1 did your institution
receive as a subrecipient?
Please report the original source of funds in columns (1) and (2) and the pass-through
source in rows a–d.
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.
Examples:
•
•
A university receives federal funds from another university as a subaward
(Row a, column 1).
A university receives federal funds from a company as a subaward
(Row b, column 1).
Originating source of R&D expenditures
(Dollars in thousands)
(1)
Federal
Entity passing funds to your institution
(3)
1
Total
a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions
$
$
$ TOTAL
b. Businesses
For-profit organizations
$
$
$ TOTAL
c. Nonprofit organizations
Nonprofit foundations and organizations
$
$
$ TOTAL
d. Other
State and local governments, foreign institutions,
and others
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
e. Total
1
(2)
Nonfederal
1
Row and column totals are automatically generated on the Web survey.
9
Question 8.
How much of the R&D expenditures reported in Question 1 did your institution
pass through to subrecipients?
Please report the original source of funds in columns (1) and (2) and the entity
receiving the funds in rows a–d.
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.
Examples:
•
•
Your institution passed through federal funds to another university
(Row a, column 1).
Your institution passed through funds from a company to another university
(Row a, column 2).
Originating source of R&D expenditures
(Dollars in thousands)
(1)
Federal
Entity receiving funds from your institution
(3)
1
Total
a. U.S. higher education institutions
Colleges and universities and units owned,
operated, and controlled by such institutions
$
$
$ TOTAL
b. Businesses
For-profit organizations
$
$
$ TOTAL
c. Nonprofit organizations
Nonprofit foundations and organizations
$
$
$ TOTAL
$
$
$ TOTAL
d. Other
State and local governments, foreign institutions,
and others
e. Total
1
(2)
Nonfederal
1
$ TOTAL
$ TOTAL
$ TOTAL
Row and column totals are automatically generated on the Web survey.
10
Question 9A–B.
What were your FY 2016 R&D expenditures in the computer and information sciences and
engineering funded by the federal agency sources below? (R&D expenditures from nonfederal
sources will be reported in Question 11.)
•
•
•
•
Question 9 total (page 17, row K, column h) should match Question 1, row a.
Please see “Related Information” on survey website for a list of the subagencies belonging to each
agency shown below.
If an individual project involves more than one of the 40 fields of R&D, please prorate expenditures
when possible and report the amount for each field involved.
For subrecipient funding, report the agency that sponsored the original award.
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
A. Computer and
Information
Sciences
(a)
(b)
(c)
USDA
DoD
Energy
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
2. Bioengineering
and Biomedical
Engineering
$
$
$
$
$
$
$
$ TOTAL
3. Chemical
Engineering
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
7. Mechanical
Engineering
$
$
$
$
$
$
$
$ TOTAL
8. Metallurgical and
Materials
Engineering
$
$
$
$
$
$
$
$ TOTAL
9. Other
Engineering
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
B. Engineering
1. Aerospace,
Aeronautical,
and Astronautical
Engineering
4. Civil Engineering
5. Electrical,
Electronic, and
Communications
Engineering
6. Industrial and
Manufacturing
Engineering
10. Total
1
2
2
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Question 9 continues on next page.
11
Examples of Disciplines: Computer and Information Sciences and Engineering Fields of R&D
A. Computer and Information Sciences
Artificial intelligence
Computer and information
technology administration and
management
Computer science
Computer software and media
applications
Computer systems analysis
Computer systems networking
and telecommunications
Data processing
Information sciences, studies
Information technology
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
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
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
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
Question 9 continues on next page.
12
Question 9C.
What were your FY 2016 R&D expenditures in the geosciences, atmospheric sciences, and ocean
sciences funded by the federal agency sources below? (R&D expenditures from nonfederal
sources will be reported in Question 11.)
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
(a)
(b)
(c)
USDA
DoD
Energy
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric
Science and
Meteorology
$
$
$
$
$
$
$
$ TOTAL
2. Geological and
Earth Sciences
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
3. Ocean Sciences
and Marine
Sciences
4. Other
Geosciences,
Atmospheric
Sciences, and
Ocean Sciences
5. Total
1
2
2
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Examples of Disciplines: Geosciences, Atmospheric Sciences, and Ocean Sciences Fields of R&D
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
3. Ocean Sciences and
Marine Sciences
Biological oceanography
Geological oceanography
Marine biology
Marine oceanography
Marine sciences
Oceanography, chemical and
physical
4. Other Geosciences,
Atmospheric Sciences,
and Ocean Sciences
Other fields that cannot be
classified using the fields listed
above
Question 9 continues on next page.
13
Question 9D.
What were your FY 2016 R&D expenditures in the life sciences funded by the federal agency
sources below? (R&D expenditures from nonfederal sources will be reported in Question 11.)
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
(a)
(b)
(c)
USDA
DoD
Energy
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
D. Life Sciences
1. Agricultural
Sciences
$
$
$
$
$
$
$
$ TOTAL
2. Biological and
Biomedical
Sciences
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
4. Natural
Resources and
Conservation
$
$
$
$
$
$
$
$ TOTAL
5. Other Life
Sciences
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
3. Health Sciences
6. Total
1
2
2
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Examples of Disciplines: Life Sciences Fields of R&D
D. Life Sciences
1. Agricultural Sciences
Agricultural business and
management
Agricultural chemistry
Agricultural economics
Agricultural engineering—report
in Engineering
Agricultural production
operations
Animal sciences
Applied horticulture and
horticultural business services
Aquaculture
Fishing and fisheries sciences
and management
Food science and technology
Forestry
International agriculture
Plant sciences
Soil sciences
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
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
Veterinary biomedical and
clinical sciences
Veterinary medicine
Zoology
4. Natural Resources and
Conservation
Natural resources conservation
and research
Natural resources economics
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
Question 9 continues on next page.
14
Question 9E–G.
What were your FY 2016 R&D expenditures in mathematics and statistics, the physical sciences,
and psychology funded by the federal agency sources below? (R&D expenditures from
nonfederal sources will be reported in Question 11.)
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
(a)
(b)
(c)
USDA
DoD
Energy
E. Mathematics and
$
Statistics
F. Physical Sciences
1. Astronomy and
Astrophysics
2. Chemistry
3. Materials
Science
4. Physics
5. Other Physical
Sciences
6. Total
2
G. Psychology
1
2
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
$
$
$
$
$
$
$
$ TOTAL
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Examples of Disciplines: Mathematics and Statistics, Physical Sciences, and Psychology Fields of R&D
E. Mathematics and Statistics
Applied mathematics
Mathematics
Statistics
F. Physical Sciences
1. Astronomy and
Astrophysics
Astronomy
Astrophysics
Planetary astronomy and
science
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
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
Question 9 continues on next page.
15
Question 9H–I.
What were your FY 2016 R&D expenditures in the social sciences and other sciences funded by
the federal agency sources below? (R&D expenditures from nonfederal sources will be reported
in Question 11.)
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
(a)
(b)
(c)
USDA
DoD
Energy
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
H. Social Sciences
1. Anthropology
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
3. Political Science
and Government
$
$
$
$
$
$
$
$ TOTAL
4. Sociology,
Demography,
and Population
Studies
$
$
$
$
$
$
$
$ TOTAL
5. Other Social
Sciences
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
$
$
$
$
$
$
$
2. Economics
6. Total
I.
2
Other Sciences
1
2
$ TOTAL
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Examples of Disciplines: Social Sciences and Other Sciences Fields of R&D
H. Social Sciences
1. Anthropology
Cultural anthropology
Medical anthropology
Physical and biological
anthropology
2. Economics
Applied economics
Business development
Development economics and
international development
Econometrics and quantitative
economics
Industrial economics
International economics
Labor economics
Managerial 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
City, urban, community and
regional planning
Criminal science and
corrections
Criminology
Geography
Gerontology, social sciences
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.
Question 9 continues on next page.
16
Question 9J–K.
What were your FY 2016 R&D expenditures in the non-science and engineering (non-S&E) fields
funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be
reported in Question 11.)
R&D expenditures from federal sources
1
(Dollars in thousands)
R&D Fields
(Examples listed below)
(a)
(b)
(c)
USDA
DoD
Energy
(d)
HHS,
includes NIH
(e)
(f)
(g)
(h)
NASA
NSF
Other
Total
2
J. Non-S&E Fields
1. Business
Management
and Business
Administration
$
$
$
$
$
$
$
$ TOTAL
2. Communication
and
Communications
Technologies
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
$
$
$
$
$
$
$
$ TOTAL
7. Visual and
Performing Arts
$
$
$
$
$
$
$
$ TOTAL
8. Other Non-S&E
Fields
$
$
$
$
$
$
$
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL $ TOTAL
3. Education
4. Humanities
5. Law
6. Social Work
9. Total
2
K. Total for All
2
Fields of R&D
Total for row K, column h should equal Total for Question 1, row a.
1
2
Key: USDA, Department of Agriculture; DoD, Department of Defense; Energy, Department of Energy; HHS, Department of Health and
Human Services; NASA, National Aeronautics and Space Administration; NIH, National Institutes of Health; NSF, National Science
Foundation. “Other” includes all other federal agencies.
Row and column totals are automatically generated on the Web survey.
Question 9 continues on next page.
17
Examples of Disciplines: Non-S&E Fields of R&D
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, including history
and philosophy of
science and technology
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
Family, consumer
sciences and human
sciences
Foods, nutrition, and
wellness studies
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.
18
Question 10.
Of the amount reported for Other federal sources in Question 9 (row K, column g),
which agencies funded this R&D and how much of the reported amount was from
each agency?
If your institution reported $0 in Question 9, row K, column g, check here
and go to Question 11.
•
•
•
•
Use rows a–j to list up to 10 agencies that funded the largest R&D expenditures.
Use row k to report any remaining amount.
For subrecipient funding in this question, list the sponsor of the original award.
Please see “Related Information” on the survey website for a list of federal agencies
and their subagencies.
R&D expenditures
Federal agencies (list up to 10)
(Dollars in thousands)
a.
$
b.
$
c.
$
d.
$
e.
$
f.
$
g.
$
h.
$
i.
$
j.
1
!
$
k.
Other agencies included in Question 9, column g, but not listed above
l.
Total (should match Question 9, row K, column g)
1
$
$ TOTAL
The column total is automatically generated on the Web survey.
19
Question 11A–B. What were your FY 2016 R&D expenditures in the computer and information sciences and
engineering fields funded by the nonfederal sources below?
•
•
The totals in row K, page 23 should match the corresponding sources in
Question 1, rows b–f.
If an individual project involves more than one of the 40 fields of R&D, please
prorate expenditures when possible and report the amount for each field involved.
R&D expenditures from nonfederal sources
(Dollars in thousands)
R&D Fields
(See Question 9, p. 12)
(a)
State and
local
government
(b)
Business
(c)
(d)
Nonprofit
Institutional
organizations
funds
(e)
Other
nonfederal
sources
(f)
Total
1
A. Computer and Information
Sciences
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
B. Engineering
1. Aerospace, Aeronautical, and
Astronautical Engineering
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
5. Electrical, Electronic, and
Communications Engineering
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
6. Industrial and Manufacturing
Engineering
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ ______
$ ______
$ ______
$ ______
$ _____
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
2. Bioengineering and
Biomedical Engineering
3. Chemical Engineering
4. Civil Engineering
7. Mechanical Engineering
8. Metallurgical and Materials
Engineering
9. Other Engineering
10. Total
1
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for the above fields of R&D are listed on page 12.
Question 11 continues on next page.
20
Question 11C–D. What were your FY 2016 R&D expenditures in the R&D fields listed below funded by the
nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)
R&D Fields
(See Question 9, pp. 13–14)
(a)
State and
local
government
(b)
Business
(c)
(d)
Nonprofit
Institutional
organizations
funds
(e)
Other
nonfederal
sources
(f)
Total
1
C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric Science and
Meteorology
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
3. Ocean Sciences and Marine
Sciences
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
4. Other Geosciences,
Atmospheric Sciences, and
Ocean Sciences
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
2. Geological and Earth Sciences
5. Total
1
D. Life Sciences
1. Agricultural Sciences
2. Biological and Biomedical
Sciences
3. Health Sciences
4. Natural Resources and
Conservation
5. Other Life Sciences
6. Total
1
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for the above fields of R&D are listed on pages 13–14.
Question 11 continues on next page.
21
Question 11E–I. What were your FY 2016 R&D expenditures in the R&D fields listed below funded by the
nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)
(e)
Other
nonfederal
sources
Total
$ _______
$ ______
$ TOTAL
$ _______
$ _______
$ ______
$ TOTAL
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
3. Political Science and
Government
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
4. Sociology, Demography, and
Population Studies
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
R&D Fields
(See Question 9, pp. 15–16)
E. Mathematics and Statistics
(a)
State and
local
government
(b)
(c)
Business
$ ______
$ _____
$ _______
$ ______
$ _____
$ ______
(d)
Nonprofit
Institutional
organizations
funds
(f)
1
F. Physical Sciences
1. Astronomy and Astrophysics
2. Chemistry
3. Materials Science
4. Physics
5. Other Physical Sciences
6. Total
1
G. Psychology
H. Social Sciences
1. Anthropology
2. Economics
5. Other Social Sciences
6. Total
1
I. Other Sciences
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for the above fields of R&D are listed on pages 15–16.
Question 11 continues on next page.
22
Question 11J–K. What were your FY 2016 R&D expenditures in the non-science and engineering (non-S&E) fields
funded by the nonfederal sources below?
R&D expenditures from nonfederal sources
(Dollars in thousands)
(a)
State and
local
government
Business
1. Business Management and
Business Administration
$ ______
$ _____
$ _______
2. Communication and
Communications Technologies
$ ______
$ _____
$ ______
R&D Fields
(See Question 9, p. 18)
(b)
(c)
(d)
(e)
Other
nonfederal
sources
Total
$ _______
$ ______
$ TOTAL
$ _______
$ _______
$ ______
$ TOTAL
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ ______
$ _____
$ _______
$ _______
$ ______
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
Nonprofit
Institutional
organizations
funds
(f)
1
J. Non-S&E Fields
3. Education
4. Humanities
5. Law
6. Social Work
7. Visual and Performing Arts
8. Other Non-S&E Fields
9. Total
1
K. Total for All Fields of R&D
1
Totals in row K, columns a–e should match corresponding sources in Question 1, rows b–f.
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for non-S&E fields of R&D are listed on page 18.
23
Question 12.
Of the total amount of R&D expenditures reported in Question 1, row g, what were
the amounts for the following types of costs?
•
•
Please report only direct costs (including cost sharing) in rows a–e.
Recovered and unrecovered indirect costs should be reported in rows f1 and f2.
R&D expenditures
(Dollars in thousands)
a.
b.
Salaries, wages, and fringe benefits
Include compensation for all R&D personnel whether full-time or part-time,
temporary or permanent. Include salaries, wages, and fringe benefits paid
from your institution’s funds and from external support.
$ _________
Software purchases
All payments for software. Include both purchases of software packages
and license fees for systems.
1. Noncapitalized software
$ _________
2. Capitalized software (If you are unable to distinguish capitalized
software from capitalized equipment, report both in row c.)
c.
d.
e.
f.
Capitalized equipment
Payments for movable equipment exceeding your institution’s capitalization
threshold. Include ancillary costs such as delivery and setup.
$ _________
Other direct costs
Other costs that do not fit into one of the above categories, including
(but not limited to) travel, tuition waivers, services such as consulting,
computer usage fees, and supplies.
Indirect costs
1. Recovered indirect costs
Reimbursement of Facilities and Administrative (F&A) costs
from external sponsors
3. Total indirect costs
1
2
$ _________
Pass-throughs to other universities or organizations
(should match the total in Question 8, row e, column 3)
$ _________
$ ___________
1
(Confidential )
2. Unrecovered indirect costs
(should equal Question 1, row e3)
g.
$ _________
$ ___________
1
(Confidential )
$ TOTAL
2
2
Total
(should match total from Question 1, row g)
$ 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.
Totals are automatically generated on the Web survey.
Question 13.
At the end of FY 2016, what were your institution’s dollar capitalization thresholds
(in thousands) for software and equipment?
(Dollars in thousands)
(1)
Software
Capitalization thresholds
$ _________
(2)
Equipment
$ _________
24
Question 14A–C. For the R&D fields below, what portion of your FY 2016 R&D expenditures went
for the purchase of capitalized R&D equipment?
Question 14 total (row K, column c) should match Question 12, row c (Capitalized equipment).
R&D equipment expenditures
(Dollars in thousands)
R&D Fields
(See Question 9, pp. 12–13)
A. Computer and Information Sciences
(a)
Federal
(b)
Nonfederal
(c)
1
Total
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
B. Engineering
1. Aerospace, Aeronautical, and Astronautical Engineering
2. Bioengineering and Biomedical Engineering
3. Chemical Engineering
4. Civil Engineering
5. Electrical, Electronic, and Communications Engineering
6. Industrial and Manufacturing Engineering
7. Mechanical Engineering
8. Metallurgical and Materials Engineering
9. Other Engineering
10. Total
1
C. Geosciences, Atmospheric Sciences, and Ocean Sciences
1. Atmospheric Science and Meteorology
2. Geological and Earth Sciences
3. Ocean Sciences and Marine Sciences
4. Other Geosciences, Atmospheric Sciences, and
Ocean Sciences
5. Total
1
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for the above fields of R&D are listed on pages 12–13.
Question 14 continues on next page.
25
Question 14D–I.
For the R&D fields below, what portion of your FY 2016 R&D expenditures went
for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)
R&D Fields
(See Question 9, pp. 14–16)
(a)
Federal
(b)
Nonfederal
(c)
1
Total
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ _________
$ _________
$ TOTAL
D. Life Sciences
1. Agricultural Sciences
2. Biological and Biomedical Sciences
3. Health Sciences
4. Natural Resources and Conservation
5. Other Life Sciences
6. Total
1
E. Mathematics and Statistics
F. Physical Sciences
1. Astronomy and Astrophysics
2. Chemistry
3. Materials Science
4. Physics
5. Other Physical Sciences
6. Total
1
G. Psychology
H. Social Sciences
1. Anthropology
2. Economics
3. Political Science and Government
4. Sociology, Demography, and Population Studies
5. Other Social Sciences
6. Total
I.
1
1
Other Sciences
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for the above fields of R&D are listed on pages 14–16.
Question 14 continues on next page.
26
Question 14J–K. For the non-science and engineering (non-S&E) R&D fields below, what portion of your
FY 2016 R&D expenditures went for the purchase of capitalized R&D equipment?
R&D equipment expenditures
(Dollars in thousands)
R&D Fields
(See Question 9, p. 18)
(a)
Federal
(b)
Nonfederal
(c)
1
Total
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ _________
$ _________
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
$ TOTAL
J. Non-S&E Fields
1. Business Management and Business Administration
2. Communication and Communications Technologies
3. Education
4. Humanities
5. Law
6. Social Work
7. Visual and Performing Arts
8. Other Non-S&E Fields
9. Total
1
K. Total for All Fields of R&D
1
Total for row K, column c, should match Question 12, row c (Capitalized equipment).
1
Row and column totals are automatically generated on the Web survey.
Examples of disciplines for non-S&E fields of R&D are listed on page 18.
Question 15.
How many principal investigators and other personnel (headcount) were paid from the
R&D salaries, wages, and fringe benefits you reported in Question 12, row a?
•
A principal investigator (PI) is designated by your institution to direct the R&D
project or program and be responsible for the scientific and technical direction of the
project. Co-investigators (co-PIs) may be designated for this role and should also be
included in column 1.
•
Count each person only once.
•
If a person serves as a PI or co-PI on one project and other personnel on another
project, count that person as a PI.
•
Include all personnel and students paid from R&D accounts regardless of how much
they received.
Number of people (headcount)
1
(1)
Principal
investigators
(2)
All other
personnel
(3)
Total
$ _________
$ _________
$ TOTAL
1
The row total is automatically generated on the Web survey.
27
Question 16.
a. Contact information: Please complete the contact information for the person responsible for the survey
and an alternate contact.
Primary contact
Name
Title
Institution name
Department/office
Mailing address (line 1)
Mailing address (line 2)
City, state, and ZIP code
Phone number
E-mail address
Alternate contact
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
________________________________
_______________________________
b. Fiscal year: In what month did your institution’s 2016 fiscal year end?
__________________________
c. Additional comments:
_______________________________________________________________________________________________
_______________________________________________________________________________________________
_______________________________________________________________________________________________
_______________________________________________________________________________________________
_______________________________________________________________________________________________
28
| File Type | application/pdf |
| File Title | MEMORANDUM |
| Author | LCHRISTO |
| File Modified | 2016-02-25 |
| File Created | 2016-02-25 |