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

美国公司以RD-1表格向人口普查局提交研发数据，这些数据用于创建NSF每年发布的行业汇总数据。 这些公司中的许多公司还向SEC提交了10-K表格中的研发数据。 本项目的目的是研究这两组数据之间的差异。 我们希望这个项目的结果，导致报告的R D数据的质量的改善。 RD-1是2600-2800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之间以及公司资助和政府资助的行业之间进行研发的唯一来源。 RD-1调查对研发的定义限于硬科学和工程，因此，从这个意义上说，调查是独一无二的。 它是美国政府决策者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的独特性是否值得保留，以何种形式保留，以及调查中是否应该有变化，这些都是数据质量问题，对于公共和私人科学技术政策的确定显然都很重要。 SEC 10 K RD数据结果按公司名称报告，并且是最新的，这些都是优于当前RD-1的优势。 该项目有两个部分：对公司层面差异的详细调查，以及对公司的一系列实地访谈，以发现两份研发报告中无法解释的差异的来源&。 最终的技术报告、执行摘要和摘要应为决定未来的行业研发数据收集策略和更有效的政府和私人使用所产生的数据提供更坚实的基础。

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.