Glossary


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Academic Institutions TOP

Academic institutions are universities and colleges of higher education in the United States and outlying areas. Federally funded research and development centers (FFRDCs) are not considered to be academic institutions. A complete list of FY 1995 surveyed academic institutions is available.

Automated Survey Questionnaire (ASQ) TOP

The Automated Survey Questionnaire (ASQ) is a front-end database that allows respondents to complete the R&D Expenditures Survey by computer rather than by hand. ASQ provides respondents with the opportunity to edit data for both arithmetic errors and trend warnings before returning the survey to NSF. The diskette mailed to respondents includes, along with the ASQ program, a complete set of survey instructions and all data from the institution's previous year response.

In FY 1995, 265 institutions (56.5%) completed the survey using ASQ.

Certainty stratum TOP

This survey is conducted through a full population survey every five years and sample surveys during the intervening four years. All institutions in the certainty stratum are surveyed every year. Only 25 percent of institutions in the probability stratum are surveyed during sample surveys. Institutions in the certainty stratum are grouped into four categories: (1) doctorate-granting institutions, (2) selected university system schools, (3) historically black colleges and universities, and (4) academically administered federally-funded research and development centers. A complete description of the certainty stratum categories is available in the Methodology Report.

Current fund research equipment expenditures TOP

Current fund research equipment expenditures are that portion of current fund separately budgeted research and development (R&D) expenditures that went towards the purchase of research equipment. This includes all research equipment purchased under sponsored research project awards from current fund accounts.

Current funds are expenditures of funds available for current operations. Such expenditures include all unrestricted gifts and restricted current funds to the extent that such funds were expended for current operating purposes.

Current fund separately budgeted research and development (R&D) expenditures TOP

Separately budgeted research and development (R&D) expenditures include all funds expended for activities specifically organized to produce research outcomes and commissioned by an agency either external to the institution or separately budgeted by a unit of the organization. Included are expenditures for research equipment purchased under research project awards from current fund accounts. Also included are research funds for which an outside organization, educational or other, is a subrecipient. Excluded are training grants, public service grants, demonstration grants, and departmental research expenditures that are not separately budgeted. Also excluded are any R&D expenditures in the fields of education, law, humanities, music, the arts, physical education, library science, as well as other non-science fields.

Current funds are expenditures of funds available for current operations. Such expenditures include all unrestricted gifts and restricted current funds to the extent that such funds were expended for current operating purposes.

Division of Science Resources Studies (SRS) TOP

The Division of Science Resources Studies (SRS), part of the National Science Foundation's Directorate for Social, Behavioral, and Economic Science, gathers and analyzes data on science and engineering (S&E) resources in each sector of the economy and at national and international levels. Decisions by Federal and State agencies, industry, and academic officials on the allocation of resources are often based on data collected by SRS.

Doctorate-granting TOP

For this survey, only those colleges and universities that grant a doctoral degree or currently have a doctoral program in an S&E field are classified as doctorate-granting institutions. NSF's complete list of S&E fields is available.

Federal Interagency Committee on Education (FICE) codes TOP

FICE codes are assigned by the Department of Education and are used as the primary identifier for each academic institution and FFRDC in the R&D expenditures survey. A FICE code consists of an unstructured 6-digit number that is unique for each institution, plus a check digit to ensure accuracy in code transfers.

Federally funded research and development centers (FFRDCs) TOP

The R&D expenditures survey currently surveys 18 federally funded research and development centers (FFRDCs). To qualify, an FFRDC must be engaged in basic or applied research, development, or management of R&D activities, and the results of these activities must be directly monitored by the Federal Government--usually a single agency--in a relationship expected to be maintained on a long-term basis. The center must be operated, managed, and administered by either a university or consortium of universities as an autonomous organization or as an identifiable separate operating unit of its parent institution. Finally, 70 percent or more of the center's financial support must be received from the Federal Government. A complete list of FFRDCs is available.

Fiscal year TOP

Fiscal year refers to the month-to-month financial year as used by each surveyed institution or system rather than the fiscal year followed by the Federal government. The month in which a fiscal year begins may vary from institution to institution.

Full population survey TOP

Every five years, the R&D expenditures survey is conducted as a full population survey where all institutions are surveyed (as opposed to a sample survey which is conducted in the intervening four years). During a full population survey, all institutions in both the certainty and probability categories are surveyed.

Historically black colleges and universities (HBCUs) TOP

Historically black colleges and universities (HBCUs) are institutions of higher education that have been historically considered to enroll predominantly black students. An official list of HBCUs is maintained by the Department of Education. This list, which is reviewed annually, serves as the basis by which institutions are considered to have HBCU standing. Sixty-five HBCUs were surveyed in FY 1995.

Imputation TOP

Imputation refers to the method used to estimate data for nonresponding institutions. For a more complete description of imputation, refer to the Methodology Report on the R&D expenditures survey.

Institutional profiles TOP

Selected data items for individual doctorate-granting, master's-granting, and historically black colleges and universities (HBCUs) are available on computer-generated institutional profiles, which consist of data for the R&D expenditures survey, the Survey of Graduate Students and Postdoctorates in Science and Engineering, and the Survey of Federal Support to Universities, Colleges, and Nonprofit Institutions. Institutional profiles for an institution or limited group of institutions may be requested by contacting Mr. Richard J. Bennof of SRS at (703) 306-1772 (rbennof@nsf.gov).

Probability stratum TOP

This survey is conducted through full population surveys every five years and sample surveys during the intervening four years. All institutions in the certainty stratum are surveyed every year. Only 25 percent of institutions in the probability stratum are surveyed during sample survey years. Institutions fall into the probability stratum when they do not qualify for the certainty stratum (i.e., the institutions are not doctorate-granting, selected university campus systems, historically black colleges or universities, or academically administered federally funded research and development centers). A complete description of the probability stratum category is available in the Methodology Report.

Sample survey TOP

Every four out of five years, the R&D expenditures survey is conducted as a sample survey where only 25 percent of institutions in the probability category and all institutions in the certainty category are surveyed (as opposed to a full population survey which is conducted every fifth year and all institutions in the certainty and probability categories are surveyed). Data for institutions not sampled during a sample survey year are estimated through imputation.

Science and engineering (S&E) fields TOP

For the R&D expenditures survey, science and engineering (S&E) refers to disciplines in the fields of: Engineering; Physical Sciences; Mathematics; Computer Sciences; Life Sciences; Psychology; and Social Sciences. A list of S&E fields and discipline names is available.

Source of funds TOP

Item 1 of the survey collects the amount of current fund separately budgeted R&D expenditures in the sciences and engineering (S&E) by its original funding entity. Sources of funding are separated into five major sources: (1) the Federal Government, (2) state and local governments, (3) industry, (4) institution funds, and (5) all other sources. Survey item 1 and its instructions are available.

Survey universe TOP

A survey universe consists of all institutions in the survey population in any given year. All institutions are included, regardless of whether all or only a sample of institutions were surveyed during the current year. The mention of a sample survey or sample survey population indicates that not all institutions--only a selected group--were surveyed during a given year.

Top 100 institutions TOP

Top 100 institutions refers to the 100 institutions in the latest survey year with the largest amount of total R&D expenditures.


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