L NOTES FOR 1989Word格式文档下载.docx

1、All companiesforeign and domestic as well as those privately heldthat perform R&D in the United States are included or represented in survey data.The industry R&D survey does not cover trade associations. Although their primary mission is to serve industry, these associations are established as nonp

2、rofit organizations, and it is estimated that their R&D expenditures are less than 1 percent of the industry R&D total.It is an enterprise- rather than an establishment-based survey. Therefore all R&D data for each enterprise are reported in the major Standard Industrial Classification （SIC） code of

3、 the firm. Data are aggregated in this manner for all tables in this report.Data are based on probability samples selected about every five years. In intervening years, a subset of the last sample, called a “panel,” is used. The latest probability sample was selected and first used for survey year 1

4、987.Census staff conduct the survey under Title 13 of the U.S. Code, which prohibits publication or release of data that may reveal information about individual companies. Therefore, on some tables of this report, the symbol “（D）” is used as a footnote reference to indicate that data are being withh

5、eld to avoid possible disclosure of information about operations of individual companies.TECHNICAL NOTESINTRODUCTIONThe Survey of Research and Development in Industry provides national estimates of the total expenditures on R&D performed within the United States by industrial firms, whether U.S. or

6、foreignowned. It is a sample survey in which it is intended that all R&Dperforming companies, including privatelyheld firms, are included or represented. All companies that are identified in the sample year as annually spending more than $1 million on R&D in the United states receive a survey form e

7、very year. Information from individual companies in the sample is used to develop national estimates on an industrybyindustry basis.NSF has been sponsoring a survey of industrial R&D since 1953. The 1989 Survey of Research and Development in Industry is the 33rd in the annual series sponsored by NSF

8、 and conducted since 1957 by Census. NSFs Division of Science Resources Studies monitors the survey. NSF also sponsored two industrial R&D surveys covering the 195356 period that were conducted by the Bureau of Labor Statistics （BLS）, Department of Labor. Data obtained in the earlier BLS surveys are

9、 not directly comparable with Census figures for 195788 because of methodological and other differences in the surveys.Respondents receive detailed definitions to help them determine which expenses to include or exclude from the R&D data they provide. Nevertheless, the statistics presented in this r

10、eport are subject to response and concept errors caused by different respondent interpretations of the definitions of R&D activities and by variations in company accounting procedures. Consequently, the data are better indicators of changes in, rather than absolute levels of, R&D spending and person

11、nel. Data quality has improved substantially since the first industry R&D survey was undertaken, mainly because respondents have adopted more accurate and sophisticated accounting procedures over the years.The surveys primary focus is on U.S. industry as a performer of, rather than as a source of fu

12、nds for, R&D. Thus, data on Federal support of R&D activities performed by industry are collected and appear in several tables, but data on industrial funding of R&D undertaken at universities and colleges and other nonprofit organizations are not included in the major tables.The survey data provide

13、 （1） national estimates of total R&D performed by industry in the United States; （2） the portion of the effort that is financed by U.S. Government funds; and （3） the amount financed by the companies themselves or by other nonFederal sources such as state and local governments or other industrial fir

14、ms （see chart 1）. Also included are data on both the number of employees and the number of R&Dperforming scientists and engineers at the firm, as well as on the domestic net sales for the company, and on the total funds for R&D financed by the domestic firm but performed outside the United States.Th

15、e scope of the survey has been expanded and refined over the years in response to an increasing policy need for more detailed information on the Nations R&D effort. For example, questions on energy R&D were added in the early seventies following the first oilshortage crisis. On the other hand, the f

16、requency of collection of certain data items has been reduced in an attempt to alleviate some of the respondent burden that has been placed on industry from all sources in recent years. The detailed questionnaire is now mailed only in oddnumbered years; abbreviated survey forms containing only the m

17、ost crucial data elements are sent to respondents in the intervening, evennumbered years. The shortened survey form was used for the first time to collect industrial R&D data for 1978. Both long and short survey forms are called RD1. This report provides data collected from the long form that covers

18、 1989 data.Questions appearing only biennially on the long form request detail on such areas as the following: R&D by product field, company expenditures for R&D projects that were contracted to outside organizations rather than performed inhouse, Federal R&D support to the firm by contracting agenc

19、y, R&D expenditures by geographic area, and some detailed data on energy and pollution-abatement R&D activities.METHODOLOGY OF SURVEYData on industry funding of R&D performed at universities and colleges are collected in the annual Survey of Scientific and Engineering Expenditures at Universities an

20、d colleges. More information about this survey is available from the Science and Engineering Activities Program of NSFs Division of Science Resources Studies.OverviewData in this survey are based on a sample of industrial firms, selected approximately every five years （e.g., 1976, 1981, 1987）. In in

21、tervening years only a subset of the sample, or “panel,” receives annual survey forms （for a complete discussion, see The Annual Panel） and Census makes estimates for the changes in R&D for the firms not canvassed annually. The sampling unit for this survey is the enterprise, or company, defined as

22、a business organization consisting of one or more establishments under common ownership or control. The 1989 data in this publication are based on responses from a panel derived from the sample selected and first used for survey year 1987. （The previous sample was selected for the 1981 survey and th

23、e panel was used in subsequent annual surveys until 1987.）The sampling frame from which the sample was drawn includes companies in all manufacturing industries and, on the basis of earlier samples, a select number of nonmanufacturing industries known to conduct R&D.The Standard Statistical Establish

24、ment List （SSEL）, a Census compilation that contains information on 3.5 million to 4.0 million establishments, was the universe frame used to select the 1987 sampling frame. Where necessary for multiestablishment companies, Census summed establishmentlevel data to the company level, and then assigne

25、d a single Standard Industrial Classification （SIC） code to that firmthe SIC code of the establishments） having the highest dollarvalue of payroll.The weight given to an individual company is in general the inverse of the probability that the company would have been selected for inclusion in the sam

26、ple. Certainty companies （for a detailed discussion, see Frame Creation） have a weight of 1.00. The company weight is retained in both the sampling year and in the years between samples. To minimize respondent burden, only the “panel” subset of the sample is canvassed between sample years. Most smal

27、l firms are not recontacted, but in each succeeding year Census estimates the data for each noncanvassed firm, based on the changes in the initial value of the R&D reported by the firm, and the average growth rate for the firms industry.Frame CreationIn selecting a sample frame from which to draw a

28、sample of R&Dperforming industries, NSF staff make certain assumptions about industries to be able to maximize sampling efficiency given a finite budget for sample selection. That is, they apply a priori knowledge of industrial R&D activity to eliminate some industries from the possibility of select

29、ion by the initial SSEL sort and to designate other companies for sampling with 100 percent certainty. In addition, NSF staff made several innovations for the sample drawn in 1987 to improve its quality.As in previous sample years, all companies that had been on the previous panel once again receive

30、d a survey form. In addition, Census staff reviewed lists of R&D contractors published by the Department of Defense （DoD） and the National Aeronautics and Space Administration （NASA） to ensure that all their large industrial R&Dperforming contractors were included in the sample with certainty.From t

31、he outset in the latest sample selection, the major goal was to eliminate from the sampling frame, to the greatest extent possible, companies unlikely to have R&D programs. This was done to minimize the number of companies chosen for the sample which had no R&D activity. To accomplish this objective, two steps were taken:1. NSF staff narrowed the list of nonmanufacturing industries considered inscope, by eliminating those likely to engage in little or no R&D activity. Thus, companies in the eliminated nonmanufacturing ind