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

Attachment B

Survey of FY 2006
State R&D Expenditures
Department/Agency Web Pages
The following are Web pages for the department/agency
respondents who will complete the actual survey
questionnaire. Similar to the State Coordinator section,
these pages are designed to walk the respondent through a
step-by-step approach to completing the survey. They are
first introduced to the scope and definitions of the survey,
including clarification of the definition of R&D. The
respondents are then asked to answer a “screener” question,
which serves only to determine whether the respondent
needs to continue with the survey. (The answers will not be
analyzed or released publicly.) Finally, there are four R&D
expenditure questions, with a total of nine data items, for
the respondents to complete. The State Coordinator will
review these responses for accuracy.

Welcome!

OMB: 0607-0933
Expires: 10/31/2009

• The purpose of the State R&D Expenditures Survey is to measure your

state's contributions toward scientific advancement and technological
innovation.
• This survey is conducted in conjunction with on-going collections of R&D

from private industry, academic institutions, and the Federal
government.

Enter Your Password

________

SUBMIT

• Results of this survey will be published by the National Science Foundation

at www.nsf.gov/statistics.
• The U.S. Census Bureau is serving as the data collector for NSF and your

participation is voluntary.
Preview FY 2006 State R&D Expenditures Survey (PDF)

System Requirements
• Pop-up Blockers Disabled
• Java Script Enabled
• Operating System: Windows 95, 98, ME, 2000, XP, or NT
• System Software: Adobe PDF reader

download Adobe Acrobat

• Browser: Netscape 6.0/Internet Explorer 5.0 or a later version
Burden Statement
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 and a half hours 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
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Contact Us
James Berry, Survey Project Manager
U.S. Census Bureau
(301) 763-7317
govs.nsf.list@census.gov

*Note: On each page, there is a “Menu” for navigation to all other pages, a link to
our contact information, and a “Logout” button.

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Instructions for Department/Agency
Below is an overview of the steps you will need to follow to complete this
survey.
Step 1

Provide your contact information

Step 2

Preview questions, definitions, and examples

Step 3

Answer R&D screener question

Step 4

Answer survey questions

Question 1

R&D expenditures by performer and source of funding

Question 2

Basic research expenditures

Question 3

R&D expenditures from federal funds

Question 4

Expenditures for construction and acquisition of facilities used primarily for R&D

Step 5

Review and submit data

Continue

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Step 1

Department/Agency Contact Information

Please review your contact information and update, if needed. (*required field)

Your Name*

Title

Agency Name*

Telephone
(area code)

(phone number)

E-mail*

Save and Continue

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(extension)

Step 2

Preview Questions, Definitions, and Examples

This step provides you with a preview of the survey questions, key terms, and examples
of R&D.
To view a printable copy of these definitions and examples, and to preview the survey
questions, click the link below.
Preview FY 2006 State R&D Expenditures Survey (PDF)
download Adobe Acrobat

A) What does R&D mean?
B) What should be included/excluded in R&D?
C) What makes it R&D?
D) What are sources of R&D funding?
E) What does R&D performer mean?
F) What expenditures should be included/excluded?
G) What are some other survey definitions that may be helpful?
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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.

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

Ideas that might be patented

•

Findings that could be published in
academic journals

•

R&D does NOT include:

•

Management information systems

•

Economic / policy / feasibility
studies

New or improved products or applications

•

Program planning and evaluation

•

Strategic planning

•

Market research or analysis

•

Routine data collection /
dissemination

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•

Routine monitoring / testing

•

Technology transfer

•

Technical assistance

•

Consulting services

•

Commercialization

•

General patient services

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

It increases our
knowledge of the
subject

•

It hasn’t been done
before.

R&D creates solutions useful
to others.
•

Others might benefit
from the findings.

•

The findings can be
generalized to other
situations and locations.

The outcome of R&D is
uncertain.
•

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

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.

When it is NOT R&D
You are collecting
information from samples
of patients to estimate the
incidence of chicken pox
in the state’s population.
(You are using a standard
approach to estimate the
spread of chicken pox.)

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

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

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

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

D. What are sources of R&D funding?
Sources of R&D funding include:
State

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

Federal

Grants, contracts, and appropriations from the United States
government

All other

Grants
•
•
•
•

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

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

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

External Performers:
Academic institutions

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

Companies and individuals

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

Others

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

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F. What expenditures should be included/excluded?
Expenditures are amounts paid for current operations and capital outlays.
Respondents to this survey will be asked to report expenditures by performer of R&D. Please
refer below for guidance on the types of expenditures to report for internal and external
performers.
Expenditures for your Department/Agency as Performer
Include:
• Salaries, wages, and benefits
• Supplies
• Purchased services (e.g. lab
testing)
• Travel
• Indirect or overhead costs for R&D
activities
• Equipment

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

Expenditures for Academic Institutions, Companies or Individuals, or Others as
Performers
Include:
• Grants
• Payments for contracted R&D
projects
• Reimbursable costs for R&D
projects

Do NOT include
• Pass-through grants over which you
have no administrative oversight or
control

G. What are some other survey definitions that may be helpful?
Your State
should include your state’s departments, agencies, boards, and commissions.
Fiscal Year
is your state’s fiscal year ending in 2006.
Construction and Acquisition of Facilities Used Primarily for R&D
includes major costs for construction and purchase of buildings to be primarily used as R&D
facilities. Include new construction, major renovations, and purchase of land or buildings.
Basic Research
In order to understand the definition of basic research, it may be helpful to compare it to the
other two components of R&D—applied research and development. Below are definitions and
examples.
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Basic research is conducted primarily to acquire new knowledge without any specific product or
process in mind. (The other two categories of R&D, applied research and development, are not
reported separately in this survey. Applied research is conducted with a specific practical
objective.)
Examples
Basic research

Applied research

Development

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

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

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

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

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

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

You are studying the
heart chambers of
various fish species.

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

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

Continue

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Step 3

Answer R&D Screener Question

Did your department/agency do any of the following during FY 2006? Your
answer will only be used to determine whether you continue to the R&D expenditure
questions in Step 4 and will not be released publicly.
•

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

•

Conducted 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

•

Conducted or funded other research of development activities not specified above

{ } Yes
{ } No
If you select "No" your state survey coordinator will be notified that your department or
agency does not have qualifying R&D activities for the FY 2006 survey.

Save and Continue

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Step 4

R&D Expenditure Questions

Question 1
What were your department/agency R&D expenditures for FY 2006 by the
following types of performers?
•
•

Include R&D from all sources, and report sources separately when your
department/agency performs the R&D internally.
Do NOT report expenditures for construction and acquisition of R&D facilities; use
Question 4.

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)

Expenditures by
Internal Performers

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

•
•
•

Equipment
Indirect Costs
Purchased Services

Source of
Expenditures

Examples of
Sources

$

State Funds

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

$

Federal Funds

Federal awards

Other Funds

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

$

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

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

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

Expenditures by
External Performers

Source of
Expenditures

Academic Institutions
$

All Funds (federal, state, other)

Companies and Individuals
$

All Funds (federal, state, other)

Others
$

All Funds (federal, state, other)

$

Total R&D Expenditures (automatically calculated)
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*Note: The “Previous” and “Save and Continue” buttons are not shown on the Question 1 page
due to space limitations. Both these buttons appear on the survey Website for Question 1.

Step 4

R&D Expenditure Questions

Question 2
How much of your total department/agency R&D expenditures reported in
Question 1 ($xxx,xxx) were for basic research? You may provide an estimate,
if necessary.
•

$

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

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

Save and Continue

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Step 4

R&D Expenditure Questions

Question 3
How much of your total department/agency R&D expenditures reported in
Question 1 ($xxx,xxx) were from federal funds? You may provide an
estimate, if necessary.
•
•
•

$

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

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

Previous

Save and Continue

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Step 4

R&D Expenditure Questions

Question 4

What were your department/agency FY 2006 expenditures for construction
and acquisitions of facilities used primarily for R&D?
Please include:
•
Construction projects
Major renovations of buildings
•
Purchasing land and buildings
•

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

$

Previous

Save and Continue

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Step 5

Review and Submit Final Data

•

Please review your survey responses.

•

To revise data, click the appropriate "Question" heading

•

Click "Submit Final Data" to submit the data to your state coordinator

Question 1
R&D Expenditures by Performer and Source
Internal Performers – Department/Agency
State Funds

$

0

Federal Funds

$

0

Other Funds

$

0

$

0

$

0

$

0

External Performer - Academic Institutions
All Funds
External Performer - Companies and Individuals
All Funds
External Performer - Others
All Funds

TOTAL R&D EXPENDITURES

$

Question 2 (subset of Question 1 “Total”)
Basic Research Expenditures

0

$

0

$

0

$

0

Question 3 (subset of Question 1 “Total”)
R&D Expenditures from Federal Funds

Question 4
Expenditures for Construction and Acquisition of Facilities
Used Primarily for R&D

Previous

Submit Final Data

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Survey of FY 2006 State R&D Expenditures
SURVEY RESULTS

You have successfully submitted data. Thank you!
If you need to revise data or have questions regarding the status of
your survey, please contact James Berry at (800) 622-6193 or
govs.nsf@census.gov.
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