NCSES - Respondent Debriefing Research for the FY 2020 Survey of State Government Research and Development

U.S. DEPARTMENT OF COMMERCE
U.S. CENSUS BUREAU

FORM

SRD-1

OMB No. 0607-0933 Approval Expires 07/31/2023

FY 2020 SURVEY OF STATE GOVERNMENT RESEARCH AND
DEVELOPMENT
Due Date: February 12, 2021
Need help or have questions about filling out the form?
Call toll-free 1-888-340-7525, between 8:00a.m. and 5:00p.m. Eastern time, Monday through Friday.
Email erd.sgrd@census.gov
or Visit https://www.census.gov/programs-surveys/sgrd/information.html
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 Research and Development
(R&D) in conjunction with other data collected by the National Science Foundation from private industry,
academic institutions, nonprofit organizations, and the federal government.
Title 13 United States Code (U.S.C.), Section 8(b) and Title 42 U.S.C., Sections 1861-76 (National Science
Foundation Act of 1950, as amended), and the America COMPETES Reauthorization Act of 2010
authorize the U.S. Census Bureau to conduct this collection on behalf of the National Science Foundation.
These data are subject to provisions of Title 13 U.S.C., Section 9(b), exempting data that are customarily
provided in public records from rules of confidentiality.
This collection has been approved by the Office of Management and Budget (OMB). The eight-digit
OMB approval number is 0607-0933 and appears at the upper right of this page. Without this approval, we
could not conduct this survey.
Thank you – Your response is important. Accurate and timely statistical information could not be
produced without your cooperation and goodwill. Thank you.
We estimate this survey will take an average of 2 hours to complete, including in the time for reviewing
instructions, searching existing data sources, gathering and maintaining the data needed, and completing
and reviewing the collection of information.
Send comments regarding this burden estimate or any other aspect of this voluntary collection of
information, including suggestions for reducing this burden, to:
ERD Survey Comments 0607-0933
U.S. Census Bureau
4600 Silver Hill Road, Room ERD-6H128
Washington, DC 20233
You may e-mail comments to erd.survey@cenus.gov; use “ERD Survey Comments 0607-0933” as the
subject.

1

What’s New for FY 2020
We have added two new questions for the FY 2020 survey:


Question 10 has been added to ask for information on the number of R&D personnel for Researchers, R&D
Technicians, and R&D Support Staff.



Question 11 has been added to ask for information on full-time-equivalent R&D personnel for Researchers,
R&D Technicians, and R&D Support Staff for the pay period including March 12.

As a result of the addition of questions 10 and 11:


Question 12 on Expenditures for R&D Performed Externally by Type of Entity was previously Question 10.



Question 13 on R&D Expenditures for Land and Facilities was previously Question 11.

2

Contact Information
1. Please complete the contact information below. (*required fields)
Primary Respondent
Contact Name:*
Title:
Agency Name:*
Address:

City:
State:*
Zip:
Telephone

including Extension:

Email:*

Additional Contact Information (if applicable)
Contact Name:*
Title:
Agency Name:*
Address:

City:
State:*
Zip:
Telephone

including Extension:

Email:*
3

Reporting Period
2. When did your agency’s Fiscal Year 2019-20 end?

Enter Date

Note: For the rest of this survey, we will refer to this Fiscal Year as FY 2020.

4

R&D Activities
Please read through the following definitions of Research and Development
(R&D) and answer the Screener Question below.

What is R&D?
Research and experimental development (R&D) comprise 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 is aimed at new findings (novel)
• It has not been done before
• It may produce findings that could be published in academic
journals
• It includes ideas that could be patented
R&D focuses on original concepts or ideas (creative)
• Increases our knowledge of the subject
• Helps create new products or applications
R&D outcomes are uncertain (because it has not been done before)
• Solutions are not always obvious or expected
• Uncertain about, cost, time, or ability to achieve results
R&D is planned and budgeted (systematic)
• Projects, processes, and outcomes are documented
• Projects are planned and managed
R&D results in solutions that others may find useful (transferable)
• Findings can be generalized to other situations and locations
• Findings are reproducible

What is NOT R&D?
•

Construction and acquisition of land and facilities used primarily for R&D (this is
reported separately in Question 11)

•

Fixed equipment used primarily for R&D (this is reported separately in Question
11)

•
•
•

Program planning and evaluation
Business development services for new companies
Commercialization (includes promoting/producing the products/services from
R&D projects)

•
•
•
•
•
•
•
•
•
•

Economic/policy/feasibility studies
General patient services
Information systems
Management studies
Marketing of products/services
Market research or analysis
Routine data collection/dissemination
Routine monitoring/testing
Strategic planning
Technology transfer

5

Examples of R&D
What makes it R&D
R&D is novel.
• Aimed at new
findings
• It increases our
knowledge of the
subject.
• It has not been
done before.
R&D is creative.
• Improves on
existing
knowledge.

When it is R&D
You are testing blood
samples as part of a
research project to find out
the side effects of a new
cancer treatment.

The outcome of R&D is
uncertain.
• The solution is not
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.

R&D is systematic.
• Projects are
planned.
• Records are kept
regarding process
and outcomes.
R&D solutions and
results could be useful
to others.
• Others might
benefit from the
findings.
• The findings can be
generalized to
other situations
and locations.

Research project has a plan,
funding source, staff, and
other resources available.

You are developing a new
methodology to assess
reading comprehension
for students enrolled in
special education
curriculum.

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

6

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 collecting reading
comprehension scores for trend
analysis.

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.)
Agency staff are interested
in solving a particular
problem and pursues
answers as time permits.
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.)

Examples of classifying R&D from four activities
Activity
Technical assistance

It IS R&D
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.)

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

Consulting

Developing a product from
your research

It is NOT R&D
You hire a technical consultant
to help you develop 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.)
You provide funding for new
technology companies to help
them acquire basic skills to
market their new products.
You use a consultant to help
you secure health and safety
approval for your new
pavement material.
You hire a law firm to help you
with the process for patenting
the new grass that you
developed.

Reporting unit
The reporting unit is your department, agency, commission, public authority (herein
referred to as agency) including all divisions and offices regardless of location that either
perform or fund R&D.
Estimates are acceptable
Please report all items to the best of your ability.

7

R&D Activities
3. Did your agency do any of the following during FY 2020
a. Had a division, branch, or office devoted to research and development
Yes ☐
No ☐
b. Performed research and development activities using agency staff
Yes ☐
No ☐
c. Funded research and development at another state or local government
Yes ☐
No ☐
d. Funded universities or other nonprofit organizations to perform research and development
activities
Yes ☐
No ☐

e. Funded companies or individuals to perform research and development activities
Yes ☐
No ☐
f.

Performed or funded other research and development activities not specified above
Yes ☐
No ☐
If yes, please specify:

If you answered no to all parts above, SKIP to question 14

8

Expenditures for R&D Performed Internally (Internal R&D)
4. During FY 2020, what were the total expenditures for internal R&D performance from federal
funds, state funds, or other funds?
Include
Type of Activities:
 R&D performed by your agency’s employees
 Services performed by others in support of an agency R&D project (e.g. lab testing)
 Administration and management of internal R&D performed by your agency
Type of Costs:
 Salaries and Benefits
 Supplies and movable equipment for R&D
 Travel
 Indirect costs
 Purchased Services
Exclude
 R&D performed by higher education institutions, or businesses and individuals or non-profits and
organizations, or other governments (report in Question 5)
 Construction and acquisitions of land or facilities used primarily for R&D (report in Question 11)
 Fixed equipment used primarily for R&D (report in Question 11)
 Administration and management of external R&D-related grants
 Funds provided to another agency within your state (the receiving agency should report these)
a. Federal funds used for internal R&D............................................$
For example:





Grants
Contracts
Awards
Appropriations from the United States Government

b. State funds used for internal R&D...............................................$
For example:
 Appropriations from the state legislature
 Agricultural commodity assessments/"check-offs"
 Bond funds
 General funds
 Restricted funds
 Revenue funds
 State grants
 Tobacco settlement funds
 Lottery proceeds
 Funds received from other agencies within your state
 Revenue from charges, fees, or fines
c. Other non-federal government funds used for internal R&D……..$
 Funding from other state governments
 Funding from state/regional partnership agreements
 Funding from local or tribal governments
d. Funding from nonprofit organizations for internal R&D..............$
e. Funding from businesses for internal R&D.................................$
f.

Funding from higher education institutions for internal R&D.....$

g.

These are your total expenditures for internal R&D: (sum of
4a through 4f)...........................................................................$ 0
9

Expenditures for R&D Performed Externally (External R&D)
5. During FY 2020, what were the total expenditures for external R&D performance from federal
funds, state funds, or other funds?
Include
R&D funded by your agency and performed by,
 Higher-education institutions
 Agricultural experiment stations
 Businesses and individuals
 Non-profit organizations
 Other state or local governments
 Matching grants to others for R&D-related programs and projects
Exclude
• Funds to other agencies within your state (these should be reported by the receiving agency)
• Pass-through funding for which you have no administrative oversight or control
• Administrative and management costs for all R&D-related activities
• R&D Tax Credit issued by your agency
a.

Federal funds used for external R&D .................... ……$
For example:
 Grants
 Contracts
 Awards
 Appropriations from the United States Government

b.

State funds used for external R&D…………………......…$
For example:












Appropriations from the state legislature
Agricultural commodity assessments/"check-offs"
Bond funds
General funds
Restricted funds
Revenue funds
State grants
Tobacco settlement funds
Lottery proceeds
Funds received from other agencies within your state
Revenue from charges, fees, or fines

c. Other sources used for external R&D………………………$
For example:






Funding from other state governments
Funding from state/regional partnership agreements
Funding from local or tribal governments
Funding from nonprofit organizations
Funding from business

Please specify:

d. These are your total expenditures for external R&D:
(sum of 5a through 5c)………………………………………………….…….$ 0

10 

Total R&D Expenditures
6. The following matrix shows the answers reported in Question 4 and Question 5. These are
your total R&D-related expenditures. To revise them, please return to the appropriate
question and enter new data. The remaining questions will ask for information about these
amounts.
FY 2020

Internal

External

Total by Source

Federal

$

$

$ 0

State

$

$

$

Other

$ 0

$

$

TOTAL

$ 0

$ 0

$ 0

0

0

Internal
NonFederal
Government
Internal
Other

$

0

=

+

11

Businesses

Nonprofit
Organizations
+

Higher
Education
Institutions
+

Total R&D Expenditures by Function
7. Of the $ 0

reported for FY 2020 reported expenditures, how much was for:

a.

Agriculture................................................................ $
For example:
 Animal husbandry
 Aquaculture
 Crop management
 Food and commodities

b.

Energy ................................................................... $
For example:
 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)

c.

Environment and Natural Resources ...................... $
For example:
 Air and water quality
 Fish, game, and wildlife
 Forestry
 Geological studies
 Marine and aquatic environments
 Parks and preserves
 Soil and water conservation

d.

Health ................................................................... $
For example:
 Biomedical research
 Mental health and addiction
 Pharmaceuticals
 Public Health

e.

Transportation ...................................................... $
For example:
• Aviation
• Highways, roads, and bridges
• Ports and waterways
• Public transportation
• Rail and freight

f.

Other functions..................................................... $
For example:
• Corrections and criminal justice
• Education
• Labor
• Public Safety
• Social Services

Please specify:
g.

Total (sum of 7a through 7f) .................................... $

12

0

Funds Received from Federal Agencies for R&D
8. Of the $ 0
reported for FY 2020 reported expenditures from federal funds,
what amount came from the following agencies? Please add any agencies not already listed.
If none, please report $0.
Federal Agency
Department of Agriculture…………………………………………………………………………$
Department of Commerce…………………………………………………………………………$
Department of Defense………………………………………………………………………………$
Department of Education……………………………………………………………………………$
Department of Energy…………………………………………………………………………………$
Department of Health and Human Services………………………………………………$
Department of Homeland Security……………………………………………………………$
Department of Housing and Urban Development……………………………………$
Department of the Interior…………………………………………………………………………$
Department of Justice…………………………………………………………………………………$
Department of Labor…………………………………………………………………………………$
Department of State……………………………………………………………………………………$
Department of Transportation……………………………………………………………………$
Department of the Treasury………………………………………………………………………$
Department of Veterans Affairs…………………………………………………………………$
Environmental Protection Agency………………………………………………………………$
National Aeronautics and Space Administration………………………………………$
National Science Foundation………………………………………………………………………$
Other, please specify): ………………………………………………………………………………$
please specify: ……………………………………………………………………………………………$

Total (sum of all above)…………………………………………………………………$ 0

13

Expenditures for R&D Performed Internally by Type of R&D
Examples of Basic, Applied and Experimental Development
Basic Research

Applied Research

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

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
implementation of a specific math
curriculum to determine what
factors lead to successful
implementation by teachers.

You are using research in the field
to develop education software and
support tools for math curriculum.

You are studying the heat
chambers of various fish species.

You are studying the effects of
various strategies for teaching
math in order to understand which
is the most effective.

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.

9. What amount of your $ 0

reported FY 2020 federal internal R&D expenditures and
$0
reported FY 2020 non-federal internal R&D expenditures in Question 4 were
for basic research, applied research, and experimental development from federal and nonfederal funds? (Please use your best estimate.)  
Federal

a. Basic Research………………………………………………………….$

Non-Federal

$

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, however, 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.

d. Total (sum of 9a through 9c)……………………………………………………$ 0

14 

$ 0

R&D Employees
10. As of the pay period that included March 12, 2020, how many employees with the R&D
functions listed below worked on the internal R&D activities reported in Question 4.g. (total R&D
performed internally to your agency)?
R&D employees include all staff who work on R&D, or who provide direct support to R&D, such as
researchers, R&D managers, technicians, clerical staff, and others assigned to R&D groups. Exclude
employees who provide only indirect support to R&D such as security guards.
Estimates are acceptable.
Number of employees
a. Researchers (For example, biologists, psychologists, research scientists and
engineers, primary investigators, R&D managers)………………………………………………………
b. R&D technicians and equivalent staff (For example, wildlife technicians,
lab technicians, field staff)……………………………………………………………………………………………
c. R&D support staff assigned to the division, branch, or office devoted to R&D
(For example, accountants, facilities management, grant specialists, clerical staff)…
d. Total R&D employees....................................................................................

0

Full-Time-Equivalent R&D Personnel

11. As of the pay period that included March 12, 2020, what was the number of full-time
equivalents (FTEs) staff working on research and development activities?

Full-Time-Equivalent (FTE) R&D personnel are calculated as the total working hours spent working on R&D
during your state government’s fiscal year divided by the number of hours representing a full-time schedule
within the same period.
The following examples of FTE calculations assume a 40 hour work week and a 52 week year. However, you
should use the hours per week and weeks per year that typically represent a full-time employee at your
agency.






2 researchers who each work on research full-time all year: 2 * (52/52 weeks) = 2.0 FTE.
2 support staff who each work on research half (50%) of their time all year: 2 * (50% * 52/52 weeks)
= 1.0 FTE
1 researcher who works on research 25% of the time for 20 weeks and 50% of the time for 32 weeks:
(25% * 20/52 weeks) + (50% * 32/52 weeks) = 0.4 FTE
10 full-time technicians who each work on research 30% of the time for 26 weeks: 10 * (30% * 26/52
weeks) = 1.5 FTE
5 part-time technicians who each work on research for 15 hours a week for 39 weeks: 5 * ((15/40
hours) * 39/52 weeks)) = 1.4 FTE
Estimates are acceptable.

Number of FTEs

a. Researchers (For example, biologists, psychologists,
research scientists and engineers, primary investigators, R&D managers)……
b. R&D technicians and equivalent staff (For example,
wildlife technicians, lab technicians, field staff)………………………………………………
c. R&D support staff assigned to the division, branch, or office devoted to R&D
(For example, accountants, facilities management, grant specialists, clerical
staff)…………………………………………………………………………………………………………………
d. Total R&D employees........................................................................

15

0.0

Expenditures for R&D Performed Externally by Type of Entity
12. Of the $ 0

reported external R&D performance for FY 2020 reported expenditures
in Question 5, how much was to:

a. Higher education institutions? ....................... $
b. Businesses or individuals? .............................. $
c. Other entities?................................................ $
For example:
 Other state governments
 Local governments
 Non-profit organizations
Please specify:

d. Total (sum of 10a through 10c) ......................... $

0

R&D Expenditures for Land and Facilities
13. During FY 2020, what were your agency’s expenditures for construction and acquisition of
land and facilities (including fixed equipment) used primarily for R&D?
This question asks about R&D land and facilities (including fixed equipment, such as shake tables or wind
tunnels) used primarily for R&D. It includes the acquisition of, construction of, and major repairs or
alterations to structures, works, equipment, facilities, or land for use in R&D activities. Construction and
acquisition of land and facilities used primarily for R&D includes major costs for construction and purchase of
buildings to be primarily used as R&D facilities.
Exclude:
• Expendable or movable equipment (e.g., spectrometers, microscopes).
• Office furniture and equipment.
• Costs of pre-design studies (e.g., those undertaken before commitment to a specific facility).
NOTE: The expenditures reported on this question are separate from the R&D expenditures asked
throughout the rest of the survey, and should not be included in the expenditures on any other
question in the survey.

$

16 

14. Approximately how long did it take to complete this survey?

Note: Time should be in minutes

Remarks
15. Please use the space below for any explanations that may be essential in understanding
your reported data.

17