MEASURING RESEARCH AND
DEVELOPMENT EXPENDITURES
IN THE U.S. NONPROFIT SECTOR
Conceptual and Design Issues
Summary of a Workshop
Carol C. House, Holly G. Rhodes, and Esha Sinha, Rapporteurs
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.
THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW 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. SES-1024012 between the National Academy of Sciences and the National Science Foundation. Support for the work of the Committee on National Statistics is provided by a consortium of federal agencies through a grant from the National Science Foundation (award number SES-1024012). Any opinions, findings, conclusions, or recommendations expressed in this publication are those of the author(s) and do not necessarily reflect the view of the organizations or agencies that provided support for this project.
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Suggested citation: National Research Council. (2015). Measuring Research and Development Expenditures in the U.S. Nonprofit Sector: Conceptual and Design Issues, Summary of a Workshop. C. House, H. Rhodes, and E. Sinha, Rapporteurs. Committee on National Statistics, Division of Behavioral and Social Sciences and Education. Washington, DC: The National Academies Press.
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. Ralph J. Cicerone 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. C. D. Mote, Jr., 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. Victor J. Dzau 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. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council.
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STEERING COMMITTEE FOR A WORKSHOP ON
MEASURING RESEARCH AND DEVELOPMENT
EXPENDITURES IN THE U.S. NONPROFIT SECTOR
Lester M. Salamon (Chair), Center for Civil Society Studies, Institute for Policy Studies, Johns Hopkins University
Kevin Cecco, Research, Analysis, and Statistics Division, Internal Revenue Service
Paul A. David, Professor Emeritus, Department of Economics, Stanford University and University of Oxford
Donald A. Dillman, Department of Sociology, Washington State University
Ronald S. Fecso, Independent Consultant
Irwin Feller, Professor Emeritus, Department of Economics, Pennsylvania State University
Phillip S. Kott, RTI International
Michael D. Larsen, Department of Statistics and Biostatistics Center, George Washington University
Susan U. Raymond, Changing Our World, Inc.
Carol C. House, Study Director
Holly G. Rhodes, Program Officer
Michael L. Cohen, Senior Program Officer
Esha Sinha, Associate Program Officer
Agnes E. Gaskin, Administrative Assistant
Kelly N. Arrington, Senior Program Assistant
COMMITTEE ON NATIONAL STATISTICS
2013–2014
Lawrence D. Brown (Chair), Department of Statistics, The Wharton School, University of Pennsylvania
John M. Abowd, School of Industrial and Labor Relations, Cornell University
Mary Ellen Bock, Department of Statistics, Purdue University
David E. Card, Department of Economics, University of California, Berkeley
Alicia L. Carriquiry, Department of Statistics, Iowa State University
Michael E. Chernew, Department of Health Care Policy, Harvard Medical School
Constantine A. Gatsonis, Center for Statistical Sciences, Brown University
James S. House, Survey Research Center, Institute for Social Research, University of Michigan
Michael Hout, Department of Sociology, New York University
Sallie A. Keller, Virginia Bioinformatics Institute at Virginia Tech, Arlington
Lisa M. Lynch, Heller School for Social Policy and Management, Brandeis University
Colm O’Muircheartaigh, Harris School of Public Policy Studies, University of Chicago
Ruth D. Peterson, Criminal Justice Research Center, The Ohio State University
Edward H. Shortliffe, Department of Biomedical Informatics, Columbia University and Arizona State University
Hal S. Stern, Donald Bren School of Information and Computer Sciences, University of California, Irvine
Constance F. Citro, Director
Acknowledgments
The workshop summarized in this volume was held June 30-July 1, 2014. The workshop steering committee came together with ideas and their combined expertise to establish a framework for the discussion of research and development activities taking place in nonprofit organizations and how to measure those activities. Several steering committee members also made presentations at the workshop. The committee wishes to acknowledge the excellent leadership provided by the chair, Lester Salamon, and to thank the staff of the National Center for Science and Engineering Statistics at the National Science Foundation for their help and interaction along the way. The committee specifically wishes to acknowledge the National Research Council (NRC) staff for their hard work and dedication to make this workshop and subsequent summary a reality.
The success of the workshop was due primarily to the individuals who gave their time and ideas to make presentations and participate in the discussions. The steering committee wishes to acknowledge the presenters: Paul Arnsberger, Statistics of Income Division of the Internal Revenue Service; Jeffrey Berry, Tufts University; Mark Boroush, National Center for Science and Engineering Statistics; Ronda Britt, National Center for Science and Engineering Statistics; Constance Citro, Committee on National Statistics; Maria Cristalli, Hillside Family of Agencies; Michael Crosby, Mote Marine Laboratory; Nathan Dietz, The Urban Institute; Donald Dillman, Washington State University; Louise Earl, Statistics Canada (presentation materials); Karla Eisen, Prince William Regional
Beekeepers Association; Ronald Fecso; John Gawalt, National Center for Science and Engineering Statistics; Aldo Geuna, University of Turin; Jodi Harpstead, Lutheran Social Service of Minnesota; Michael Larsen, George Washington University; Catherine Mickle and Dan Heist, American Cancer Society; Susan Raymond, Changing Our World; Cleo Redline, National Center for Education Statistics; Lester Salamon, Center for Civil Society Studies; and Robyn Stone, LeadingAge.
This workshop summary was reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures approved by the Report Review Committee of the NRC. 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 charge. The review comments and draft manuscript remain confidential to protect the integrity of the process.
We thank the following individuals for their review of this report: Jeffrey Alexander, Research and Analytics, Center for Science, Technology and Economic Development, SRI International, Arlington, Virginia; Irwin Feller, Professor Emeritus, Department of Economics, Pennsylvania State University; Barbara J. Robles, Consumer and Community Development Research, Division of Consumer and Community Affairs, Board of Governors of the Federal Reserve System, Washington, DC; and Jolene D. Smyth, Department of Sociology and Bureau of Sociological Research, University of Nebraska–Lincoln.
Although the reviewers listed above provided many constructive comments and suggestions, they were not asked to endorse the content of the report nor did they see the final draft of the report before its release. The review of this report was overseen by Colm A. O’Muircheartaigh, Harris School of Public Policy Studies, University of Chicago. Appointed by the NRC, 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 rapporteurs and the institution.
Contents
2 A Profile of the Nonprofit Sector in the United States
3 Understanding R&D within the Nonprofit Sector
4 Approaches to Survey and Sample Design
5 Question Design and Survey Implementation
6 Summary of Key Themes from the Workshop
D Biographical Sketches of Steering Committee Members, Presenters, and Staff
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