National Center for Science and Engineering Statistics

Purpose. The FFRDC Research and Development Survey is conducted by the National Center for Science and Engineering Statistics (NCSES) within the National Science Foundation (NSF). It is the primary source of information on research and development (R&D) expenditures that are separately accounted for at federally funded research and development centers (FFRDCs) in the United States.

Data collection authority. The information is solicited under the authority of the NSF Act of 1950, as amended, and the America COMPETES Reauthorization Act of 2010. The Office of Management and Budget control number for the FY 2022 FFRDC R&D Survey is 3145-0100, with an expiration date of 31 July 2025.

Survey contractor. ICF.

Survey sponsor. NCSES.

Frequency. Annual.

Initial survey year. 2001.

Reference period. FY 2022.

Response unit. Establishment.

Sample or census. Census.

Population size. 42.

Sample size. The survey is a census of all known eligible FFRDCs.

Target population. All FFRDCs.

Sampling frame. The total survey universe is identified through the Master Government List of FFRDCs (https://www.nsf.gov/statistics/ffrdclist/). NSF is responsible for maintaining this list and queries all federal agencies annually to determine any changes to, additions to, or deletions from the list.

Sample design. The FFRDC R&D Survey is a census of all eligible organizations.

Data collection. The FY 2022 survey announcements were sent by e-mail to all FFRDCs in November 2022. The data collection period concluded in April 2023. Respondents could choose to complete a questionnaire downloaded from the Web or use a Web-based data collection system to respond to the survey. Every effort was made to maintain close contact with respondents to preserve the consistency and continuity of the resulting data. Survey data reports were available on the survey website for each FFRDC; these reports showed comparisons between the current year and the 2 prior years of data and noted any substantive disparities.

Respondents using the Web-based data collection system were asked to explain significant differences between current year reporting and past year reporting while completing the questionnaire. Questionnaires were carefully examined by survey staff for completeness upon receipt. Reviews focused on unexplained missing data and explanations provided for changes in reporting patterns. If additional explanations or data revisions were needed, respondents were sent personalized e-mails asking them to provide any necessary revisions before the final processing and tabulation of data. These e-mails included a link to the Web-based collection system, to help respondents review and correct their data.

Respondents were encouraged to correct prior year data, if necessary. When respondents updated or amended figures from past years, NCSES made corresponding changes to trend data in the FY 2022 data tables and to the underlying microdata. For accurate historical data, use only the most recently released data tables.

Mode. Respondents could respond to the survey by completing a PDF questionnaire downloaded from the Web or by using a Web-based data collection system. All FFRDCs submitted data using the Web-based survey.

Response rates. All 42 FFRDCs included on the Master Government List of FFRDCs during the FY 2022 survey cycle completed the key survey questions.

Data editing. The FFRDC R&D Survey was subject to very little editing; respondents were contacted and asked to resolve possible self-reporting issues themselves. Questionnaires were carefully examined by survey staff upon receipt. These reviews focused on unexplained missing data and explanations provided for changes in reporting patterns. If additional explanations or data revisions were needed, respondents were sent personalized e-mail messages asking them to provide any necessary revisions before the final processing and tabulation of data.

Imputation. No data were imputed for FY 2022.

Weighting. FFRDC R&D Survey data were not weighted.

Variance estimation. No variance estimation techniques were used.

Sampling error. Because the FY 2022 survey was a survey distributed to all organizations in the universe, there was no sampling error.

Coverage error. Given the availability of a comprehensive FFRDC list, there is no known coverage error for this survey. FFRDCs are identified through the NSF Master Government List of FFRDCs. NSF is responsible for maintaining the master list and queries all federal agencies annually to determine changes to, additions to, or deletions from the list.

Nonresponse error. Most FFRDCs have incorporated the data needed to complete most of the survey questions into their record-keeping systems. Eleven FFRDCs chose not to complete any of Question 4 (R&D costs), which asks for expenditures by type of cost. Ten of those FFRDCs are managed by private companies for whom salary information is considered proprietary. One FFRDC, which is managed by a university, does not capture direct and indirect costs in their financial system in a way that is reportable on Question 4. Other FFRDCs did not answer all sections of Question 4: two FFRDCs could not provide information on software and equipment expenditures, and one could not provide data on equipment expenditures. One FFRDC did not report its operating budget (Question 5). Eight FFRDCs chose not to complete Question 6, which asks for full-time equivalents and headcounts for R&D staff. Six of those FFRDCs are managed by private companies for whom staffing structure information is considered proprietary. Variables for Questions 4, 5, and 6 are not tabulated and are not included in the public use file.

Measurement error. NCSES discovered during the FY 2011 survey cycle that seven FFRDCs were including capital project expenditures in the R&D totals reported on the survey. Corrections made for the FY 2011 survey cycle lowered total expenditures by $468 million. However, previous years still include an unknown amount of capital expenditures in the total. The amount is estimated to be less than $500 million per year.

Prior to the FY 2011 survey, the five FFRDCs administered by the MITRE Corporation had reported only internally funded R&D expenditures. After discussions with NCSES, these five FFRDCs agreed to report all FY 2011 operating expenditures for R&D and to revise their data for FYs 2008–10.

NCSES discovered during the FY 2013 survey cycle that Los Alamos National Laboratory (LANL) was reporting some expenditures that were not for R&D, as defined by this survey. Corrections made for the FY 2013 survey cycle lowered the laboratory’s total expenditures by $349 million. LANL also was incorrectly reporting that all expenditures were for basic research. In corrections made for FY 2013, LANL reported that $1,554 million (91%) of its total research expenditures was for applied research. LANL data from previous years still include an unknown amount of expenditures that were not for R&D and categorize all expenditures as basic research.

Prior to FY 2014, the Aerospace FFRDC reported only expenditures on internal R&D projects. After discussions with NCSES, the Aerospace Corporation agreed to report all R&D expenditures for FY 2014 and provide revised data to include all R&D expenditures for FYs 2010–13. R&D expenditures increased by more than $800 million each year.

Prior to the FY 2021 collection, NCSES discovered that the Green Bank Observatory had split from the National Radio Astronomy Observatory on 1 October 2016, both retained FFRDC status. For FY 2017–20, R&D expenditures reported for the National Radio Astronomy Observatory, include the expenditures for the Green Bank Observatory. The Green Bank Observatory began reporting separately on the FY 2021 survey.

NCSES discovered during the FY 2022 survey cycle that two FFRDCs, Idaho National Laboratory and Savannah River National Laboratory, were incorrectly classified as industry-administered FFRDCs for select years. Idaho National Laboratory’s industrial firm administrator, Bechtel BWXT Idaho, LLC, was replaced by a nonprofit administrator, Battelle Energy Alliance, LLC, in February 2005. The classification was corrected for FY 2022 and Idaho National Laboratory’s FYs 2005–21 data were reclassified as coming from a nonprofit-administered FFRDC. Savannah River National Laboratory’s industrial firm administrator, Savannah River Nuclear Solutions, LLC, was replaced by a nonprofit administrator, Battelle Savannah River Alliance, LLC, in December 2020. The classification was corrected for FY 2022 and Savannah River National Laboratory’s FY 2021 data were reclassified as coming from a nonprofit-administered FFRDC.

Annual data are available for FYs 2001–22. When the review for consistency between each year’s data and submissions in prior years reveals discrepancies, it is sometimes necessary to modify prior year data. For accurate historical data, use only the most recently released data tables. Individuals wishing to analyze trends other than those in the most recent NCSES publication are encouraged to contact the Survey Manager for more information about the comparability of data over time.

Changes in survey coverage and population. Most years, there are some changes to the FFRDC population that may affect trend analyses. FFRDCs have been created, decertified, renamed, or restructured, as described below:

• On 20 December 2006, the National Biodefense Analysis and Countermeasure Center was created.
• Prior to FY 2009, the Center for Enterprise Modernization was listed as the Internal Revenue Service FFRDC.
• On 5 March 2009, the Homeland Security Studies and Analysis Institute and the Homeland Security Systems Engineering and Development Institute were created. These new FFRDCs replaced the Homeland Security Institute.
• On 1 October 2009, the National Solar Observatory split from the National Optical Astronomy Observatory, with both retaining their FFRDC status.
• On 2 September 2010, the Judiciary Engineering and Modernization Center was created.
• Prior to FY 2011, the National Security Engineering Center was listed as C3I FFRDC.
• On 1 October 2011, the National Astronomy and Ionosphere Center was decertified as an FFRDC.
• Prior to FY 2012, the Frederick National Laboratory for Cancer Research was listed as the National Cancer Institute at Frederick.
• On 27 September 2012, the Centers for Medicare and Medicaid Services FFRDC was created. On 15 August 2013, its name was changed to the CMS Alliance to Modernize Healthcare.
• Prior to FY 2013, the Systems and Analyses Center was listed as the Studies and Analyses Center.
• On 19 September 2014, the National Cybersecurity Center of Excellence was created.
• On 15 September 2016, the Homeland Security Operational Analysis Center was created.
• On 1 October 2016, Green Bank Observatory was split out from the National Radio Astronomy Observatory, both retained FFRDC status.
• The Homeland Security Studies and Analysis Institute was phased out on 31 October 2016.
• In June 2020, the National Optical Astronomy Observatory changed its name to NSF’s National Optical-Infrared Astronomy Research Laboratory or NSF’s NOIRLab.
• The Judiciary Engineering and Modernization Center was decertified as an FFRDC in January 2021.

Changes in questionnaire. FFRDCs are asked to provide R&D expenditures by source of funding and type of R&D. In FY 2016, NCSES added a question asking for R&D expenditures funded by seven specific federal agencies. In FY 2019, NCSES added a question asking which federal agencies not specifically listed in the previous question funded the expenditures. In FY 2022, NCSES added a question (Question 6) asking for full-time equivalents (FTEs) and headcounts for personnel by R&D function.

Changes in reporting procedures or classification. The FFRDC R&D Survey has been conducted annually for university-administered FFRDCs since FY 1953 and for all FFRDCs since FY 2001.

• Federal agency. Any agency of the United States government. Expenditures were reported by seven specific agencies (Department of Defense; Department of Energy; Department of Health and Human Services, including the National Institutes of Health; Department of Homeland Security; Department of Transportation; National Aeronautics and Space Administration; and the National Science Foundation). FFRDCs listed up to ten other agencies with corresponding expenditure amounts.
• Fiscal year. FFRDC’s financial year.
• Full-time equivalent. Calculated as the total working effort spent on research during the fiscal year divided by the total effort representing a full-time schedule within the same period.
• Headcount. The number of personnel paid from R&D accounts during the fiscal year.
• Research and development (R&D). R&D activity is creative and systematic work undertaken to increase the stock of knowledge—including knowledge of humankind, culture, and society—and to devise new applications of available knowledge. R&D covers three activities: basic research, applied research, and experimental development. R&D does not include outreach, non-research training programs, capital projects (i.e., construction or renovation of research facilities), routine testing, or policy development.
• R&D expenditures. Expenditures for R&D activities from the organization’s current operating funds that were separately accounted for. For the purposes of the survey, R&D includes expenditures from funds designated for research. Expenditures come from internal or external funding and include recovered and unrecovered indirect costs. Funds passed through to subrecipient organizations are also included.
• R&D functions:
• Researchers. Professionals engaged in the conception or creation of new knowledge, products, processes, methods, and systems and in the management of the projects concerned. Researchers contribute more to the creative aspects of R&D, whereas technicians provide technical support.
• R&D technicians. Persons whose main tasks require technical knowledge and experience in one or more fields of science or engineering, but who contribute to R&D by performing technical tasks such as computer programming, data analysis, ensuring accurate testing, operating lab equipment, and preparing and processing samples under the supervision of researchers.
• R&D support staff. Employees not directly involved with the conduct of a research project but support the researchers and technicians. These employees might include clerical staff, financial and personnel administrators, report writers, patent agents, safety trainers, equipment specialists, and other related employees.
• Source of funds:
• U.S. federal government. Any agency of the U.S. government. Federal funds that were passed through to the reporting organization to another organization were included.
• State and local government. Any state, county, municipality, or other local government entity in the United States, including state health agencies.
• Business. Domestic or foreign for-profit organizations. Funds from a company’s nonprofit foundation were not reported here; they were reported under Nonprofit organizations.
• Nonprofit organizations. Domestic or foreign nonprofit foundations and organizations. Funds from universities and colleges were not reported here; they were reported in All other sources.
• All other sources. Sources not reported in other categories, such as funds from foreign governments and foreign or U.S. universities.
• Total operating budget. Total executed operating budget excluding capital construction costs.
• Type of cost. R&D expenditures were reported in the following categories:
• Salaries, wages, and fringe benefits. Includes compensation for all R&D personnel, whether full time or part time, temporary or permanent, including salaries, wages, and fringe benefits paid from organization funds and from external support.
• Software purchases. Includes payments for all software, both purchases of software packages and license fees for systems.
• Equipment. Includes payments for movable equipment, including ancillary costs such as delivery and setup.
• Subcontracts. Payments to subcontractors or subrecipients for services on R&D projects.
• Other direct costs. Other costs that did not fit into one of the above categories, including (but not limited to) travel, computer usage fees, and supplies.
• Indirect costs. Includes all indirect costs (overhead) associated with R&D projects.
• Type of R&D. R&D expenditures were reported in the following categories:
• 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.
• Applied research. Original investigation undertaken to acquire new knowledge. It is directed primarily toward a specific, practical aim or objective.
• 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.