Differences in Reported R&D Data on the NSF/Census RD-1 Form and the SEC 10-K Form: A Micro-data Investigation

美国企业在RD-1表格中向美国人口普查局提交研发数据，这些数据被用来创建NSF每年发布的行业汇总数据。其中许多公司还以Form 10-K的形式向美国证券交易委员会提交研发数据。这个项目的目的是调查这两组数据之间的差异。我们预计该项目的结果将导致报告的研发数据质量的提高。R&amp；D-1是2600至2800家公司研发数据的唯一来源，这些公司不向SEC报告。它也是基础研究和应用研究、以及公司资助和政府资助的行业进行研发之间的唯一细分来源。RD-1调查中研发的定义仅限于硬科学和工程学，因此从这个意义上说，这项调查是独一无二的。它是美国政府政策制定者获取工业部门研发数据的主要来源，也是经合组织多国研发报告的来源。RD-1的独特特征是否值得保留，以什么形式保留，以及调查是否应该有变化，这些都是数据质量问题，显然对公共和私人科学技术政策的决定都很重要。SEC 10K研发数据结果是按公司名称报告的，并且非常及时，这些都是相对于当前RD-1的优势。该项目包括两个部分：对公司层面差异的详细调查，以及对公司的一系列实地采访，以找出两份研发报告中无法解释的差异的来源。最终的技术报告、执行摘要和摘要应该为决定未来的行业研发数据收集战略以及更有效的政府和私人使用所产生的数据提供更有力的基础。

Us companies file R&D data with the Census Bureau on Form RD-1, and the data are used to create industry aggregates published annually by NSF. Many of those companies also file R&D data with the SEC, on form 10-K. The purpose of this project is to investigate the differences between these two sets of data. We expect the results of this project to lead to improvements in the quality of reported R&D data. R&D-1 is the only source of R&D data for 2600-2800 companies, those that do not report to the SEC. It is also the only source for the breakdown between basic and applied research, and between company funded and government funded industry performed R&D. The definition of R&D on the RD-1 survey is restricted to the hard sciences and engineering, so the survey is unique in that sense. It is the main source of industrial sector R&D data for US government policy makers, and is also the source for the multi-country R&D presentations of the OECD. Whether the unique features of RD-1 are worth preserving, and in what forms, and whether there should be changes in the survey, are data quality questions that are clearly important for both public and private science and technology policy determination. The SEC 10K R&D data results are reported by name of firm and are very up to date, these are advantages over the current RD-1. The project has two parts: a detailed investigation into the differences at the company level, and a set of field interviews with firms in order to discover the sources of unexplained differences in the two R&D reports. The final technical report, executive summary, and abstract should provides a stronger basis for deciding on future industry R&D data collection strategies and more effective government and private use of the resulting data.