SRD-1 Survey of State Government Research and Development

U.S.DEPARTMENTOFCOMMERCE
EconomicsandStatisticsAdministration

U.S.CENSUSBUREAU

ATTACHMENT C2

FORM

SRD-1
OMB No. 0607-0933 Approval Expires 06/30/2022

FY 2020 SURVEY OF STATE GOVERNMENT RESEARCH
AND DEVELOPMENT
Due Date: February 15, 2021

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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 3 hours to complete, including 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@census.gov; use "ERD Survey Comments
0607-0933" as the subject.

Contact Information
1. Please complete the contact information below. (*required fields)

Primary Respondent
Your Name:*
Title:
Agency:
Address:

City:*
State:*
Zip:
Telephone:

Extension:

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

City:*
State:*
Zip:
Telephone:

Extension:

Email:*
2

Reporting Period
2. Please choose your state agency's Fiscal Year 2019-20 end date from the drop-down box below or
enter your own date.

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

3

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

What is NOT R&D?
o

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

o

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

o
o
o

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

o
o
o
o
o
o
o
o
o
o

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

4

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.

5

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

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 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.)

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.

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.
Go to Question 3

6

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
Please specify:

No

If you answered no to all parts above, skip to Question 12.

7

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
• Benefits
• Supplies and movable equipment for
R&D
• Travel
• Indirect costs
• Purchased Services

Exclude
• R&D performed by higher education institutions
(report in Question 5)
• R&D performed by businesses and individuals
(report in Question 5)
• R&D performed by non-profit and organizations
(report in Question 5)
• R&D performed by 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) …………….……………….....................................$

8

0

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, and 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
Federal funds used for external R&D....................$

a.
•
•
•
•
b.

For example:
Grants
Contracts
Awards
Appropriations from the United States Government

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)…………………………………

9

$

0

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

$

$

$

State

$

$

$

Other

$

0

$

$

TOTAL

$

0

$

Internal
Other

$

0

=

0

NonFederal
Government

10

+

$

0

0

0

0

Internal
Nonprofit
Businesses
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) ………………………….…………

11

$

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:
$
$
Total (sum of all above)

$

12

0

Expenditures for R&D Performed Internally by Type of R&D
Examples
Basic Research
You are studying the properties of
blood to determine what affects
coagulation.

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

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

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

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 heat
chambers of various fish species.

You are designing a new system for
You are examining various levels of
a toxic substance to determine the monitoring a stream that will try
out the results of your recent
maximum safe level for fish in a
research in a real-world situation.
stream.

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

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.

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
non-federal funds? (Please use your best estimate.)
Federal

a.

Non-Federal

$

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.
(see examples of Basic Research above)
b.

Applied Research.............................................................$

$

Original investigation undertaken in order to acquire new
knowledge. It is, however, directed primarily towards a
specific, practical aim or objective.
(see examples of Applied Research above)
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.
(see examples of Experimental Development above)
d.

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

13

0

$

0

R&D Employees
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.
10. How many employees in the R&D occupations listed below worked on the internal R&D
activities reported in Question 4g (total R&D performed internally to your agency)?
(estimates are acceptable)
a.

Researchers.....................................................

b. R&D technicians and equivalent staff ..............
c.

R&D support staff............................................

d.

Total R&D employees.......................................

0

Full-Time-Equivalent R&D Personnel
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.
For example, if you had 3 people working 20, 30, and 40 hours in a week on a R&D activity and a
full-time schedule is 40 hours a week, your FTE calculation is (20+30+40)/40 = 2.25 FTE.
11. For the total R&D employees reported in Question 10, what was the full-time
equivalents (FTEs)? (estimates are acceptable)
a..

Researchers.......................................

b.

R&D technicians and equivalent staff ...............

c.

R&D support staff......................................

d.

Total FTE R&D employees.......................................

14

0

Expenditures for R&D Performed Externally by Type of Entity
0
reported external R&D performance for FY 2020 reported
12. Of the $
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.

$

15

14.

Approximately how long did it take to complete this survey?

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

16