The Survey of Science and Engineering Research Facilities is a congressionally mandated, biennial survey that collects data on the amount, construction, repair, renovation, and funding of research facilities at U.S. colleges and universities.
The Survey of Science and Engineering Research Facilities is an establishment-based survey completed by institutional coordinators at academic institutions and is a census of all research-performing colleges and universities in the United States that expended at least $1 million in research and development funds in the prior fiscal year.
The FY 2021 survey was conducted by Westat under contract to the National Center for Science and Engineering Statistics (NCSES).
Status | Active |
---|---|
Frequency | Biennial |
Reference Period | FY 2021 |
Next Release Date | December 2024 |
The Survey of Science and Engineering Research Facilities is a congressionally mandated survey. It is the primary source of information on the amount and cost of space at science and engineering (S&E) research facilities located at U.S. research-performing colleges and universities. The survey is the basis of public data used by Congress, higher education associations, state governments, academia, and architectural and engineering firms.
Biennial.
1986
FY 2021
Establishments. U.S. academic institutions reporting at least $1 million in R&D expenditures in the Higher Education Research and Development (HERD) Survey.
Census.
A total of 584 institutions in FY 2021.
Not applicable
Key variables of interest are listed below.
Research-performing colleges and universities in the United States with $1 million or more in R&D expenditures in S&E in the prior fiscal year.
This survey is a census. The population is identified through the HERD Survey of the previous fiscal year. In the FY 2021 survey cycle, there were 584 academic institutions, of which 568 (97%) responded.
All eligible units are surveyed.
The FY 2021 survey was conducted by Westat under contract to the National Center for Science and Engineering Statistics (NCSES). Surveys are distributed to institutional coordinators at each institution. These coordinators are individuals knowledgeable about the requested information who collect the responses from various offices and complete the survey. The data collection period was October 2021 through May 2022.
Several procedures were used to clean and edit the data. For example, the Web survey contained numerous programmed edit checks that alerted respondents to inconsistent or missing data via edit messages. These included alerting respondents if their individual data did not sum to the total. Also, once respondents submitted their final data, a second set of edit checks was conducted. Finally, comparisons were made between an institution’s FY 2021 data and the data from the previous survey. Respondents were contacted regarding any apparently inconsistent, missing, or unclear data.
This survey is a census. Imputation was performed for missing items from nonresponding institutions to make population estimates.
Data missing because of unit nonresponse and item nonresponse were imputed using a regression-model approach with the following predictors: (1) institutional control (private or public), (2) highest degree granted (doctorate or nondoctorate), (3) existence of a medical school, (4) R&D expenditures for the prior fiscal year, and (5) total net assignable square feet (NASF) for the prior fiscal year. In addition to the core predictors, regression models for specific survey items included data from responses to other survey items and the institution’s FY 2019 responses, where available.
This survey is a census, so no sampling error exists.
Coverage is high because institutions meeting the population requirements are identified from the HERD Survey. Institutions were investigated individually to ensure there was no duplication.
The unit nonresponse was 2.7% (16 of 584) for the FY 2021 survey. Item nonresponse ranged from 0% to 3% for all items. Nonresponding institutions (unit nonrespondents) were not included in the item nonresponse calculations.
The most likely source of measurement error results from institutions estimating the requested data. Respondents may estimate their data for several reasons, including estimating data that are not included in the institution’s database or because some figures are estimates by their nature (e.g., out-year budget figures).
Measurement error may also occur because institutions may define their database elements differently from the definitions used on the survey. For example, an institutional database may identify research space based on a primary-use criterion, whereas the survey requests that space be prorated according to all uses. The survey question on the condition of research space is a subjective question that may be rated differently across respondents.
Survey data are compiled for the defined fiscal year, the preceding fiscal year, and planned activities for 2 succeeding fiscal years.
This survey was first conducted in 1986. Small improvements were made to the survey questions over time. Although data comparability was generally not affected, any specific impact is accounted for in the technical notes for each survey. The FY 2001 survey was very limited and composed of only two questions that corresponded to questions in the prior survey cycles.
The questionnaire was extensively redesigned for implementation in the FY 2003 survey. A comprehensive description of the redesigned survey can be found in Redesign of Survey of Science and Engineering Research Facilities: 2003. To the extent possible, the FY 2003 survey was redesigned for comparability over time.
Questions were added on computing and networking capacity beginning with the FY 2003 survey cycle. Following each survey cycle, the computing and networking capacity questions in Part 2 of the survey were evaluated for current relevance and updates in technology. The computing and networking capacity questionnaire was discontinued prior to the FY 2015 survey cycle after an in-depth investigation concluded that it was no longer feasible, appropriate, or cost-effective to proceed with collection of these data.
Changes were made to the fields of S&E and to the lists of disciplines included in the fields for the FY 2007, FY 2015, FY 2017, and FY 2021 surveys to better coordinate field totals in national academic surveys. The changes for FY 2007 were extensive enough that comparisons with pre-2007 data at the S&E field level are not advised. S&E field-level data are comparable for 2007 to the present.
Detailed tabular data from this survey are published biennially in the series Science and Engineering Research Facilities. Information from this survey is also included in Science and Engineering Indicators.
Microdata beginning with the FY 2007 survey are available in NCSES data tools. Public use files beginning with FY 2003 are available at https://www.nsf.gov/statistics/srvyfacilities/pub_data.cfm. Due to a confidentiality pledge, microdata from this survey for years 1988 through 2001 are not available.
Purpose. Data are collected biennially through the congressionally mandated Survey of Science and Engineering Research Facilities (Facilities Survey) from the National Center for Science and Engineering Statistics (NCSES) within the National Science Foundation (NSF). The survey originated in 1986 in response to the U.S. Congress’s concern about the state of research facilities at the nation’s colleges and universities. NSF’s 1984 reauthorization legislation, P.L. 99-159, mandated a data collection and analytic system to identify and assess the research facilities needs of academic institutions.
Data collection authority. The information is solicited under the authority of the National Science Foundation Act of 1950, as amended, and the America COMPETES Reauthorization Act of 2010. The Office of Management and Budget control number is 3145-0101, expiring on 31 August 2022.
Survey contractor. Westat.
Survey sponsor. The Facilities Survey is sponsored by NCSES within NSF.
Frequency. Biennial.
Initial survey year. 1986.
Reference period. FY 2021.
Response unit. Establishments.
Sample or census. Census.
Population size. A total of 584 in FY 2021.
Sample size. Not applicable.
Target population. The FY 2021 population consisted of 584 research-performing academic institutions in the United States. Research-performing academic institutions were defined as colleges and universities with $1 million or more in research and experimental development expenditures in science and engineering (S&E), as determined by the FY 2020 Higher Education Research and Development (HERD) Survey from NCSES. Military institutions, U.S. Department of Veterans Affairs (VA) institutions, and federally funded research and development centers (FFRDCs) were excluded.
Sampling frame. This survey is a census. The population is identified through the HERD Survey of the previous fiscal year.
Sample design. All eligible units are surveyed.
Data collection. The FY 2021 survey was conducted by Westat under contract to NCSES. Surveys are distributed to coordinators at each institution. These institutional coordinators are individuals who are knowledgeable about the requested information and who collect the responses from various offices and complete the survey. The data collection period was October 2021 through May 2022.
Mode. Respondents could choose to respond to the survey through printing a PDF questionnaire from the Web and submitting a paper survey or by using the Web-based data collection system. Less than 1% of surveys were submitted on paper.
Response rates. See “Survey Quality Measures” below for unit and item response rates.
Data editing. Several procedures were used to clean and edit the data. For example, the Web survey contained numerous programmed edit checks that alerted respondents to inconsistent or missing data via edit messages. These included alerting respondents if their individual data did not sum to the total. Also, once respondents submitted their final data, a second set of edit checks was conducted. Finally, comparisons were made between an institution’s FY 2021 data and data from the previous survey. Respondents were contacted regarding any apparently inconsistent, missing, or unclear data.
Imputation. Imputation was used to account for unit and item nonresponse. Data reported in Science and Engineering Research Facilities: Fiscal Year 2021 are imputed, except for the data on shared space and the condition of research space.
For most research space questions, a series of logistic regression models and linear regression models were developed and used to impute values for missing item data for institutions that responded to the survey, as well as for all items for nonresponding institutions. The predicted values from these models were used to impute for the missing responses.
A set of core predictors was used for imputing most items. The core predictors were institutional control (public or private), highest degree granted (doctorate or nondoctorate), existence of a medical school, FY 2020 total R&D expenditures (overall), and total FY 2020 net assignable square feet (NASF) of S&E research space. In addition to the core predictors, regression models for specific survey items included data from responses to other survey items and the institution’s FY 2019 responses, where available.
The imputation rates ranged from 0.0% to 4.46%. The imputation rate for each survey item was calculated as the number of imputed cases divided by the number of institution surveys or projects that are eligible for the item. Imputation was conducted for unit nonresponse, which can impact imputation rates for items with low eligibility.
Weighting. No weighting procedures were employed for FY 2021. Weights were used to account for unit nonresponse through FY 2011. Since FY 2013, imputation has been conducted for unit nonresponse, which simplifies the presentation of national totals in the various data files.
Variance estimation. Not applicable.
Sampling error. Not applicable.
Coverage error. No known coverage error because a complete list of eligible institutions meeting the population requirements was identified from the HERD Survey. Institutions were investigated individually to ensure there was no duplication.
Nonresponse error. The unit nonresponse was 2.7% (16 of 584) for the FY 2021 survey. Item nonresponse ranged from 0% to 3% for all items. Nonresponding institutions (unit nonrespondents) were not included in the item nonresponse calculations.
Imputation was used to mitigate the error from item and unit nonresponses.
Measurement error. The most likely source of measurement error results from institutions estimating the requested data. Respondents may estimate their data for several reasons, including estimating data that are not included in the institution’s database or because some figures are estimates by their nature (e.g., out-year budget figures).
Measurement error may also occur because institutions may define their database elements differently from the definitions used on the survey. For example, an institutional database may identify research space based on a primary-use criterion, whereas the survey requests that space be prorated according to all uses. The survey question on the condition of research space is a subjective question that may be rated differently across respondents.
Changes in survey coverage and population. No changes.
Changes in questionnaire.
Fields of science and engineering (S&E). Changes have been made to the lists of disciplines included in the fields of S&E to better coordinate field totals in national academic surveys. The fields of S&E that changed names and the disciplines that were moved between fields are listed below:
Changes in reporting procedures or classification. No changes.
Completion costs include planning, site preparation, construction, fixed equipment, nonfixed equipment that costs $1 million or more, and building infrastructure, such as plumbing, lighting, air exchange, and safety systems either in the building or within 5 feet of the building foundation.
Current research program commitments include current faculty and staff (or those to whom offers have been made or grants awarded, regardless of whether research has begun) and programs that have been approved.
Deferred projects are those that (1) are not funded and (2) are not scheduled for FY 2022 or FY 2023. They do not include projects planned for developing new programs or expanding current programs. Deferred projects are limited to only those projects whose prorated cost was estimated to be $250,000 or more for at least one field of S&E.
Gross square feet (GSF) is the floor area of a structure within the outside faces of the exterior walls.
Institutional control is defined for academic institutions as private or public.
Institutional funds and other sources include the following examples: operating funds, endowments, tax-exempt bonds and other debt financing, indirect costs recovered from federal grants or contracts, and private donations.
Medical school is a school that awards a doctor of medicine degree or a doctor of osteopathic medicine degree.
Net assignable square feet (NASF) is the sum of all areas on all floors of a building assigned to, or available to be assigned to, an occupant for a specific use, such as research or instruction. NASF is measured from the inside faces of walls.
New construction is the construction of a new building or additions to an existing building. New construction is limited to only those projects whose prorated cost was estimated to be $250,000 or more for at least one field of S&E.
Repairs and renovations are activities such as fixing up facilities in deteriorated condition, capital improvements on facilities, conversion of facilities, and building out shell (unfinished) space. They include any repairs or renovations to existing space that are performed in combination with new construction projects. They do not include building additions, which are reported in this survey under new construction. Repairs and renovations are limited to only those projects whose prorated cost was estimated to be $250,000 or more for at least one field of S&E.
Research is all research and experimental development (R&D) activities of an institution that are separately accounted for. These R&D activities comprise 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. This research can be funded by an institution, the federal government, a state government, foundations, corporations, or other sources.
Research space is the NASF of space in buildings within which research activities take place. Research facilities are located within buildings. A building is a roofed structure for permanent or temporary shelter of persons, animals, plants, materials, or equipment. Structures should be included if they are (1) attached to a foundation, (2) roofed, (3) serviced by a utility, exclusive of lighting, and (4) a source of significant maintenance and repair activities.
Recommended data tables
This report provides data from the 2021 Survey of Science and Engineering Research Facilities. The congressionally mandated, biennial survey is an establishment-based survey completed by institutional coordinators at academic institutions. It is a census of all research-performing colleges and universities in the United States that expended at least $1 million in research and development (R&D) funds in the prior fiscal year.
The tables provide data on the amount of science and engineering research space at eligible U.S. colleges and universities. Additional data are provided on the condition of facilities; current, planned, and deferred repair and renovation; and current, planned, and deferred construction projects. Selected tables provide information reported by all institutions that participated in the survey.
Michael T. Gibbons of the National Center for Science and Engineering Statistics (NCSES) developed and coordinated this report under the guidance of Gary Anderson, NCSES Acting Program Director, and the leadership of Emilda B. Rivers, NCSES Director; Vipin Arora, NCSES Deputy Director; and John Finamore, NCSES Chief Statistician. Jock Black (NCSES) reviewed the report.
Under contract to NCSES, Westat conducted the survey and prepared the tables. Westat staff members who made significant contributions include Eric Jodts, Project Director; Cindy Gray, Technical Advisor; Feven Negga, Data Quality Manager; Peggy Corp, Data Collection Manager; Erin Dahlberg, Data Products Manager; Rachel Jiang, Database Manager; Weijia Ran, Statistician; and Erin Wiley, Statistician.
NCSES thanks the research-performing academic institutions that provided information for this report.
National Center for Science and Engineering Statistics (NCSES). 2022. Science and Engineering Research Facilities: Fiscal Year 2021. NSF 23-309. Alexandria, VA: National Science Foundation. Available at https://ncses.nsf.gov/pubs/nsf23309/.
For additional information about this survey or the methodology, contact