How much of your total expenditures for separately budgeted research and development (R&D) came from the following sources in FY 2010? See definition of R&D (PDF)

• In rows a, b, c, d, and f: Include both direct and recovered indirect costs (reimbursement of Facilities and Administrative (F&A) costs from external sponsors).
• Report the original source of funds, when possible.
• Include all fields of R&D: sciences, engineering, humanities, education, law, arts, etc. See full listing in Question 9.

How much of the total R&D expenditures reported in Question 1 came from foreign sources?

• Include foreign governments, businesses, universities, nonprofit organizations, and any other entity sending funds to the U.S. from a location outside the U.S. and its territories.
• Projects sponsored by a U.S. location of a foreign company are not considered foreign.
• Include international governmental organizations located in the U.S., such as the United Nations, the World Bank, and the International Monetary Fund.

Of the total R&D expenditures that were externally funded (all sources other than the institutional funds reported in Question 1, row e4), how much was received under each of the following types of agreements?

Of the total R&D expenditures reported in Question 1, row g, how much was expended for R&D projects in your medical school?

Include projects that are assigned to the medical school or to research centers that are organizationally part of the medical school.

	R&D expenditures (Dollars in thousands)
Total R&D expenditures in the university’s medical school	$

Of the total R&D expenditures reported in Question 1, row g, how much was expended for Phase I, Phase II, and Phase III clinical trials with human patients?

Clinical trials are research studies designed to answer specific questions about the effects of drugs, vaccines, medical devices, tests, treatments, and other therapies for patients. Clinical trials are used to determine safety and effectiveness.

For reference, the National Institutes of Health (NIH) categorizes human clinical trials into the following four phases.

Please include:

• Phase I uses a small group of human patients (20–80) to evaluate safety and identify side effects.
• Phase II uses a larger group (100–300) to test effectiveness and further evaluate safety.
• Phase III uses a large group (1,000–3,000) to confirm effectiveness, monitor side effects, compare to commonly used treatments, and collect safety information.

Please exclude:

• Phase IV is a post-market study that collects more information on risks, benefits, and optimal use.

	R&D expenditures (Dollars in thousands)
	(1) Federal	(2) Nonfederal	(3) Total
Human clinical trials Trials with human patients	$	$	$  0

Did you include R&D expenditures for clinical trials in your FY 2009 (previous year's) survey response?

(Check one for each row)	(1) Included	(2) Not included	(3) No FY 2009 trials
a. Federally funded
b. Nonfederally funded

What amounts of your FY 2010 R&D expenditures were for basic research, applied research, and development?

If possible, these categories defining the character of work should be coded at the individual project level by the principal investigator. Estimates are acceptable if necessary.

See the box below this question for examples.

How much of your R&D expenditures reported in Question 1 did your institution receive as a subrecipient?

The subrecipient for an award carries out the work but receives the funds from a pass-through entity rather than directly from the original funding source. See OMB Circular A-133, Section 105 for the federal definition. Subrecipients tend to be the co-authors of publications, writers of technical reports discussing findings, inventors, etc. Do not include vendor relationships. A vendor receives payment for goods and services provided. See OMB Circular A-133, Section 210.

How much of your R&D expenditures reported in Question 1 were passed through by your institution to subrecipients?

Do not include vendor relationships. A vendor receives payment for goods and services provided. See OMB Circular A-133, Section 210.

What were your FY 2010 R&D expenditures in engineering funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

• Question 9 total (page 14, row K, column h) should match Question 1, row a.
• Please click here (PDF) for a list of the agencies and subagencies belonging to each department/agency shown below.
• If an individual project involves more than one of the 36 fields of R&D, please prorate expenditures when possible and report the amount for each field involved.
• For subrecipient funding, report the agency that sponsored the original award.

What were your FY 2010 R&D expenditures in the physical sciences funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

What were your FY 2010 R&D expenditures in the environmental, mathematical, and computer sciences funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

What were your FY 2010 R&D expenditures in the life sciences funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

What were your FY 2010 R&D expenditures in psychology, social sciences, and other sciences funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

What were your FY 2010 R&D expenditures in the non-science and engineering (non-S&E) fields funded by the federal agency sources below? (R&D expenditures from nonfederal sources will be reported in Question 12.)

Of the amount reported for Other federal sources in Question 9 (row K, column g), which agencies funded this R&D and how much of the reported amount was from each agency?

If your institution reported $0 in Question 9, row K, column g, click the box and then click the Save and Go to Next Question button.

• Use rows a–j to list up to 10 agencies that funded the largest R&D expenditures.
• Use row k to report any remaining amount.
• For subrecipient funding in this question, list the sponsor of the original award.
• Click here (PDF) for a list of federal agencies and their subagencies.

How much of the federal R&D expenditures reported in Question 1, row a, was funded by the American Recovery and Reinvestment Act (ARRA)?

	R&D expenditures (Dollars in thousands)
Total R&D expenditures from ARRA funds	$

What were your FY 2010 R&D expenditures in the engineering and physical sciences fields funded by the nonfederal sources below?

• The totals in row K should match the corresponding sources in Question 1, rows b–f.
• If an individual project involves more than one of the 36 fields of R&D, please prorate expenditures when possible and report the amount for each field involved.

What were your FY 2010 R&D expenditures in the R&D fields listed below funded by the nonfederal sources below?

What were your FY 2010 R&D expenditures in the non-science and engineering (non-S&E) fields funded by the nonfederal sources below?

Of the total amount of R&D expenditures reported in Question 1, row g, what were the amounts for the following types of costs?

Please report only direct costs (including cost sharing) in rows a–e.
Recovered and unrecovered indirect costs should be reported in rows f–g.

At the end of FY 2010, what were your institution’s dollar capitalization thresholds (in thousands) for software and equipment?

	Dollars in thousands
	(1) Software	(2) Equipment
Capitalization thresholds	$	$

For the R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment?

Question 15 total (row K, column c) should match Question 13, row c (capitalized equipment).

For the R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment?

For the non-science and engineering (non-S&E) R&D fields below, what portion of your FY 2010 R&D expenditures went for the purchase of capitalized R&D equipment?

How many principal investigators and other personnel (headcount) were paid from the R&D salaries, wages, and fringe benefits you reported in Question 13, row a?

• A principal investigator (PI) is designated by your institution to direct the R&D project or program and be responsible for the scientific and technical direction of the project. Co-investigators (co-PIs) may be designated for this role and should also be included in column 1.
• Count each person only once.
• If a person serves as a PI or co-PI on one project and other personnel on another project, count that person as a PI.
• Include all personnel and students paid from R&D accounts regardless of how much they received.

	(1) Principal investigators	(2) All other personnel	(3) Total
Number of people (headcount)			4,062

Of the headcount reported in Question 16, column 3, how many are categorized as postdocs?

NSF defines postdocs as meeting both of the following qualifications:

• 1. Holds a recent doctoral degree, generally awarded within the last 5 years

  • PhD or equivalent such as an ScD or DEng or
  • First professional degree in a medical or related field (MD, DDS, DO, DVM) or
  • Foreign equivalent to a U.S. doctoral degree

• 2. Has a limited-term appointment, generally no more than 5–7 years

  • Primarily for training in research or scholarship and
  • Working under the supervision of a senior scholar in a unit affiliated with your institution

Number of postdocs (headcount)