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1 Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective Regional Workshop on Science, Technology and Innovation (STI) Indicators for Gulf countries Doha, Qatar 15 to 17 October 2012


3 STI: a linear model? The model Indicators

4 From model to indicators Inputs (R&D expenditure, Human Resources) Black Box (innovation) Output (patents, publications, high-tech products) R&D survey R&D personnel R&D Expenditure Innovation statistics since 2010 Administrative data (patents) Publications databases High-tech data (trade)

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


7 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 and ISCED 2011

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

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


11 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 i.e. NS and SSH.

12 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)

13 An indicators framework R&D STET STS STA

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

15 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: presence of an appreciable element of novelty and the resolution of scientific and/or technological uncertainty.

16 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)

17 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

18 An indicators framework R&D STET STS STA

19 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

20 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

21 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

22 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

23 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.

24 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

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

26 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

27 Innovation: definition (Oslo Manual 2005) The implementation of: New or significantly improved product (good or service); or New process; or New marketing method; or New organisational method.

28 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.

29 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

30 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

31 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

32 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

33 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

34 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

35 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?

36 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.

37 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.

38 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

39 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

40 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)

41 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

42 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)

43 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

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

45 And now… Time for the exercise!


47 Sectoring for R&D statistics Framework for analysing the flows of funds between funding and performing entities Facilitates data collection Following standard classifications of economic activities. Most reliable way of building up national aggregates Questionnaires and survey methods per sector Shows differences in the level and direction of R&D Relate R&D to other statistical series

48 Sectors of economy Business enterprise sector Government sector Higher education sector Private non-profit sector Abroad (only as source of funds)

49 Institutional classification Business enterprise All firms, enterprises whose primary activity is the market production of goods or services for sale Private non-profit institutions mainly serving business Public enterprises Government All government departments, offices, research institutions, etc Non-profit institutions (NPI) controlled and mainly financed by government Excludes public enterprises Higher education All universities, colleges of technology and other post-secondary education institutions Clinics, experimental stations operating under the direct control of or administered by or associated with higher education institutions Private non-profit Non-market, private non-profit institutions serving households; also private individuals or households Abroad (only as source of fund) All institutions and individuals located outside the political borders of a country International organisations (except business enterprises) within the countrys borders

50 Functional distributions Type of activity Fields of science Socio-economic objective

51 Type of activity Basic research Applied research Experimental development

52 Fields of science (FoS 2007) 1. Natural Sciences 1.1 Mathematics 1.2 Computer and information sciences 1.3 Physical sciences 1.4 Chemical sciences 1.5 Earth and related environmental sc. 1.6 Biological sciences 1.7 Other natural sciences 2. Engineering and Technology 2.1 Civil engineering 2.2 Electrical, electronic, information eng. 2.3 Mechanical engineering 2.4 Chemical engineering 2.5 Materials engineering 2.6 Medical engineering 2.7 Environmental engineering 2.8 Environmental Biotechnology 2.9Industrial biotechnology 2.10 Nano-technology 2.11 Other engineering and tech. 3. Medical and Health Sciences 3.1 Basic medicine 3.2 Clinical medicine 3.3 Health sciences 3.4Health biotechnology 3.5 Other medical sciences 4. Agricultural Sciences 4.1 Agriculture, forestry, and fishery 4.2 Animal and dairy science 4.3 Veterinary sciences 4.4Agricultural biotechnology 4.5 Other agricultural sciences 5. Social Sciences 5.1 Psychology 5.2 Economics and business 5.3 Educational sciences 5.4 Sociology 5.5 Law 5.6 Political Science 5.7 Social and economic geography 5.8 Media and communications 5.9 Other social sciences 6. Humanities 6.1 History and archaeology 6.2 Languages and literature 6.3 Philosophy, ethics and religion 6.4 Art 6.5 Other humanities

53 Socio-economic objectives (SEO) (based on NABS 2007) 1.Exploration and exploitation of the earth 2.Environment 3.Exploration and exploitation of space 4.Transport, telecommunication and other infrastructures 5.Energy 6.Industrial production and technology 7.Health 8.Agriculture 9.Education 10.Culture, recreation, religion and mass media 11.Political and social systems, structures and processes 12.General advancement of knowledge 13.Defence

54 Breakdowns of R&D personnel Sector of performance Occupation Qualification Fields of science Gender Age

55 R&D personnel by occupation Researchers Technicians and equivalent staff Other supporting staff More details later

56 Classification by formal qualification (1) Still based on International Standard Classification of Education (ISCED) 1997 ISCED 6 (PhD level) ISCED 5A (University degrees below PhD level) ISCED 5B (Other tertiary level diplomas) Other qualifications: ISCED 4 (Post-secondary non-tertiary diplomas) ISCED 3 (Secondary education) Other qualifications (

57 Classification by formal qualification (2) ….. ISCED 2011 will be implemented in UIS surveys from 2014 ….. ISCED2011 level 8 (doctoral or eq. = ISCED 1997 level 6) ISCED2011 level 7 (master or eq. = ISCED 1997 level 5A) ISCED2011 level 6 (bachelor or eq. = ISCED 1997 level 5A) ISCED2011 level 5 (other tertiary diplomas = ISCED 1997 level 5B) Other qualifications: ISCED2011 level 4 (Post-secondary non-tertiary diplomas = ISCED 1997 level 4) ISCED2011 level 3 (Upper secondary education = ISCED 1997 level 3) Other qualifications; < ISCED2011 level 3 (= below ISCED 1997 level 3) Note: in 2013 countries may start implementing new ISCED …

58 Classification by age Under 25 years years years years years 65 years and more

59 Breakdowns of R&D expenditure Sector of performance Source of funds Type of activity Type of costs (current vs. capital cost) Fields of science Socio-economic objective

60 REFERENCES Can be found in the supporting document

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

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

63 Thank you!

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