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National Science Foundation National Center for Science and Engineering Statistics
Contents

Foreword

General Notes

Data Tables

Appendix. Technical Notes

Suggested Citation, Acknowledgments



Michael Yamaner,
Project Officer
(703) 292-7815
Research and Development Statistics Program

NCSES Home
Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions: FY 2006

 


Appendix. Technical Notes

 

This report replaces Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions: FY 2006 (NSF 09-310) released in March 2009. After the close of the FY 2007 survey cycle, the Department of Defense (DOD) discovered a programming error that was made during the FY 2005–07 survey cycles and caused each advanced technology development dollar to be reported twice, as advanced technology development and also as major systems development. These detailed statistical tables contain corrected DOD data for FY 2005–06 and the most up-to-date data for all agencies.

During the production of this report the America COMPETES Reauthorization Act of 2010 was signed into law. Section 505 of the bill renames the Division of Science Resources Statistics as the National Center for Science and Engineering Statistics (NCSES). The Center retains its reporting line to the Directorate for Social, Behavioral and Economic Sciences within the National Science Foundation. The new name signals the central role of NCSES in the collection, interpretation, analysis, and dissemination of objective data on the science and engineering enterprise.

Scope of Survey

Data presented in this report are collected annually through the National Science Foundation's (NSF's) congressionally mandated Survey of Federal Science and Engineering (S&E) Support to Universities, Colleges, and Nonprofit Institutions (Federal S&E Support Survey). The survey originated in 1965, when the Committee on Academic Science and Engineering (CASE) within the Federal Council for Science and Technology established the CASE data collection system to report annually on federal S&E obligations to academic institutions and associated federally funded research and development centers (FFRDCs). Since 1968, CASE data, as well as data on nonprofit institutions, have also served as the basis for an annual report to the President and Congress. This survey is designed to collect information from federal agencies on (1) total S&E program support to academic institutions and (2) research and development (R&D) and R&D plant support to nonprofit institutions. All agencies that report R&D performed by universities and colleges or nonprofit institutions in the NSF Survey of Federal Funds for Research and Development are included in this survey.

A Web-based data collection system (FSSWeb) is used to collect the Federal S&E Support Survey data. FSSWeb is part of NSF's effort to enhance survey reporting and reduce data collection and processing costs by offering respondents direct online reporting and editing. Because the Federal S&E Support Survey data are collected in electronic format, there is no paper instrument. Respondents provide data for each institution using similar data entry screens. The screens change slightly depending on whether the respondent is providing data for academic or nonprofit institutions. The categories of support also are slightly different for defense and nondefense agencies. See the Federal S&E Support Survey's methodology report for further details on the FSSWeb system.

The FY 2006 data in this report were submitted by the following 19 federal agencies, covering the period 1 October 2005 through 30 September 2006.

Agency for International Development

Appalachian Regional Commission

Department of Agriculture

Department of Commerce

Department of Defense

Department of Education

Department of Health and Human Services

Department of Homeland Security

Department of Housing and Urban Development

Department of the Interior

Department of Labor

Department of Transportation

Department of Energy

Environmental Protection Agency

National Aeronautics and Space Administration

National Science Foundation

Nuclear Regulatory Commission

Office of Justice Programs

Social Security Administration

The data are presented in terms of federal obligations provided for direct support of academic S&E. The data exclude financial support of an indirect nature, such as funds allocated to state agencies, even if the final recipients of such funds are known to be academic institutions. Data on type of institutional control and highest degree granted are not presented in this report but are available upon request (see Data Availability).

Obligations are the amounts for orders placed, contracts awarded, services received, and similar transactions during a given period, regardless of when the funds were appropriated and when future payment of money is required. Obligations differ from expenditures in that funds allocated by federal agencies during one fiscal year may be spent by the recipient institution either partially or entirely during one or more subsequent years.

The obligations listed for individual institutions reflect direct federal S&E support. Thus, amounts subcontracted and subgranted to other institutions are included, but funds received through subrecipient arrangements from prime recipients are excluded.

Obligations are reported to the survey in thousands of dollars. Obligations totaling less than $500 for any specific activity (e.g., R&D, general support for S&E) are reported as zero.

Obligations are listed as awards to individual institutions within a system (e.g., to the University of California, Los Angeles, rather than to the University of California system as a whole). However, obligations awarded directly to the central administration of a system are listed separately. If the final destination of the funds is not known, the agencies report them as obligations to a system's administrative office from which the funds are distributed to the system's individual institutions.

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Changes in Reporting

Since these data were first collected in 1965, there have been some changes in reporting. The most recent of these include the following:

  1. In FY 2004, the National Aeronautics and Space Administration (NASA) implemented a full-cost budget approach, which includes all of the direct and indirect costs for procurement, personnel, travel, and other infrastructure-related expenses relative to particular programs and projects. Data for FY 2004 and later years may not be directly comparable to data for FY 2003 and earlier years.


  2. For the FY 2003 survey cycle, the Department of Homeland Security (DHS) was unable to provide S&E obligations (with the exception of the U.S. Coast Guard) broken down into the categories shown in this report. Because the U.S. Coast Guard, formerly part of the Department of Transportation, moved under DHS for FY 2003, its data were not part of the FY 2003 detailed statistical tables. The U.S. Coast Guard's overall S&E obligations for FY 2003 are presented below.

    FY 2003 U.S. Coast Guard
    • Total academic S&E, $2,159,000
    • Academic R&D, $1,824,000
    • Academic R&D plant, $335,000
    • Nonprofit R&D, $924,000


  3. Beginning in FY 2000, NASA reclassified space station as a physical asset and space station research as equipment and transferred funding for the program from R&D to R&D plant. According to NASA, this classification change had a negligible impact on the data reported in this report for FY 2000. However, this classification change was reflected in the FY 2001 academic totals, which showed an R&D plant increase for NASA nearly five times over the FY 2000 R&D plant total (see table 2).


  4. Beginning with the FY 1999 survey cycle, NSF determined that federal agencies would no longer report obligations to academic or nonprofit FFRDCs. Obligations to FFRDCs were deleted from all previous years shown in this report.


  5. Beginning with the FY 1996 survey cycle, NSF determined that federal agencies would no longer report obligations for fields of S&E.


  6. Since FY 1994, NSF has collected data on Department of Defense (DOD) development dollars in two categories: advanced technology development and major systems development. These categories better differentiate between that part of the federal R&D budget that supports "science and key enabling technologies" (including military and nondefense applications) and that part that primarily concerns "testing and evaluation of large technical systems prior to production" (of mostly defense-related systems).


  7. Before FY 1993, NSF published data on a seventh obligations category (see Categories of Support below) covering non-S&E activity. In FY 1993, however, the Department of Education (ED) made major software modifications to the automated system from which its federal S&E data were produced. The revamped coding structure introduced major trend differences for the department's institution data. Consequently, because ED accounted for 91% ($5.9 billion) of the total federal support for non-S&E activity ($6.5 billion) for FY 1993, NSF no longer publishes non-S&E totals. To explain ED's downward academic R&D trend between FY 1993 and FY 1994 (from $95 million to $49 million), the agency stated that academic R&D programs in FY 1994 either were not funded, did not have an S&E component, or received reductions in funding.


  8. During the FY 1987 survey cycle, DOD determined that some funds reported in prior years as R&D obligations to the Johns Hopkins University Applied Physics Lab (APL) were more appropriately classified as "other sciences and engineering." Data for FY 1984–86 were revised, but DOD was unable to revise data for earlier years. In FY 2006, APL accounted for more than 95% of DOD's total S&E funding of $531 million to Johns Hopkins.


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Categories of Support

The data presented here include all obligations for academic S&E, comprising federal obligations for R&D; R&D plant; facilities and equipment for instruction in S&E; S&E fellowships, traineeships, and training grants; general support for S&E; and other S&E activities. These support categories are defined below.

  1. R&D includes all direct, indirect, incidental, or related costs resulting from or necessary to performing R&D by private individuals and organizations under grant, contract, or cooperative agreement. Demonstration projects designed to test or prove whether a technology or method is, in fact, workable are considered to be within the scope of R&D, if they are designed to produce new information and are accomplished within a given time period. The following activities are excluded from R&D but should be reported under one or more of the other five S&E categories:

    • Routine product testing
    • Quality control
    • Topographical mapping and surveys
    • Collection of general-purpose statistics
    • Experimental production
    • Demonstrations designed to exhibit new technologies or methods or to disseminate information thereon
    • Scientific and technical information activities
    • R&D facilities and fixed equipment


  2. Research is systematic study directed toward fuller scientific knowledge or understanding of the subject studied. Research is classified as either basic or applied according to the objectives of the sponsoring agency. In basic research, the objective of the sponsoring agency is to generate knowledge of the underlying foundations of phenomena and of observable facts without specific applications toward processes or products in mind. In applied research, the objective of the sponsoring agency is the creation of knowledge or understanding necessary to determine the means by which a recognized and specific need may be met.

    Development is systematic use of knowledge and understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including design and development of prototypes and processes.

    Research equipment is any item (or interrelated collection of items comprising a system) of nonexpendable tangible property or software having a useful life of more than 2 years and an acquisition cost of $500 or more that is used wholly or in part for research. Research equipment is included under R&D.

  3. R&D plant includes all projects whose principal purpose is to provide support for construction, acquisition, renovation, modification, repair, or rental of facilities, land, works, or fixed equipment for use in scientific or engineering R&D. A facility is to be interpreted broadly to include any physical resource important to the conduct of research or development. All costs—direct, indirect, and related expenditures—are to be included.

    If the R&D facilities are part of a larger facility devoted to other purposes as well, the funds should be distributed among the categories of support involved as appropriate. In general, another category that is likely to be involved is category 3 (facilities and equipment for S&E instruction). Excluded from the R&D plant category are expendable research equipment and office furniture and equipment and all other activities, i.e., those not specifically related to S&E. See the definition of research equipment under category 1 (R&D).


  4. Facilities and equipment for instruction in S&E include all programs whose principal purpose is to provide support for construction, acquisition, renovation, modification, repair, or rental of facilities, land, works, or equipment for use in instruction in S&E.

    If the instructional facilities are part of a larger facility devoted to other purposes as well, the funds should be distributed among the categories of support involved as appropriate. In general, the other category most likely to be involved is category 2 (R&D plant).


  5. S&E fellowships, traineeships, and training grants include all fellowship, traineeship, and training-grant programs that are directed primarily toward the development and maintenance of the scientific and technical workforce. The total amounts pertaining to such awards (stipends and cost-of-education allowances) are reported in terms of the institution at which the recipient performs research and/or study.

    Excluded are projects that support research and educational institutes, seminars, and conferences, such as teacher-training activities provided through teacher institutes, short courses, research participation, and in-service seminars; activities aimed at the development of educational techniques and materials for use in S&E training; and programs that provide special opportunities for increasing the scientific knowledge and experience of precollege and undergraduate students. These activities are to be reported either under category 6 (other S&E activities) or not reported if they are not related to S&E.


  6. General support for S&E includes activities that provide support for nonspecific or generalized purposes related to scientific research and education. Such projects are generally oriented toward academic departments, institutes, or institutions as a whole. "General support" implies a spectrum of varying types of support. At one extreme is support provided without any specification of purpose other than that funds be used for scientific activities. Another kind of general support is to be found in projects that provide funds for activity within a specified field of S&E but without specifying an explicit purpose. The distinguishing feature of general support for S&E projects is that they permit a significant measure of freedom as to purpose (research, faculty support, education, institutional support, etc.).


  7. Other S&E activities include all academic S&E activities that cannot be meaningfully assigned to one of the five categories previously set forth. Among the types of activities to be included in this category are support for scientific conferences and symposia, teacher institutes, and activities aimed at increasing the scientific knowledge of precollege and undergraduate students.

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Historical Changes

In FY 2005 three new tables were added to the report that break out funding by high-Hispanic-enrollment (HHE) institutions, tribal colleges and universities, and minority-serving institutions. As in the aforementioned tables, due to space constraints, data for several agencies are often combined and reported in an "other" category in tables that show funding by agency.

Types of Institutions

The types of institutions covered by this survey are universities and colleges, independent nonprofit institutions, and consortia of both universities and colleges and of independent nonprofit institutions.

Universities and Colleges

Universities and colleges are those institutions of higher education in the United States that offer at least 1 year of college-level study leading toward a degree. The universe of academic institutions for this survey is derived from the higher education institution portion of ED's Integrated Postsecondary Education Data System (sponsored by the National Center for Education Statistics) and the 2007 Higher Education Directory (published by Higher Education Publications, Inc.).

Institutions included are those that received federal S&E support during FY 2006. This support may have been provided to any part of the academic institution—its colleges (e.g., liberal arts) and schools (e.g., agriculture), professional schools, hospitals, agricultural experiment stations, bureaus, offices, and research centers (excluding FFRDCs), whether located on or off the main campus or at branch campuses controlled directly by the parent institution. Further, the institutions included must have a significant degree of academic and administrative autonomy. For example, institutions within a system (a group of institutions having a collective legal status and generally recognized by a state government, a board of education, or other relevant organization) in which a significant degree of autonomy remains at the individual institution level are presented separately; however, obligations to branch campuses are included in the totals for the parent institutions. Obligations to the U.S. Department of Agriculture Graduate School are not included.

Independent Nonprofit Institutions

Independent nonprofit institutions are legal entities other than universities and colleges, privately organized or chartered to serve the public interest, and exempt from most forms of federal taxation. Data presented for nonprofit institutions are obligations for R&D and R&D plant reported by as many as 19 participating agencies.

Coverage of the nonprofit sector in the Federal S&E Support Survey was expanded beginning in the late 1970s to include all types of nonprofit institutions that receive federal R&D funds. Beginning with the FY 2004 detailed statistical tables, the nonprofit sector tables are no longer available by specific nonprofit type.

Consortia

Consortia are organizations formed by the membership of a number of institutions from one or more types of performers (e.g., academic, nonprofit) in order to promote and support efforts to enhance knowledge in one or more science or engineering disciplines. NSF has identified several consortia and classified them as either academic or nonprofit types based on the predominance of their membership at the time of identification.

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Data Comparability With Other Surveys by the National Center for Science and Engineering Statistics

Federal Funds for Research and Development

Data presented here on R&D and R&D plant by agency sometimes differ significantly from similar data presented in the annual NSF Survey of Federal Funds for Research and Development (Federal Funds Survey). Much of the difference lies in the two surveys' treatment of interagency transfers. Interagency transfers of funds obligated to an academic or nonprofit institution are reported here by the agency that actually obligates the funds to the receiving institution. In the Federal Funds Survey, however, obligations are reported by the agency in which the funds originated.

Other differences between the data compiled by the two surveys stem from the following factors:

Agencies involved: In the present survey, data are reported by as many as 19 federal agencies on their S&E obligations to institutions of higher education; these agencies together obligate virtually all federal support to academic R&D. For the Federal Funds Survey, budget data on R&D and R&D plant are gathered from the 28 federal agencies with such programs.

Scope of information: Data collected in the Federal S&E Support Survey pertain only to individual academic and nonprofit institutions. Those collected in the Federal Funds Survey relate to all types of performers. Furthermore, the Federal Funds Survey provides detailed data on the character of work (basic research, applied research, and development); data from the Federal S&E Support Survey are not comparably disaggregated.

Data sources: The two surveys rely on different sources of data and different methods of data collection. For example, data for the Federal S&E Support Survey are generally processed from award files; Federal Funds Survey data are often derived from agency budget documents.

Preparer interpretations: Several agencies rely on personnel from separate internal offices to respond to the two surveys. These respondents may differ in their interpretation of survey questions. The National Institutes of Health, for example, reports Minority Biomedical Support Grants under "general support for science and engineering" in the Federal S&E Support Survey, but under "research and development" in the Federal Funds Survey.

National Patterns of R&D Resources

NSF publishes one other report related to federal R&D funding, National Patterns of R&D Resources. This report provides statistics on U.S. R&D expenditures categorized by provider of funds (federal government, nonfederal government, industry, academia, and nonprofit institutions), type of performer (federal government, industry, academia, nonprofit institutions, and FFRDCs), and character of work (basic research, applied research, and development). In the report, R&D expenditure levels from federal sources are based on performer-reported surveys, which differ from federal R&D funding totals reported by the federal agencies that provide those funds. The difference in the federal R&D totals appears to be concentrated in the funding of industry R&D by DOD.

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Data Availability

Data published in this report are also available on the World Wide Web at http://www.nsf.gov/statistics/fedsupport/. Information on file formats and the years for which they are available can be found at http://www.nsf.gov/statistics/srvyfedsupport/.

Institutional Profiles

Selected data items for individual doctorate-granting institutions and schools with S&E departments that grant a master's degree are available in institutional profiles at http://www.nsf.gov/statistics/profiles/. An institutional profile consists of data not only from this survey but from NSF's other two academic S&E surveys: the Survey of Research and Development Expenditures at Universities and Colleges (Academic R&D Expenditures Survey) and NSF-NIH Survey of Graduate Students and Postdoctorates in Science and Engineering (Graduate Student Survey).

WebCASPAR

Researchers can also obtain data from several academic S&E resources through the Web-Based Computer-Aided Science Policy Analysis and Research (WebCASPAR) database system, which provides quick and convenient access to a wide range of statistical data focusing on U.S. universities and colleges and their S&E resources.

WebCASPAR provides an extensive and growing data library with multiyear statistics on the state of higher education in general and on academic S&E resources specifically. This data library is based on a set of standard institutional and field-of-science definitions across the multiple sources used to develop the database. The WebCASPAR program includes built-in help capabilities to facilitate the use and interpretation of the data.

WebCASPAR data are drawn from a number of sources. All data are available for individual institutions by state and at the national level. Longitudinal data from surveys of universities and colleges conducted by NSF's National Center for Science and Engineering Statistics include the Federal S&E Support Survey, Academic R&D Expenditures Survey, Federal Funds Survey, Survey of Earned Doctorates, and Graduate Student Survey. Data from the Integrated Postsecondary Education Data System conducted by the National Center for Education Statistics are also included. Data from other sources include the National Research Council's assessment of research doctorate programs.

WebCASPAR can be accessed via the World Wide Web at http://ncsesdata.nsf.gov/webcaspar/.

Accurate Historical Data

To obtain accurate historical data, use only the latest detailed statistical tables (covering FY 2006) and not data published earlier. Data presented in trend tables in this report are assembled from the most recently completed survey cycle. Data for prior years are reviewed for consistency with current-year responses and, when necessary, are revised in consultation with agencies and/or institutions. For that reason, references to prior-year data should be restricted to those published in this document.

 
Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions: FY 2006
Detailed Statistical Tables | NSF 12-302 | January 2012