another look at nsf's r&d data
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Another look at NSF’s R&D data
Prepared by David Hochman dh@tbed.org Summer 2012
Each year
• The annual R&D expenditures survey adds another year to 60+ years of data
• And there’s a lot of data: – 7 funding sectors – 5 performing sectors – 3 stages of character of work
• It’s almost impossible to figure out what’s going on from the data tables – But NSF gives us only 5 pie charts in SEI, with liTle interpretaUon
• We can do beTer: more charts, more interpretaUon
Caveats • DefiniUons, abbreviaUons at
hTp://www.nsf.gov/staUsUcs/nsf11313/ • Considering 1 year only: 2009 poured into an Excel pivot
table and worked over in different ways • No spurious precision: rounded to the nearest whole % and
whole billion $ • Including only breakdowns interesUng to me, out of many,
many possible cross-‐cuts • No grand conclusions, just my observaUons, and these may
not be the same comparisons you would make, yourself • Did I err anywhere? Want another comparison? Need to
see my pivot table? Email me: dh@tbed.org
Insights by stage (character) of research
Most of the enUre $400b R&D enterprise is development-‐stage
Applied 18%
Basic 19% Development
63%
Most of that $253b in development is performed by industry
Federal 7%
Industry 89%
Industry FFRDC 1%
Nonprofit FFRDC 0%
Other nonprofit 1%
U&C 1%
U&C FFRDC 1%
Most of that $227b in development performed by industry is self-‐funded
Federal 13%
Industry 87%
Industry itself performs essenUally all the $197b in development that it funds
Industry 100%
Other nonprofit 0% U&C
0%
The $54b in development funded by the feds is performed by diverse sectors
Federal 32%
Industry 57%
Industry FFRDC 4%
Nonprofit FFRDC 2%
Other nonprofit
1%
U&C 1%
U&C FFRDC 3%
The $2b in development performed by universiUes is funded more by the feds than by industry; some is self-‐funded
Federal 39%
Industry 9%
Other government
10%
Other nonprofit
12%
U&C 30%
The $71b in applied research performed in all sectors is funded mainly by industry and the feds
Federal 42%
Industry 48%
Other government
1%
Other nonprofit 5%
U&C 4%
That $71b in applied research is performed diversely, but heavily by industry
Federal 11%
Industry 57%
Industry FFRDC 3%
Nonprofit FFRDC 2%
Other nonprofit 8%
U&C 17%
U&C FFRDC 2%
That $41b in applied research performed by industry is mostly self funded by industry
Federal 19%
Industry 81%
Industry itself performs virtually all the $34b in applied research that it funds
Industry 97%
Other nonprofit 1%
U&C 2%
The $30b in applied research funded by the feds is performed diversely, with some role for universiUes
Federal 27%
Industry 26%
Industry FFRDC 6%
Nonprofit FFRDC 5%
Other nonprofit
10%
U&C 22%
U&C FFRDC 4%
The $12b in applied research performed by universiUes is mostly federally funded, liTle by industry
Federal 55%
Industry 6%
Other government
7%
Other nonprofit 9%
U&C 23%
The $76b in basic research performed in all sectors is funded diversely but mainly by the feds
Federal 53%
Industry 22%
Other government
3%
Other nonprofit
11%
U&C 11%
That $76b in basic research funded by all sectors is performed diversely but heavily by universiUes
Federal 7%
Industry 20%
Industry FFRDC 3%
Nonprofit FFRDC 2%
Other nonprofit
12%
U&C 53%
U&C FFRDC 3%
The $41b in basic research performed by universiUes is mainly federally or self-‐funded, liTle by industry
Federal 60%
Industry 6%
Other government
6%
Other nonprofit 8%
U&C 20%
The $15b in basic research performed by industry is mainly self-‐funded, some by the feds
Federal 9%
Industry 91%
The $41b in basic research funded by the feds is performed mainly by universiUes
Federal 14%
Industry 3%
Industry FFRDC 6%
Nonprofit FFRDC 4%
Other nonprofit 9%
U&C 60%
U&C FFRDC 4%
The $16b in basic research funded by industry is performed mainly by industry; a small share by universiUes
Industry 82%
Other nonprofit 4%
U&C 14%
Comparisons across the character (stage) of research
As the R&D gets later stage, the feds and industry perform more of it, universiUes less
Federal 32%
Industry 57%
Industry FFRDC 4%
Nonprofit FFRDC 2%
Other nonprofit
1%
U&C 1%
U&C FFRDC 3%
Federal 27%
Industry 26%
Industry FFRDC 6%
Nonprofit FFRDC 5%
Other nonprofit
10%
U&C 22%
U&C FFRDC 4%
Federal 7%
Industry 20% Industry
FFRDC 3%
Nonprofit FFRDC 2%
Other nonprofit
12%
U&C 53%
U&C FFRDC 3%
Basic -> Applied -> Development (l. to r.)
As R&D gets later stage, industry’s funding share goes up, feds’ share down
Federal 53% Industry
22%
Other governme
nt 3%
Other nonprofit
11% U&C 11%
Federal 42%
Industry 48%
Other governme
nt 1%
Other nonprofit
5%
U&C 4%
Federal 21%
Industry 78%
Other governme
nt 0%
Other nonprofit
1%
U&C 0%
Basic -> Applied -> Development (l. to r.)
Very liTle industry-‐funded R&D ‘leaks’ to other performers at any stage
Industry 82%
Other nonprofit
4% U&C 14%
Industry 97%
Other nonprofit
1%
U&C 2%
Industry 100%
Other nonprofit
0%
U&C 0%
Basic -> Applied -> Development (l. to r.)
But federally funded R&D is diversely performed, shihing toward industry in later stages
Federal 14%
Industry 3%
Industry FFRDC 6%
Nonprofit FFRDC 4%
Other nonprofit
9%
U&C 60%
U&C FFRDC 4%
Federal 27%
Industry 26%
Industry FFRDC 6%
Nonprofit FFRDC 5%
Other nonprofit
10%
U&C 22%
U&C FFRDC 4%
Federal 32%
Industry 57%
Industry FFRDC 4%
Nonprofit FFRDC 2%
Other nonprofit
1%
U&C 1%
U&C FFRDC 3%
Basic -> Applied -> Development (l. to r.)
Industry-‐performed R&D is significantly dependent on federal funding at all stages
Federal 9%
Industry 91%
Federal 19%
Industry 81%
Federal 13%
Industry 87%
Basic -> Applied -> Development (l. to r.)
University-‐performed R&D is heavily dependent on federal funding, liTle on industry, at all stages
Federal 60%
Industry 6%
Other governme
nt 6%
Other nonprofit
8%
U&C 20%
Federal 55%
Industry 6%
Other governme
nt 7%
Other nonprofit
9%
U&C 23%
Federal 39%
Industry 9%
Other governme
nt 10%
Other nonprofit
12%
U&C 30%
Basic -> Applied -> Development (l. to r.)
Insights by performing sector
Industry performs a majority of all $400b in R&D, because it dominates the largest stage (development)
Federal 8%
Industry 70%
Industry FFRDC 2%
Nonprofit FFRDC 1%
Other nonprofit 4%
U&C 14%
U&C FFRDC 1%
Of that $282b in industry-‐performed R&D, development stage dominates
The % breakdown is stable across funding sources (remember: that is dominantly industry itself, secondarily the feds)
Applied 15% Basic
5%
Development 80%
Of the $54b in university-‐performed R&D, the basic stage predominates
Applied 22%
Basic 75%
Development 3%
The % breakdown is remarkably stable across funding sources, whether federal (large amount) or industry (small)
Of the $31b in federally performed R&D (all self-‐funded), all stages are represented
Applied 26%
Basic 18%
Development 56%
Most of the $54b in university-‐performed research is funded by the feds, followed by internal resources
Federal 58%
Industry 6%
Other government
7%
Other nonprofit 8%
U&C 21%
The % breakdown is very stable across the larger stages (basic & applied) and not very different in development (small amount)
Comparisons across performing sectors
As a research performer, the feds are more like industry than universiUes, in terms of stage/character of work
Applied 15% Basic
5%
Development 80%
Applied 22%
Basic 75%
Development 3%
Applied 26%
Basic 18%
Development 56%
Industry - University - Federal (l. to r.)
The $282b in industry-‐performed R&D is mainly funded by industry; the $54b in university-‐performed R&D is funded mainly by the feds
Federal 14%
Industry 86%
Federal 58%
Industry 6%
Other government
7%
Other nonprofit
8%
U&C 21%
Industry (l.) - University (r.) Feds omitted since they fund 100% of their own performance
Insights by funding sector
Industry funds a majority of all $400b in R&D, because so much is development (which it funds heavily)
Federal 31%
Industry 62%
Other government
1%
Other nonprofit 3%
U&C 3%
Of that $247b in R&D funded by industry, it performs nearly all itself
Industry 98%
Other nonprofit 1%
U&C 1%
The % breakdown is very stable across all stages/characters (vast majority of resources in development)
OF the $124b in R&D funded by the feds, the performers are diverse
Federal 25%
Industry 32%
Industry FFRDC 5%
Nonprofit FFRDC 3%
Other nonprofit 6%
U&C 25%
U&C FFRDC 4%
But who performs federally funded research varies dramaUcally by stage
Federal 14%
Industry 3%
Industry FFRDC 6%
Nonprofit FFRDC 4%
Other nonprofit
9%
U&C 60%
U&C FFRDC 4%
Federal 27%
Industry 26%
Industry FFRDC 6%
Nonprofit FFRDC 5%
Other nonprofit
10%
U&C 22%
U&C FFRDC 4%
Federal 32%
Industry 57%
Industry FFRDC 4%
Nonprofit FFRDC 2%
Other nonprofit
1%
U&C 1%
U&C FFRDC 3%
Basic -> Applied -> Development (l. to r.)
The breakdown by stage of the $124b in R&D funded by the feds is diverse, and very different from the $247b that is industry-‐funded
Applied 24%
Basic 33%
Development 43%
Applied 14% Basic
7%
Development 79%
Federal (l.) – Industry (r.)
As performers of federally funded R&D, industry ($40b) and the feds themselves ($31b) are focused on different stages than universiUes ($32b)
Applied 20%
Basic 3%
Development 77%
Applied 21%
Basic 77%
Development 2%
Applied 26%
Basic 18%
Development 56%
Industry -> University -> Federal (l. to r.)
Comparisons across funding sectors
UniversiUes perform more of the $16b of industry-‐funded basic research than one might expect, but far less than of the $40b that is federally funded
Federal 14%
Industry 3%
Industry FFRDC 6%
Nonprofit FFRDC 4%
Other nonprofit 9%
U&C 60%
U&C FFRDC 4%
Industry 82%
Other nonprofit 4%
U&C 14%
Industry (l.) – University (r.)
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