L NOTES FOR 1989Word格式文档下载.docx

L NOTES FOR 1989Word格式文档下载.docx

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Allcompanies—foreignanddomesticaswellasthoseprivatelyheld—thatperformR&

DintheUnitedStatesareincludedorrepresentedinsurveydata.

TheindustryR&

Dsurveydoesnotcovertradeassociations.Althoughtheirprimarymissionistoserveindustry,theseassociationsareestablishedasnonprofitorganizations,anditisestimatedthattheirR&

Dexpendituresarelessthan1percentoftheindustryR&

Dtotal.

Itisanenterprise-ratherthananestablishment-basedsurvey.ThereforeallR&

DdataforeachenterprisearereportedinthemajorStandardIndustrialClassification（SIC）codeofthefirm.Dataareaggregatedinthismannerforalltablesinthisreport.

Dataarebasedonprobabilitysamplesselectedabouteveryfiveyears.Ininterveningyears,asubsetofthelastsample,calleda“panel,”isused.Thelatestprobabilitysamplewasselectedandfirstusedforsurveyyear1987.

CensusstaffconductthesurveyunderTitle13oftheU.S.Code,whichprohibitspublicationorreleaseofdatathatmayrevealinformationaboutindividualcompanies.Therefore,onsometablesofthisreport,thesymbol“（D）”isusedasafootnotereferencetoindicatethatdataarebeingwithheldtoavoidpossibledisclosureofinformationaboutoperationsofindividualcompanies.

TECHNICALNOTES

INTRODUCTION

TheSurveyofResearchandDevelopmentinIndustryprovidesnationalestimatesofthetotalexpendituresonR&

DperformedwithintheUnitedStatesbyindustrialfirms,whetherU.S.orforeignowned.ItisasamplesurveyinwhichitisintendedthatallR&

Dperformingcompanies,includingprivatelyheldfirms,areincludedorrepresented.Allcompaniesthatareidentifiedinthesampleyearasannuallyspendingmorethan$1milliononR&

DintheUnitedstatesreceiveasurveyformeveryyear.Informationfromindividualcompaniesinthesampleisusedtodevelopnationalestimatesonanindustrybyindustrybasis.

NSFhasbeensponsoringasurveyofindustrialR&

Dsince1953.The1989SurveyofResearchandDevelopmentinIndustryisthe33rdintheannualseriessponsoredbyNSFandconductedsince1957byCensus.NSF’sDivisionofScienceResourcesStudiesmonitorsthesurvey.NSFalsosponsoredtwoindustrialR&

Dsurveyscoveringthe1953–56periodthatwereconductedbytheBureauofLaborStatistics（BLS）,DepartmentofLabor.DataobtainedintheearlierBLSsurveysarenotdirectlycomparablewithCensusfiguresfor1957–88becauseofmethodologicalandotherdifferencesinthesurveys.

RespondentsreceivedetaileddefinitionstohelpthemdeterminewhichexpensestoincludeorexcludefromtheR&

Ddatatheyprovide.Nevertheless,thestatisticspresentedinthisreportaresubjecttoresponseandconcepterrorscausedbydifferentrespondentinterpretationsofthedefinitionsofR&

Dactivitiesandbyvariationsincompanyaccountingprocedures.Consequently,thedataarebetterindicatorsofchangesin,ratherthanabsolutelevelsof,R&

Dspendingandpersonnel.DataqualityhasimprovedsubstantiallysincethefirstindustryR&

Dsurveywasundertaken,mainlybecauserespondentshaveadoptedmoreaccurateandsophisticatedaccountingproceduresovertheyears.

Thesurvey’sprimaryfocusisonU.S.industryasaperformerof,ratherthanasasourceoffundsfor,R&

D.Thus,dataonFederalsupportofR&

Dactivitiesperformedbyindustryarecollectedandappearinseveraltables,butdataonindustrialfundingofR&

Dundertakenatuniversitiesandcollegesandothernonprofitorganizationsarenotincludedinthemajortables.

Thesurveydataprovide

（1）nationalestimatesoftotalR&

DperformedbyindustryintheUnitedStates;

（2）theportionoftheeffortthatisfinancedbyU.S.Governmentfunds;

and（3）theamountfinancedbythecompaniesthemselvesorbyothernonFederalsourcessuchasstateandlocalgovernmentsorotherindustrialfirms（seechart1）.AlsoincludedaredataonboththenumberofemployeesandthenumberofR&

Dperformingscientistsandengineersatthefirm,aswellasonthedomesticnetsalesforthecompany,andonthetotalfundsforR&

DfinancedbythedomesticfirmbutperformedoutsidetheUnitedStates.

ThescopeofthesurveyhasbeenexpandedandrefinedovertheyearsinresponsetoanincreasingpolicyneedformoredetailedinformationontheNation’sR&

Deffort.Forexample,questionsonenergyR&

Dwereaddedintheearlyseventiesfollowingthefirstoilshortagecrisis.Ontheotherhand,thefrequencyofcollectionofcertaindataitemshasbeenreducedinanattempttoalleviatesomeoftherespondentburdenthathasbeenplacedonindustryfromallsourcesinrecentyears.Thedetailedquestionnaireisnowmailedonlyinoddnumberedyears;

abbreviatedsurveyformscontainingonlythemostcrucialdataelementsaresenttorespondentsintheintervening,evennumberedyears.TheshortenedsurveyformwasusedforthefirsttimetocollectindustrialR&

Ddatafor1978.BothlongandshortsurveyformsarecalledRD1.Thisreportprovidesdatacollectedfromthelongformthatcovers1989data.

Questionsappearingonlybienniallyonthelongformrequestdetailonsuchareasasthefollowing:

R&

Dbyproductfield,companyexpendituresforR&

Dprojectsthatwerecontractedtooutsideorganizationsratherthanperformedinhouse,FederalR&

Dsupporttothefirmbycontractingagency,R&

Dexpendituresbygeographicarea,andsomedetaileddataonenergyandpollution-abatementR&

Dactivities.

METHODOLOGYOFSURVEY

DataonindustryfundingofR&

DperformedatuniversitiesandcollegesarecollectedintheannualSurveyofScientificandEngineeringExpendituresatUniversitiesandcolleges.MoreinformationaboutthissurveyisavailablefromtheScienceandEngineeringActivitiesProgramofNSF’sDivisionofScienceResourcesStudies.

Overview

Datainthissurveyarebasedonasampleofindustrialfirms,selectedapproximatelyeveryfiveyears（e.g.,1976,1981,1987）.Ininterveningyearsonlyasubsetofthesample,or“panel,”receivesannualsurveyforms（foracompletediscussion,seeTheAnnualPanel）andCensusmakesestimatesforthechangesinR&

Dforthefirmsnotcanvassedannually.Thesamplingunitforthissurveyistheenterprise,orcompany,definedasabusinessorganizationconsistingofoneormoreestablishmentsundercommonownershiporcontrol.The1989datainthispublicationarebasedonresponsesfromapanelderivedfromthesampleselectedandfirstusedforsurveyyear1987.（Theprevioussamplewasselectedforthe1981surveyandthepanelwasusedinsubsequentannualsurveysuntil1987.）

Thesamplingframefromwhichthesamplewasdrawnincludescompaniesinallmanufacturingindustriesand,onthebasisofearliersamples,aselectnumberofnonmanufacturingindustriesknowntoconductR&

D.

TheStandardStatisticalEstablishmentList（SSEL）,aCensuscompilationthatcontainsinformationon3.5millionto4.0millionestablishments,wastheuniverseframeusedtoselectthe1987samplingframe.Wherenecessaryformultiestablishmentcompanies,Censussummedestablishmentleveldatatothecompanylevel,andthenassignedasingleStandardIndustrialClassification（SIC）codetothatfirm—theSICcodeoftheestablishments）havingthehighestdollarvalueofpayroll.

Theweightgiventoanindividualcompanyisingeneraltheinverseoftheprobabilitythatthecompanywouldhavebeenselectedforinclusioninthesample.Certaintycompanies（foradetaileddiscussion,seeFrameCreation）haveaweightof1.00.Thecompanyweightisretainedinboththesamplingyearandintheyearsbetweensamples.Tominimizerespondentburden,onlythe“panel”subsetofthesampleiscanvassedbetweensampleyears.Mostsmallfirmsarenotrecontacted,butineachsucceedingyearCensusestimatesthedataforeachnoncanvassedfirm,basedonthechangesintheinitialvalueoftheR&

Dreportedbythefirm,andtheaveragegrowthrateforthefirm’sindustry.

FrameCreation

InselectingasampleframefromwhichtodrawasampleofR&

Dperformingindustries,NSFstaffmakecertainassumptionsaboutindustriestobeabletomaximizesamplingefficiencygivenafinitebudgetforsampleselection.Thatis,theyapplyaprioriknowledgeofindustrialR&

DactivitytoeliminatesomeindustriesfromthepossibilityofselectionbytheinitialSSELsortandtodesignateothercompaniesforsamplingwith100percentcertainty.Inaddition,NSFstaffmadeseveralinnovationsforthesampledrawnin1987toimproveitsquality.

Asinprevioussampleyears,allcompaniesthathadbeenonthepreviouspanelonceagainreceivedasurveyform.Inaddition,CensusstaffreviewedlistsofR&

DcontractorspublishedbytheDepartmentofDefense（DoD）andtheNationalAeronauticsandSpaceAdministration（NASA）toensurethatalltheirlargeindustrialR&

Dperformingcontractorswereincludedinthesamplewithcertainty.

Fromtheoutsetinthelatestsampleselection,themajorgoalwastoeliminatefromthesamplingframe,tothegreatestextentpossible,companiesunlikelytohaveR&

Dprograms.ThiswasdonetominimizethenumberofcompanieschosenforthesamplewhichhadnoR&

Dactivity.Toaccomplishthisobjective,twostepsweretaken:

1.NSFstaffnarrowedthelistofnonmanufacturingindustriesconsideredinscope,byeliminatingthoselikelytoengageinlittleornoR&

Dactivity.Thus,companiesintheeliminatednonmanufacturingind