Presentation on theme: "Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective Regional Workshop on Science, Technology and Innovation."— Presentation transcript:
1Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective Regional Workshop on Science, Technology and Innovation (STI) Indicators for Gulf countriesDoha, Qatar 15 to 17 October 2012
4From model to indicators Inputs (R&D expenditure, Human Resources)Black Box (innovation)Output (patents, publications, high-tech products)R&D surveyR&D personnelR&D ExpenditureInnovation statisticssince 2010Administrative data (patents)Publications databasesHigh-tech data (trade)4
5A systems approach Innovation is dynamic and complex: Many actors, many linkagesFeedback and feed-forward loops innovation is non-linear5
6Standardisation of indicators YOU ARE HEREStandardsConsensus
7UNESCO methodologies and frameworks Recommendation concerning the International Standardization of Statistics on Science and Technology, 1978UNESCO Manual for Statistics on Scientific and Technological Activities ST-84/WS/12, Paris, 1984International Standard Classification of Education - ISCED 1997 and ISCED 2011
8“Frascati family” of OECD Manuals Frascati ManualOslo ManualCanberra ManualPatent Manual
9Other relevant OECD frameworks Handbook of Economic Globalisation IndicatorsGuide to Measuring the Information SocietyFramework for Biotechnology StatisticsProductivity manual
11all fields of science and technology i.e. NS and SSH. STA: DefinitionScientific 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 knowledgeand applies to:all fields of science and technology i.e. NS and SSH.Two major aspects characterise this definition. The first aspect relates to the nature of S&T activities: they concentrate upon, or are closely connected with, the production, the distribution and the utilization of scientific and technical knowledge. It is within the scope of S&T activities that scientific and technical knowledge is created, distributed, collected, modified, transformed, adapted to use and utilized. The second is connected with the fields covered.
12STA coverage Scientific and technological activities comprise: Research and experimental development (R&D)Scientific and technical education and training (STET)Scientific and technological services (STS)
14Research and Development First edition published in 1963!Sixth edition published in 2002De facto world standard14
15Research and experimental development (R&D) R&D: DefinitionResearch and experimental development (R&D)comprisecreative 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.From this definition it is evident that the crucial element in identifying R&D is the presence of an element of creativity and innovation.This common character is shared both by scientific research and by experimental development. In order to identify properly these two activities, the essential elements which characterize them are set forth:i) the element of creativityii) the element of innovation;iii) the use of scientific methods;iv) the generation of new knowledge.A scientific activity may be defined as scientific research only if these four elements are present.
16R&D covers 3 activitiesBasic 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)
17Exclusions Excluded from R&D Education and training Scientific and technological services / Other science and technology activitiesOther industrial activitiesAdministration and other supporting activities these will come backEducation and training: but PhD research includedOther science and technology activities: S&T information services, general purpose data collection, testing, feasibility studies, patent and licence work, policy related studies, routine software developmentOther industrial activities: (many innovation) acquisition of technology, tooling up, industrial engineering, design, production start upAdministration and other supporting activities17
19Specialized non-university higher education All university education STET: DefinitionScientific and technological education and training at broadly the third level (STET) can be defined as all activities comprising:Specialized non-university higher educationAll university educationOrganized lifelong training for scientists and engineersThe "education and training" activities should be separated from R&D activities and from scientific and technological services. Thus, the research aspects of post-graduate training should be included in R&D.Similarly, activities of university libraries, of scientific museums, or of testing stations and survey work being performed in the institutions of higher education should not be included in the group STET but in the correspondinggroups of S&T services. The clinical activities carried out within university clinics, which should be regarded as specialized medical care, should also be excluded.
20Limits between R&D and teaching and training Research and teaching very closely linked in higher educationResults of research feed into teaching, and information and experience gained in teaching can often result in an input to researchDifficult to define where education and training of staff and students end and R&D activities begin, and vice versaElements of novelty distinguish R&D from routine teaching and other work-related activities
21Borderline between R&D and education and training at ISCED level 6 Education and training at level 6R&DOther activitiesTeachers1. Teaching students at level 6.3. Supervision of R&D projects required for student qualification at level 65. Teaching at levels lower than level 62. 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 projects6. Other activitiesPost-graduate students1. Course work for formal qualification.2. Performing and writing up independent studies (R&D projects) required for formal qualification4. Teaching at levels lower than level 63. Any other R&D activities5. Other activities
22Concerned with scientific research and experimental development STS: DefinitionScientific and technological services (STS) can be defined as any activities:Concerned with scientific research and experimental developmentContributing to the generation, dissemination and application of scientific and technical knowledgeThe common denominator of this composite group of scientific activities, which are defined and illustrated below, is the direct or indirect link with R&D, from which they my be distinguished by the fact that they do not have the character of innovation. Therefore my work aiming at establishing new methodologies, procedures and techniques used in these services should be regarded as R&D.
23STS: detailed activities S&T information and documentation activities provided by libraries, archives, databanks, etcS&T services provided by museums, botanical and zoological gardens, etcTranslation and editing of S&T publicationsCollection of data in the field of NSE. eg. meteorological observationsActivities related to searching oil and minerals resourcesCollection of data on human, social, economic and cultural phenomena, by National Statistical OfficesTesting, standardization, and quality control activities by National Bureau of StandardsExtension, advisory services, feasibility studies, etcPatents and licenses activities by National Patent Office.
24Other related scientific and technological activities Scientific and technical information servicesGeneral purpose data collectionTesting and standardisationFeasibility studiesSpecialised health carePatent and licence workPolicy-related studiesRoutine software development
25An indicators “framework” Innovation + Other industrial activitiesAdmin and other sup. activitiesSTAR&DSTETSTS
26Innovation: the Oslo Manual Jointly with the ECPart of the Frascati familyUsed for CIS and national innovation surveys1st edition 19922nd edition 1997 coverage expanded to services3rd edition 2005 including non-technological innovation26
27Innovation: definition (Oslo Manual 2005) The implementation of:New or significantly improved product (good or service); orNew process; orNew marketing method; orNew organisational method.
28Innovation 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.
29Examples: 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 cardsA new, self-service bank office
30Examples: marketing and organisational innovation Implementation of a fundamentally new design of bottles for a body lotion intended to give the product a distinctively exclusive lookImplementation of a personalised information system, e.g. obtained from loyalty cards, to tailor the presentation of products to the specific needs of individual customersFirst-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
31Borderline between R&D and other industrial activities IncludedPrototypesPilot plantDividedIndustrial design and drawingIndustrial engineering and tooling upTrial productionExcludedAfter-sales service & troubleshootingPatent and licence workRoutine testsData collectionPublic inspection control, enforcement of standards, regulations
32Borderline between experimental and pre-production development Included:To make further technical improvements on the product or processExcluded:To develop markets, to do pre-production planning or to get a production or control system working smoothly
33Personnel data cover only R&D proper Problems at the borderline between R&D administration and indirect supporting activitiesAdministrationPersonnel data cover only R&D properManagement, administration and clerical activities included only when these contribute directly to R&D projects and are undertaken exclusively for R&DExpenditure data cover the full cost of R&D, including the indirect supporting activities which are treated as overheadsService or indirect support activities (e.g. transportation, storage, cleaning, repair, maintenance and security)Excluded from personnel data but included in expenditure data as overhead
34Clinical 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
35Criteria 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?
36Examples: 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.
37Examples: 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.
38Identifying R&D in software development Completion must be dependent on a scientific and/or technological advanceAim of the project must be the systematic resolution of a scientific and/or technological uncertaintyIn 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
39R&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 toolsSupport for existing systemsConverting and/or translating computer languagesAdding user functionality to application programmesDebugging of systemsAdaptation of existing softwarePreparation of user documentation
40Examples of R&D in software R&D producing new theorems and algorithms in the field of theoretical computer scienceDevelopment of information technology at the level of operating systems, programming languages, data management, communications software and software development toolsDevelopment of Internet technologyResearch into methods of designing, developing, deploying or maintaining softwareSoftware development that produces advances in generic approaches for capturing, transmitting, storing, retrieving, manipulating or displaying informationExperimental development aimed at filling technology knowledge gaps as necessary to develop a software programme or systemR&D on software tools or technologies in specialised areas of computing (image processing, geographic data presentation, character recognition, artificial intelligence and other areas)
41Criteria for identifying R&D in services Links with public research laboratoriesThe involvement of staff with PhDs, or PhD studentsThe publication of research findingsThe construction of prototypes or pilot plants
42Examples of R&D in banking and insurance Mathematical research relating to financial risk analysisDevelopment of risk models for credit policyExperimental development of new software for home bankingDevelopment of techniques for investigating consumer behaviour for the purpose of creating new types of accounts and banking servicesResearch to identify new risks or new characteristics of risk that need to be taken into consideration in insurance contractsResearch on social phenomena with an impact on new types of insurance (health, retirement, etc.), such as on insurance cover for non-smokerR&D related to electronic banking and insurance, Internet-related services and e-commerce applicationsR&D related to new or significantly improved financial services (new concepts for accounts, loans, insurance and saving instruments)
43Examples of R&D in other service activities Analysis of the effects of economic and social change on consumption and leisure activitiesDevelopment of new methods for measuring consumer expectations and preferencesDevelopment of new survey methods and instrumentsDevelopment of tracking and tracing procedures (logistics)Research into new travel and holiday conceptsLaunch of prototype and pilot stores
44Summary STA R&D STET STS Admin and other sup. activities Innovation + Other industrial activitiesAdmin and other sup. activitiesSTAR&DSTETSTS
47Sectoring for R&D statistics Framework for analysing the flows of funds between funding and performing entitiesFacilitates data collectionFollowing standard classifications of economic activities.Most reliable way of building up national aggregatesQuestionnaires and survey methods per sectorShows differences in the level and direction of R&DRelate R&D to other statistical series
48Sectors of economy Business enterprise sector Government sector Higher education sectorPrivate non-profit sectorAbroad (only as source of funds)
49Institutional classification Business enterpriseAll firms, enterprises whose primary activity is the market production of goods or services for salePrivate non-profit institutions mainly serving businessPublic enterprisesGovernmentAll government departments, offices, research institutions, etcNon-profit institutions (NPI) controlled and mainly financed by governmentExcludes public enterprisesHigher educationAll universities, colleges of technology and other post-secondary education institutionsClinics, experimental stations operating under the direct control of or administered by or associated with higher education institutionsPrivate non-profitNon-market, private non-profit institutions serving households; also private individuals or householdsAbroad (only as source of fund)All institutions and individuals located outside the political borders of a countryInternational organisations (except business enterprises) within the country’s borders
50Functional distributions Type of activityFields of scienceSocio-economic objective
51Type of activity Basic research Applied research Experimental development
52Fields of science (FoS 2007) 1. Natural Sciences1.1 Mathematics1.2 Computer and information sciences1.3 Physical sciences1.4 Chemical sciences1.5 Earth and related environmental sc.1.6 Biological sciences1.7 Other natural sciences2. Engineering and Technology2.1 Civil engineering2.2 Electrical, electronic, information eng.2.3 Mechanical engineering2.4 Chemical engineering2.5 Materials engineering2.6 Medical engineering2.7 Environmental engineering2.8 Environmental Biotechnology2.9 Industrial biotechnology2.10 Nano-technology2.11 Other engineering and tech.3. Medical and Health Sciences3.1 Basic medicine3.2 Clinical medicine3.3 Health sciences3.4 Health biotechnology3.5 Other medical sciences4. Agricultural Sciences4.1 Agriculture, forestry, and fishery4.2 Animal and dairy science4.3 Veterinary sciences4.4 Agricultural biotechnology4.5 Other agricultural sciences5. Social Sciences5.1 Psychology5.2 Economics and business5.3 Educational sciences5.4 Sociology5.5 Law5.6 Political Science5.7 Social and economic geography5.8 Media and communications5.9 Other social sciences6. Humanities6.1 History and archaeology6.2 Languages and literature6.3 Philosophy, ethics and religion6.4 Art6.5 Other humanities
53Socio-economic objectives (SEO) (based on NABS 2007) Exploration and exploitation of the earthEnvironmentExploration and exploitation of spaceTransport, telecommunication and other infrastructuresEnergyIndustrial production and technologyHealthAgricultureEducationCulture, recreation, religion and mass mediaPolitical and social systems, structures and processesGeneral advancement of knowledgeDefence
54Breakdowns of R&D personnel Sector of performanceOccupationQualificationFields of scienceGenderAge
55R&D personnel by occupation ResearchersTechnicians and equivalent staffOther supporting staff More details later
56Classification by formal qualification (1) Still based on International Standard Classification of Education (ISCED) 1997ISCED 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 (<ISCED3)Note: ISCED has been revised …….
57Classification 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 …
58Classification by age Under 25 years 25-34 years 35-44 years 65 years and more
59Breakdowns of R&D expenditure Sector of performanceSource of fundsType of activityType of costs (current vs. capital cost)Fields of scienceSocio-economic objective
60Can be found in the supporting document REFERENCESCan be found in the supporting document