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1 Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective NATIONAL TRAINING WORKSHOP ON SCIENCE, TECHNOLOGY AND INNOVATION (STI) INDICATORS Tehran, Iran November 2010

2 A multitude of concepts Some examples: Knowledge-based economy National innovation system Science, technology, Research and development, and innovation High-tech – low tech Brain drain


4 S&T: a linear model? Inputs (R&D expenditure, Human Resources) Black Box (innovation) Output (patents, publications, high-tech products) The model Indicators

5 From model to indicators Inputs (R&D expenditure, Human Resources) Black Box (innovation) Output (patents, publications, high-tech products) Indicators R&D survey R&D personnel R&D Expenditure Innovation statistics (NEW!) Administrative data (patents) Publications databases High-tech data (trade)

6 A systems approach Innovation is dynamic and complex: Many actors, many linkages Feedback and feed-forward loops innovation is non-linear


8 UNESCO methodologies and frameworks Recommendation concerning the International Standardization of Statistics on Science and Technology, 1978 UNESCO Manual for Statistics on Scientific and Technological Activities ST-84/WS/12, Paris, 1984 International Standard Classification of Education - ISCED 1997 (under revision)

9 Frascati family of OECD Manuals Frascati Manual Oslo Manual Canberra Manual Patent Manual

10 Other relevant OECD frameworks Handbook of Economic Globalisation Indicators Guide to Measuring the Information Society Framework for Biotechnology Statistics Productivity manual


12 STA: Definition Scientific and Technological Activities (STA) can be defined as all systematic activities which are closely concerned with: generation, advancement, dissemination, and application of scientific and technical knowledge and applies to: all fields of science and technology ie. NS and SSH.

13 STA coverage Scientific and technological activities comprise: Research and experimental development (R&D) Scientific and technical education and training (STET) Scientific and technological services (STS)

14 An indicators framework R&D STET STS STA

15 Research and Development First edition published in 1963! Sixth edition published in 2002 De facto world standard

16 R&D: Definition Research and experimental development (R&D) comprise creative work undertaken on a systematic basis in order to increase the stock of knowledge, including knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications. Basic criterion: an appreciable element of novelty and the resolution of scientific and/or technological uncertainty.

17 R&D covers 3 activities Basic research (no particular application or use in view) Applied research (directed primarily towards a specific practical aim or objective) Experimental development (directed to producing new materials, products or devices)

18 Exclusions Excluded from R&D Education and training Scientific and technological services / Other science and technology activities Other industrial activities Administration and other supporting activities these will come back

19 An indicators framework R&D STET STS STA

20 STET: Definition Scientific and technological education and training at broadly the third level (STET) can be defined as all activities comprising: Specialized non-university higher education All university education Organized lifelong training for scientists and engineers

21 Limits between R&D and teaching and training Research and teaching very closely linked in higher education Results of research feed into teaching, and information and experience gained in teaching can often result in an input to research Difficult to define where education and training of staff and students end and R&D activities begin, and vice versa Elements of novelty distinguish R&D from routine teaching and other work-related activities

22 Borderline between R&D and education and training at ISCED level 6 Education and training at level 6 R&DOther activities Teachers1. Teaching students at level Supervision of R&D projects required for student qualification at level 6 5. Teaching at levels lower than level 6 2. Training students at level 6 in R&D methodology, laboratory work, etc. 4. Supervision of other R&D projects and performance of own R&D projects 6. Other activities Post- graduate students 1. Course work for formal qualification. 2. Performing and writing up independent studies (R&D projects) required for formal qualification 4. Teaching at levels lower than level 6 3. Any other R&D activities 5. Other activities

23 STS: Definition Scientific and technological services (STS) can be defined as any activities: Concerned with scientific research and experimental development Contributing to the generation, dissemination and application of scientific and technical knowledge

24 STS: detailed activities S&T information and documentation activities provided by libraries, archives, databanks, etc S&T services provided by museums, botanical and zoological gardens, etc Translation and editing of S&T publications Collection of data in the field of NSE. eg. meteorological observations Activities related to searching oil and minerals resources Collection of data on human, social, economic and cultural phenomena, by National Statistical Offices Testing, standardization, and quality control activities by National Bureau of Standards Extension, advisory services, feasibility studies, etc Patents and licenses activities by National Patent Office.

25 Other related scientific and technological activities Scientific and technical information services General purpose data collection Testing and standardisation Feasibility studies Specialised health care Patent and licence work Policy-related studies Routine software development

26 An indicators framework R&D STET STS STA Innovation + Other industrial activities Admin and other sup. activities

27 Innovation: the Oslo Manual Jointly with the EC Part of the Frascati family Used for CIS and national innovation surveys 1 st edition nd edition 1997 coverage expanded to services 3 rd edition 2005 including non- technological innovation

28 Innovation: definition (Oslo Manual 2005) The implementation of: Technological innovation New or significantly improved product (good or service); or New process; or Non-technological innovation New marketing method; or New organisational method.

29 Innovation activities Innovation activities are defined as: all steps which actually, or are intended to, lead to the implementation of innovations. some innovation activities are themselves innovative, others are not novel activities but are necessary for the implementation of innovations.

30 Examples: product and process innovation Food products with new functional characteristics (margarine that reduces blood cholesterol levels, yoghurts produced using new types of cultures, etc.) Products with significantly reduced energy consumption (energy efficient refrigerators, etc.) The introduction of smart cards and multipurpose plastic cards A new, self-service bank office

31 Examples: marketing and organisational innovation Implementation of a fundamentally new design of bottles for a body lotion intended to give the product a distinctively exclusive look Implementation of a personalised information system, e.g. obtained from loyalty cards, to tailor the presentation of products to the specific needs of individual customers First-time introduction of an integrated monitoring system for firm activities (production, finance, strategy, marketing) First-time introduction of quality control standards for suppliers and subcontractors

32 Borderline between R&D and other industrial activities Included Prototypes Pilot plant Excluded After-sales service & troubleshooting Patent and licence work Routine tests Data collection Public inspection control, enforcement of standards, regulations Divided Industrial design and drawing Industrial engineering and tooling up Trial production

33 Borderline between experimental and pre-production development Included: To make further technical improvements on the product or process Excluded: To develop markets, to do pre-production planning or to get a production or control system working smoothly

34 Problems at the borderline between R&D administration and indirect supporting activities Administration Personnel data cover only R&D proper Management, administration and clerical activities included only when these contribute directly to R&D projects and are undertaken exclusively for R&D Expenditure data cover the full cost of R&D, including the indirect supporting activities which are treated as overheads Service or indirect support activities (e.g. transportation, storage, cleaning, repair, maintenance and security) Excluded from personnel data but included in expenditure data as overhead

35 Clinical trials Clinical trial phases 1, 2 and 3 included in R&D Phase 4 clinical trials excluded from R&D, except if they bring about a further scientific or technological advance

36 Criteria for distinguishing R&D from related activities Basic criterion: an appreciable element of novelty and the resolution of scientific and/or technological uncertainty. Supplementary criteria: -What are the objectives of the project? -What is new or innovative about this project? -What staff is working on the project? -What methods are being used? -Under what programme is the project funded? -How general are the findings or results of the project likely to be? -Does the project fall more naturally into another scientific, technological or industrial activity?

37 Examples: distinguishing R&D and related activities In the field of medicine, routine autopsy on the causes of death is the practice of medical care and is not R&D; special investigation of a particular mortality to establish the side effects of certain cancer treatments is R&D. Similarly, routine tests such as blood and bacteriological tests carried out for doctors are not R&D, whereas a special programme of blood tests in connection with the introduction of a new drug is R&D. The keeping of daily records of temperatures or of atmospheric pressure is not R&D but the operation of a weather forecasting service or general data collection. The investigation of new methods of measuring temperature is R&D, as are the study and development of new systems and techniques for interpreting the data.

38 Examples: distinguishing R&D and related activities (cont.) R&D activities in the mechanical engineering industry often have a close connection with design and drawing work. In small and medium-size enterprises (SMEs) in this industry, there is usually no special R&D department, and R&D problems are mostly dealt with under the general heading design and drawing. If calculations, designs, working drawings and operating instructions are made for the setting up and operating of pilot plants and prototypes, they should be included in R&D. If they are carried out for the preparation, execution and maintenance of production standardisation (e.g. jigs, machine tools) or to promote the sale of products (e.g. offers, leaflets, catalogues of spare parts), they should be excluded from R&D.

39 Identifying R&D in software development Completion must be dependent on a scientific and/or technological advance Aim of the project must be the systematic resolution of a scientific and/or technological uncertainty In addition to the software that is part of an overall R&D project, the R&D associated with software as an end product should also be classified as R&D

40 R&D in software This is not to be counted as R&D: Business application software and information system development using known methods and existing software tools Support for existing systems Converting and/or translating computer languages Adding user functionality to application programmes Debugging of systems Adaptation of existing software Preparation of user documentation

41 Examples of R&D in software R&D producing new theorems and algorithms in the field of theoretical computer science Development of information technology at the level of operating systems, programming languages, data management, communications software and software development tools Development of Internet technology Research into methods of designing, developing, deploying or maintaining software Software development that produces advances in generic approaches for capturing, transmitting, storing, retrieving, manipulating or displaying information Experimental development aimed at filling technology knowledge gaps as necessary to develop a software programme or system R&D on software tools or technologies in specialised areas of computing (image processing, geographic data presentation, character recognition, artificial intelligence and other areas)

42 Criteria for identifying R&D in services Links with public research laboratories The involvement of staff with PhDs, or PhD students The publication of research findings The construction of prototypes or pilot plants

43 Examples of R&D in banking and insurance Mathematical research relating to financial risk analysis Development of risk models for credit policy Experimental development of new software for home banking Development of techniques for investigating consumer behaviour for the purpose of creating new types of accounts and banking services Research to identify new risks or new characteristics of risk that need to be taken into consideration in insurance contracts Research on social phenomena with an impact on new types of insurance (health, retirement, etc.), such as on insurance cover for non-smoker R&D related to electronic banking and insurance, Internet-related services and e-commerce applications R&D related to new or significantly improved financial services (new concepts for accounts, loans, insurance and saving instruments)

44 Examples of R&D in other service activities Analysis of the effects of economic and social change on consumption and leisure activities Development of new methods for measuring consumer expectations and preferences Development of new survey methods and instruments Development of tracking and tracing procedures (logistics) Research into new travel and holiday concepts Launch of prototype and pilot stores

45 Summary R&D STET STS STA Innovation + Other industrial activities Admin and other sup. activities

46 REFERENCES Can be found in the supporting document

47 Abbreviations Some abbreviations STIScience, technology and innovation S&TScience and technology STAScience and technology activities STSScience and technology services STETScientific and technological education and training at broadly the third level R&DResearch and (experimental) development HRSTHuman resources for science and technology ICTInformation and communication technology

48 Manuals (1) Frascati Manual: (E) (F) Oslo Manual: (E) (F) Canberra Manual: (E) Patent Statistics Manual: (E) (F)

49 Manuals (2) OECD Guide to Measuring the Information Society: (E) Biotechnology framework: (E) (F) Handbook on Economic Globalisation Indicators: (E) (F) Measuring Productivity: (E)

50 Contacts UIS field staff in Bangkok: Nyi Nyi Thaung UIS field staff in New Delhi: Shailendra Sigdel The UIS S&T team in Montreal: Martin Schaaper Rohan Pathirage

51 Thank you!

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