1. Another
look
at
NSF’s
R&D
data
Prepared
by
David
Hochman
dh@tbed.org
Summer
2012

2. 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

3. 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

4. Insights
by
stage
(character)
of
research

5. Most
of
the
enUre
$400b
R&D
enterprise
is
development-­‐stage
Applied
18%
Basic
Development
19%
63%

6. Most
of
that
$253b
in
development
is
performed
by
industry
Other
nonprofit
U&C
U&C
FFRDC
Industry
FFRDC
1%
Federal
1%
1%
1%
7%
Nonprofit
FFRDC
0%
Industry
89%

7. Most
of
that
$227b
in
development
performed
by
industry
is
self-­‐funded
Federal
13%
Industry
87%

8. Industry
itself
performs
essenUally
all
the
$197b
in
development
that
it
funds
Other
nonprofit
0%
U&C
0%
Industry
100%

9. The
$54b
in
development
funded
by
the
feds
is
performed
by
diverse
sectors
Nonprofit
Other
U&C
U&C
FFRDC
FFRDC
nonprofit
1%
3%
2%
1%
Industry
FFRDC
4%
Federal
32%
Industry
57%

10. The
$2b
in
development
performed
by
universiUes
is
funded
more
by
the
feds
than
by
industry;
some
is
self-­‐funded
U&C
30%
Federal
39%
Other
nonprofit
12%
Industry
9%
Other
government
10%

11. The
$71b
in
applied
research
performed
in
all
sectors
is
funded
mainly
by
industry
and
the
feds
U&C
Other
Other
nonprofit
4%
government
5%
1%
Federal
42%
Industry
48%

12. That
$71b
in
applied
research
is
performed
diversely,
but
heavily
by
industry
U&C
FFRDC
2%
Federal
U&C
11%
17%
Other
nonprofit
8%
Nonprofit
FFRDC
2%
Industry
FFRDC
Industry
3%
57%

13. That
$41b
in
applied
research
performed
by
industry
is
mostly
self
funded
by
industry
Federal
19%
Industry
81%

14. Industry
itself
performs
virtually
all
the
$34b
in
applied
research
that
it
funds
U&C
Other
nonprofit
1%
2%
Industry
97%

15. The
$30b
in
applied
research
funded
by
the
feds
is
performed
diversely,
with
some
role
for
universiUes
U&C
FFRDC
4%
U&C
Federal
22%
27%
Other
nonprofit
10%
Industry
26%
Nonprofit
FFRDC
Industry
FFRDC
5%
6%

16. The
$12b
in
applied
research
performed
by
universiUes
is
mostly
federally
funded,
liTle
by
industry
U&C
23%
Other
nonprofit
9%
Federal
55%
Other
government
7%
Industry
6%

17. The
$76b
in
basic
research
performed
in
all
sectors
is
funded
diversely
but
mainly
by
the
feds
U&C
11%
Other
nonprofit
Other
11%
government
3%
Federal
53%
Industry
22%

18. That
$76b
in
basic
research
funded
by
all
sectors
is
performed
diversely
but
heavily
by
universiUes
U&C
FFRDC
3%
Federal
7%
Industry
20%
U&C
Industry
FFRDC
53%
3%
Other
nonprofit
Nonprofit
12%
FFRDC
2%

19. The
$41b
in
basic
research
performed
by
universiUes
is
mainly
federally
or
self-­‐funded,
liTle
by
industry
U&C
20%
Other
nonprofit
8%
Other
Federal
government
60%
6%
Industry
6%

20. The
$15b
in
basic
research
performed
by
industry
is
mainly
self-­‐funded,
some
by
the
feds
Federal
9%
Industry
91%

21. The
$41b
in
basic
research
funded
by
the
feds
is
performed
mainly
by
universiUes
U&C
FFRDC
4%
Federal
Industry
14%
3%
Industry
FFRDC
6%
Nonprofit
FFRDC
4%
U&C
Other
nonprofit
60%
9%

22. The
$16b
in
basic
research
funded
by
industry
is
performed
mainly
by
industry;
a
small
share
by
universiUes
Other
nonprofit
U&C
4%
14%
Industry
82%

23. Comparisons
across
the
character
(stage)
of
research

24. As
the
R&D
gets
later
stage,
the
feds
and
industry
perform
more
of
it,
universiUes
less
U&C
Federal
U&C
Nonprofit
Other
U&C
U&C
FFRDC
7%
FFRDC
FFRDC
nonprofit
1%
FFRDC
3%
4%
2%
1%
3%
Industry
U&C
Federal
FFRDC
Federal
Industry
22%
27%
4%
32%
20%
Industry
FFRDC
U&C
3%
Other
53%
Nonprofit
nonprofit
Industry
Nonprofit
Industry
FFRDC
10%
57%
FFRDC
26%
2%
5%
Industry
Other
nonprofit
FFRDC
12%
6%
Basic -> Applied -> Development (l. to r.)

25. As
R&D
gets
later
stage,
industry’s
funding
share
goes
up,
feds’
share
down
Other
U&C
Other
Other
U&C
nonprofit
4%
nonprofit
governme 0%
Other
5%
1%
nt
nonprofit
U&C
11%
Other
0%
11%
Federal
governme
21%
Other
nt
governme 1%
Federal
nt
42%
3%
Federal
Industry
53%
Industry
22%
48%
Industry
78%
Basic -> Applied -> Development (l. to r.)

26. Very
liTle
industry-­‐funded
R&D
‘leaks’
to
other
performers
at
any
stage
U&C
Other
Other
U&C
2%
nonprofit
Other
nonprofit
0%
0%
nonprofit
U&C
1%
4%
14%
Industry
Industry
Industry
82%
100%
97%
Basic -> Applied -> Development (l. to r.)

27. But
federally
funded
R&D
is
diversely
performed,
shihing
toward
industry
in
later
stages
U&C
U&C
Nonprofit
Other
U&C
U&C
Industry
FFRDC
nonprofit
FFRDC
FFRDC
1%
FFRDC
3%
2%
3%
4%
4%
1%
Federal
Industry
14%
FFRDC
Industry
U&C
Federal
6%
FFRDC
Federal
22%
27%
4%
32%
Nonprofit
FFRDC
4%
Other
U&C
Other
nonprofit
Industry
Industry
60%
nonprofit
10%
26%
57%
9%
Nonprofit
Industry
FFRDC
FFRDC
5%
6%
Basic -> Applied -> Development (l. to r.)

28. Industry-­‐performed
R&D
is
significantly
dependent
on
federal
funding
at
all
stages
Federal
Federal
Federal
9%
13%
19%
Industry
Industry
Industry
81%
87%
91%
Basic -> Applied -> Development (l. to r.)

29. University-­‐performed
R&D
is
heavily
dependent
on
federal
funding,
liTle
on
industry,
at
all
stages
U&C
U&C
20%
23%
U&C
30%
Other
Federal
nonprofit
Other
39%
8%
nonprofit
Federal
Other
Federal
9%
Other
55%
nonprofit
60%
governme 12%
nt
Other
Other
6%
Industry
governme
governme
6%
nt
Industry
nt
Industry
7%
6%
10%
9%
Basic -> Applied -> Development (l. to r.)

30. Insights
by
performing
sector

31. Industry
performs
a
majority
of
all
$400b
in
R&D,
because
it
dominates
the
largest
stage
(development)
U&C
FFRDC
Other
nonprofit
1%
4%
Nonprofit
U&C
Federal
FFRDC
14%
8%
1%
Industry
FFRDC
2%
Industry
70%

32. Of
that
$282b
in
industry-­‐performed
R&D,
development
stage
dominates
Applied
15%
Basic
5%
Development
80%
The % breakdown is stable across funding sources (remember:
that is dominantly industry itself, secondarily the feds)

33. Of
the
$54b
in
university-­‐performed
R&D,
the
basic
stage
predominates
Development
3%
Applied
22%
Basic
75%
The % breakdown is remarkably stable across funding
sources, whether federal (large amount) or industry (small)

34. Of
the
$31b
in
federally
performed
R&D
(all
self-­‐funded),
all
stages
are
represented
Applied
26%
Development
56%
Basic
18%

35. Most
of
the
$54b
in
university-­‐
performed
research
is
funded
by
the
feds,
followed
by
internal
resources
U&C
21%
Other
nonprofit
8%
Federal
Other
58%
government
7%
Industry
6%
The % breakdown is very stable across the larger stages (basic
& applied) and not very different in development (small amount)

36. Comparisons
across
performing
sectors

37. As
a
research
performer,
the
feds
are
more
like
industry
than
universiUes,
in
terms
of
stage/character
of
work
Developm
ent
3%
Applied
Basic
Applied
15%
Applied
5%
22%
26%
Developm
Developm ent
Basic
ent
Basic
56%
18%
80%
75%
Industry - University - Federal (l. to r.)

38. 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
U&C
14%
21%
Other
nonprofit
8%
Federal
Other
58%
government
Industry
7%
86%
Industry
6%
Industry (l.) - University (r.)
Feds omitted since they fund 100% of their own performance

39. Insights
by
funding
sector

40. Industry
funds
a
majority
of
all
$400b
in
R&D,
because
so
much
is
development
(which
it
funds
heavily)
Other
Other
nonprofit
U&C
government
3%
3%
1%
Federal
31%
Industry
62%

41. Of
that
$247b
in
R&D
funded
by
industry,
it
performs
nearly
all
itself
Other
nonprofit
U&C
1%
1%
Industry
98%
The % breakdown is very stable across all stages/characters
(vast majority of resources in development)

42. OF
the
$124b
in
R&D
funded
by
the
feds,
the
performers
are
diverse
U&C
FFRDC
4%
Federal
U&C
25%
25%
Other
nonprofit
6%
Industry
Nonprofit
32%
FFRDC
3%
Industry
FFRDC
5%

43. But
who
performs
federally
funded
research
varies
dramaUcally
by
stage
U&C
U&C
Nonprofit
Other
U&C
U&C
Industry
nonprofit
1%
FFRDC
FFRDC
FFRDC
FFRDC
3%
1%
3%
4%
4%
2%
Industry
Federal
Industry
FFRDC
14%
FFRDC
U&C
Federal
4%
6%
Federal
22%
27%
32%
Nonprofit
FFRDC
4%
Other
U&C
Other
nonprofit
Industry
Industry
60%
nonprofit
10%
26%
57%
9%
Nonprofit
Industry
FFRDC
FFRDC
5%
6%
Basic -> Applied -> Development (l. to r.)

44. 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
Applied
14%
Basic
24%
7%
Development
43%
Development
79%
Basic
33%
Federal (l.) – Industry (r.)

45. As
performers
of
federally
funded
R&D,
industry
($40b)
and
the
feds
themselves
($31b)
are
focused
on
different
stages
than
universiUes
($32b)
Developm
ent
2%
Applied
Applied
20%
21%
Applied
Basic
26%
3%
Developm
Developm ent
Basic
ent
Basic
56%
18%
77%
77%
Industry -> University -> Federal (l. to r.)

46. Comparisons
across
funding
sectors

47. 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
U&C
FFRDC
4%
Other
nonprofit
U&C
Federal
Industry
4%
14%
14%
3%
Industry
FFRDC
6%
Nonprofit
FFRDC
4%
U&C
Other
nonprofit
Industry
60%
9%
82%
Industry (l.) – University (r.)