Reference Copy - P Reference Copy - Paper Version of Survey

Attachment C - FY 2011/11 SGRD Paper Version of the Web Form

FY 2012 and FY 2013
Survey of State Government R&D
Reference Copy Only

Submit your survey responses at:
http://harvester.census.gov/nsf

Survey Questions

pages 2 - 6

(Click here)

Definitions and Examples

(Click here)

pages 7 - 11

The purpose of this survey is to measure your state’s contributions toward scientific and technological
advances. 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.
The Survey of State Government R&D is conducted by the National Science Foundation with the
Department of Commerce, U.S. Census Bureau as the collection agent. Your participation is voluntary.
If you have any questions, please contact:
Lisa McNelis
U.S. Census Bureau
(800) 622-6193
govs.nsf.list@census.gov

Burden Statement

Expires 04/30/2016

Under the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless
such collection displays a valid Office of Management and Budget (OMB) control number. The OMB Control number
for this survey is displayed at the top right of the survey "Home" page.
The Time required to complete these responses is estimated to be approximately four hours for the state coordinator
and one hour and 45 minutes for agency respondents.
The burden on state coordinators includes the initial identification of department and agency contacts, monitoring of
department and agency responses, and final review and verification of state data.
The burden on agency respondents includes the initial collection of data and the entry of data into the Web application.
Send comments about this burden estimate or any other aspect of this collection of information, including suggestions
for reducing burden to:
Paperwork Project 0607-0933
U.S. Census Bureau
4700 Silver Hill Road, Stop 1500
Washington, DC 20233-1500
You may e-mail comments to Paperwork@census.gov; use "Paperwork Project 0607-0933" as the subject.

1

R&D Screener Question
Did your department/agency do ANY of the following during FY 2012 or FY 2013?
Your answer will determine whether you continue to Question 1.
FY 2012 is your state’s fiscal year ending in 2012.
FY 2013 is your state’s fiscal year ending in 2013.
For example, if you are on a July - June fiscal year, Fiscal Year 2013 would be your July 1, 2012 to
June 30, 2013 fiscal period.
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 this survey.

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 2012 and FY 2013 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.
When reporting R&D projects done by external performers, be sure to separately report the internal
administrative expenditures associated with the maintenance of those projects.
Do NOT report expenditures for construction and acquisition of facilities used primarily for R&D; use
Question 5.
See Page 7 for 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
FY 2012

Examples of expenditures:
Salaries
Benefits
Supplies
Travel

Sources of
Expenditures

Equipment
Indirect Costs
Purchased Services

Examples of Sources

FY 2013

$

$

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, or other
state/local governments

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

Expenditures by External Performers
FY 2012
FY 2013

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

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

Source of Expenditures

Academic Institutions
$

$

All funds (federal, state, and other)

Companies and Individuals
$

$

All funds (federal, state, and other)

$

$

All funds (federal, state, and other)

$

$

Total R&D Expenditures

Other

3

R&D Expenditure Questions
Question 2 (Subset of Question 1 Total)
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. It can be basic research
without a specific product or process in mind, or it can be basic research to produce a
broad base of knowledge for future research. (The other two categories of R&D, applied and
development, are not reported as separate categories on this survey. Applied research is
conducted with a specific, practical objective.)
See Page 11 for examples that compare basic research, applied research, and development.
FY 2012
$

FY 2013

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

$

Note: FY 2012 answer should be less than or equal to the Total R&D expenditures reported in Question 1.
FY 2013 answer should be less than or equal to the Total R&D expenditures reported in Question 1.
(See the totals you reported for Question 1).

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

R&D Expenditure Questions
Question 3 (Subset of Question 1 Total)
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 both internal and external performers.
Federal sources include grants, contracts, and appropriations from the United States government.
Exclude any nonfederal matching amounts.
FY 2012
$

FY 2013
$

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

Note: FY 2012 answer should be OHVVWKDQRUHTXDO to the Total Internal Performers Federal Funds plus
External Performers you reported for Question 1.
FY 2013 answer should be OHVVWKDQRUHTXDO to the Total Internal Performers Federal Funds plus
External Performers you reported for Question 1.
(See the totals you reported for Question 1).

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

4

R&D Expenditure Questions
Question 4 (breakout of Question 1 Total)
How much of your total R&D expenditures reported in Question 1 were for each
type of R&D below?
Expenditures
FY 2013

Type of R&D

Examples

FY 2012
$

$

Agriculture

Animal health
Aquaculture
Crop management
Food and commodities
Forestry

$

$

Energy

Alternative fuels (e.g. ethanol,
biofuels)
Energy conservation, efficiency
Oil and gas
Other fossil fuels (e.g. coal,
clean-coal, lignite)
Renewable energy (e.g., wind,
solar)

$

$

Environment and
natural resources

Air and water quality
Fish, game, and wildlife
Geological survey
Marine and aquatic environments
Parks and preserves
Soil and water conservation

$

$

Health

Biomedical research
Mental health and addiction
Public health

$

$

Transportation

Aviation
Highways, roads, and bridges
Ports and waterways
Public transportation
Rail and freight

$

$

Other

R&D in other areas, such as:
Corrections
Criminal justice
Education
Forensic science
Labor
Public safety
Social services

$

$

Total R&D
Expenditures

Note: FY 2012 answer should be less than or equal to the Total R&D expenditures reported in Question 1.
FY 2013 answer should be less than or equal to the Total R&D expenditures reported in Question 1.
(See the totals you reported for Question 1).

5

R&D Expenditure Questions
Question 5 (not included in Question 1 Total)
What were your department/agency R&D expenditures for FY 2012 and FY 2013 for
construction and acquisition of facilities used primarily for R&D?
Please include:
Construction projects
Major renovations of buildings
Purchasing land or buildings
See Page 7 for R&D definitions and examples.
FY 2012
$

FY 2013
$

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

Note: The amount you report here should not be reported in the total in Question 1, nor in the rest of the
questions on this survey. If you have included expenditures for construction and acquisition of facilities used
primarily for R&D in any other questions on the survey, please go back and change your answers by removing
these expenditures in the other questions.

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 (Question 1)?
E. What does R&D performer mean (Question 1)?
F. What expenditures should be included/excluded?
G. What is the definition of Fiscal Year?
H. What is the definition of basic research (Question 2)?
I.

What is the definition of “construction and acquisition of facilities" (Question 5)?

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.

7

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
New or improved products or
applications
Findings that could be published in
academic journals

Program planning and evaluation
Management studies
Strategic planning
Business development services for new companies
Market research or analysis
Economic / policy / feasibility studies
Routine data collection / dissemination
Information systems
Routine monitoring / testing
General patient services
Marketing products of services
Commercialization (includes promoting/producing the
products/services from R&D projects)

Examples of classifying R&D in four situations
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

When it is R&D

When it is NOT R&D

R&D is novel.
It increases our knowledge of
the subject.
It hasn’t been done before.

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.

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

The outcome of R&D is uncertain.
The solution isn’t obvious to
an expert in that field.

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

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.)
You are monitoring streams as
part of plan to implement longterm 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 (Question 1)?
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 (Question 1)?
Performers are the people who conduct the R&D.
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)
Administration/management of external R&D projects

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 or that received
grants 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 (Questions 1 through 4) and capital outlays (Question 5).
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-agency transactions
Non-cash/In-kind payments

Expenditures 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
Direct appropriations to state universities
that are used for R&D activities over
which you have no oversight or control.
(That information is reported by
universities on NSF’s Survey of Higher
Education Institutions.)

10

G. What is the definition of Fiscal Year?
Fiscal Year 2012 is your state’s fiscal year ending in 2012.
Fiscal Year 2013 is your state’s fiscal year ending in 2013.
For example, if you are on a July - June fiscal year, Fiscal Year 2013 would be your July 1, 2012 to June 30, 2013
fiscal period.

H. What is the definition of basic research (Question 2)?
It may be helpful to compare the three components of R&D — basic research, applied research and development.
Report all three types of research for Questions 1, 3, 4 and 5. Report only basic research for Question 2.
Below are definitions and examples.
Basic research (Question 2) is conducted primarily to acquire new knowledge. It can be basic research without
a specific product or process in mind, or it can be basic research to product a broad base of knowledge for
future research.
Applied research is conducted with a specific practical objective.
Development is the systematic use of the knowledge or understanding gained from research directed toward the
production of useful materials, devices, systems, or methods, including the design and development of prototypes and
processes.
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 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 examining various levels
of a toxic substance to determine
the maximum safe level for fish in
a stream.

You are testing a newly developed
chicken pox vaccine with various
ages of school children before
implementing it statewide.
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 designing a new system
for monitoring a stream that will try
out the results of your recent
research in a real world situation.

I. What is the definition of “construction and acquisition of facilities” (Question 5)?
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.

11