Survey Materials

FY 1994 Optional Item 1

Contents

• Optional Item 1 Introduction
• Instructions for Item 1A
• Item 1A
• Item 1B

Optional Item 1 Introduction

This year the National Science Foundation is evaluating a proposed revisionto Item 1 of its Survey of Scientific andEngineering Expenditures at Universities and Colleges (R&D Expenditures Survey).This revision may become part of the general survey instrument in FY 1995. In accordance with agreements concerning the R&D Expenditures Survey, the revised version is being included as an optional item with the FY 1994 survey. This will allow universities and colleges an opportunity to prepare for and comment on the change in items.

To help NSF better evaluate the implications of this revision, pleasecomplete the unshaded portion of the optional item printed below (ITEM 1A). It is not necessary to duplicate your FY 1994 data previously entered on your survey form NSF 411 for ITEM 1 EXCEPT for d., institution funds, lines 1160, 1161, and 1162. In addition, please complete ITEM 1B on the reverse side of this page. These data will NOT be published or available on any basis to the public; they will be used only for internal analytic purposes. NSF would appreciate your comments about reporting in the optional format as opposed to the survey format.

Please read the instructions on the reverse side of this page before completingthe optional item. Thank you for your continued efforts in providing timelyand meaningful statistics to NSF.

Questions on optional item 1 can be directed to Marge Machen of NSF at (703)306-1772.

Instructions for Item 1A

INCLUDE research equipment purchased under research project awards from"current fund" accounts. Also INCLUDE research funds for which an outsideorganization, educational or other, is a subrecipient. EXCLUDE training grants,public service grants, demonstration projects, and departmental researchexpenditures which are not separately budgeted. Also, EXCLUDE any R&Dexpenditures in the fields of education, law, humanities, music, the arts,physical education, library science, and all other non-science fields. Allocatefunding to the original sources whenever possible, as specified below. If thisinformation is unknown, report the proximate funding source.

Column (1): Total

a. FEDERAL GOVERNMENT (line 1110).

Report awards for R&D (including direct and reimbursed indirect costs) by all agencies of the Federal Government.

Include funds for R&D (including direct and reimbursed indirect costs) from State,county, municipal, and other local governments and their agencies. Include hereState funds which support R&D at agricultural and other experimentstations.

Include all awards for R&D (includingdirect and reimbursed indirect costs) from profit-making organizations, whetherengaged in production, distribution, research, service, or other activities. Donot include awards from nonprofit foundations financed by industry; theseshould be reported under "All other sources" (line 1175).

Report funds, including related indirect costs,that your institution spent for R&D activities from the following unrestricted sources: (1) general-purpose State or local government appropriations; (2)general-purpose awards from industry, foundations, or other outside sources;(3) tuition and fees; (4) endowment income; (5) gifts; and (6) otherinstitutional funds.

In addition, estimate your institution's unreimbursed indirect costsassociated with externally funded R&D projects, including mandatory andvoluntary cost sharing. To estimate unreimbursed indirect costs, use yournegotiated research indirect cost rate(s) multiplied by the correspondingbase(s) minus actual indirect cost recovery.

Include awards for R&D (including directand reimbursed indirect costs) from nonprofit foundations and voluntary health agencies as well as from all other sources not listed elsewhere. Funds from foundations which are affiliated with, or awarded solely to your institution, should be included under line 1160, "Institution funds." Funds for R&D received from a health agency which is a unitof a State or local government should be reported under "State and local governments" (line 1125). Also include gifts from individuals which were restricted by the donor to research.

Distinguish the percent of Federal R&D which is basic (rather than applied)research and the percent of total R&D which is basic research, as defined inColumn (2) on the reverse.

Item 1A

Item 1B

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