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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report Measuring Research and Development Expenditures in the U.S. Economy: Interim Report Panel on Research and Development Statistics at the National Science Foundation Lawrence D.Brown and Thomas J.Plewes, Editors Committee on National Statistics Division of Behavioral and Social Sciences and Education NATIONAL RESEARCH COUNCIL OF THE NATIONAL ACADEMIES THE NATIONAL ACADEMIES PRESS Washington, D.C. www.nap.edu
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report THE NATIONAL ACADEMIES PRESS 500 Fifth Street, N.W. Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Institute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by Contract/Grant No. SRS-0244598 between the National Academy of Sciences and the National Science Foundation. Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the views of the organizations or agencies that provided support for the project. Library of Congress Cataloging-in-Publication Data or International Standard Book Number 0-309-0XXXX-X Library of Congress Catalog Card Number 97-XXXXX Additional copies of this report are available from National Academies Press, 500 Fifth Street, N.W., Lockbox 285, Washington, DC 20055; (800) 624–6242 or (202) 334–3313 (in the Washington metropolitan area); Internet, http://www.nap.edu Printed in the United States of America Copyright 2004 by the National Academy of Sciences. All rights reserved. Suggested citation: National Research Council. (2004). Measuring Research and Development Expenditures in the U.S. Economy: Interim Report, Panel on Research and Development Statistics at the National Science Foundation, Lawrence D.Brown and Thomas J.Plewes, Editors. Committee on National Statistics, Division of Behavioral and Social Sciences and Education. Washington, DC: The National Academies Press.
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report THE NATIONAL ACADEMIES Advisers to the Nation on Science, Engineering, and Medicine The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Bruce M.Alberts is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Wm. A.Wulf is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V.Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Bruce M.Alberts and Dr. Wm. A. Wulf are chair and vice chair, respectively, of the National Research Council. www.national-academies.org
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report PANEL ON RESEARCH AND DEVELOPMENT STATISTICS AT THE NATIONAL SCIENCE FOUNDATION LAWRENCE D.BROWN (Chair), Department of Statistics, The Wharton School, University of Pennsylvania JOHN L.ADAMS, RAND Corporation, Santa Monica, California WESLEY M.COHEN, Fuqua School of Business, Duke University FRED GAULT, Science, Innovation and Electronic Information Division, Statistics Canada, Ottawa JAY HAKES, Jimmy Carter Library and Museum, Atlanta BROWNWYN H.HALL, Department of Economics, University of California, Berkeley CHRISTOPHER T.HILL, Public Policy and Technology, George Mason University STEVEN KLEPPER, Department of Social and Decision Sciences, Carnegie Mellon University JOSHUA LERNER, Department of Finance and Department of Entrepreneurial Management, Harvard Business School BARUCH LEV, Department of Accounting Taxation and Business Law and Department of Finance, Stern School of Business, New York University GARY McDONALD, Enterprise Systems Laboratory, General Motors Research and Development Center, Warren, Michigan NORA GATE SCHAEFFER, Department of Sociology, University of Wisconsin, Madison RICHARD VALLIANT, Joint Program in Statistical Methodology, University of Maryland THOMAS J.PLEWES, Study Director MARISA A.GERSTEIN, Research Assistant TANYAM. LEE, Project Assistant BARBARA A.BAILAR, Consultant MICHAEL McGEARY, Consultant
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report Committee on National Statistics 2004 JOHN E.ROLPH (Chair), Marshall School of Business, University of Southern California JOSEPH G.ALTONJI, Department of Economics, Yale University ROBERT M.BELL, AT&T Labs—Research, Florham Park, New Jersey LAWRENCE D.BROWN, Department of Statistics, The Wharton School, University of Pennsylvania ROBERT M.GROVES, Survey Research Center, University of Michigan, and Joint Program in Survey Methodology, University of Maryland JOHN C.HALTIWANGER, Department of Economics, University of Maryland PAUL W.HOLLAND, Educational Testing Service, Princeton, New Jersey JOEL L.HOROWITZ, Department of Economics, Northwestern University WILLIAM KALSBEEK, Department of Biostatistics, University of North Carolina, Chapel Hill ARLEEN LEIBOWITZ, School of Public Policy and Social Research, University of California, Los Angeles VIJAYAN NAIR, Department of Statistics and Department of Industrial and Operations Engineering, University of Michigan DARYL PREGIBON, AT&T Labs—Research, Florham Park, New Jersey KENNETH PREWITT, School of Public Affairs, Columbia University NORA GATE SCHAEFFER, Department of Sociology, University of Wisconsin, Madison JAMES F.HINCHMAN, Acting Director CONSTANCE F.CITRO, Acting Chief of Staff
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report Preface At the request of the National Science Foundation, the Committee on National Statistics (CNSTAT) and the Board on Science, Technology, and Economic Policy (STEP) are examining how R&D surveys are currently conducted at the National Science Foundation (NSF) and how they should be conducted to capture the country’s R&D activities over the coming decade. This interim report contains the panel’s findings and recommendations on issues of statistical methodology. The panel’s final report will integrate its findings with those of a workshop held by STEP in April 2003 on research and development data needs and make recommendations, including overall priorities among the possible improvements in the data collection system. The final report will be available later this year. This panel has held four meetings beginning in January, 2003, as well as a workshop on July 24–25, 2003. The panel also commissioned papers to address specific issues. In focusing on issues of statistical accuracy and reliability, the panel had the benefit of advice and analysis from two meetings with staff of NSF’s Division of Science Resources Statistics and the public and private organizations directly responsible for data collection and compilation. In addition, subject-matter experts from the panel met to explore issues of statistical methodology and cognitive aspects of data collection. This interim report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the National Research Council’s Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the deliberative process. We wish to thank the following individuals for their review of this report: Don A.Dillman, Social and Economic Sciences Research Center, Washington State University; James J.Duderstadt, University of Michigan Millennium Project; Adam B.Jaffe, Department of Economics, Brandeis University; Roderick J.A.Little, Department of Biostatistics, University of Michigan; John P. McTague, Department of Materials, University of California, Santa Barbara; and Sidney G.Winter, Department of Management, University of Pennsylvania. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations nor did they see the final draft of the report before its release. The review of this report was overseen by John F.Geweke of the Department of Economics, University of Iowa. Appointed by the National Research Council, he was responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully considered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. Lawrence D.Brown, Chair Panel on Research and Development Statistics at the National Science Foundation
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Measuring Research and Development Expenditures in the U.S. Economy: Interim Report Contents Executive Summary Measuring Research and Development in the U.S. Economy Establishing an Environment for Quality Common Technical Issues Survey of Industrial Research and Development Survey of Federal Funds for Research and Development Survey of Federal Science and Engineering Support to Universities, Colleges, and Nonprofit Institutions Survey of Research and Development Expenditures at Universities and Colleges Survey of Scientific and Engineering Research Facilities Priorities for Near-Term and Longer Term Improvements to Statistical Methodology References Appendixes A: A Quality Profile of the Federal Research and Development Surveys Barbara A.Bailar B: Biographical Sketches