Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective South East Asian Regional Workshop on Science, Technology and Innovation Statistics Hanoi, Viet Nam 5-8 December 2011 Martin Schaaper

FRAMEWORKS

STI: a linear model? The model Indicators

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 (NEW!) Administrative data (patents) Publications databases High-tech data (trade)

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

Standardisation of indicators INTERNATIONAL LEVEL REGIONAL LEVEL NATIONAL LEVEL INSTITUTIONAL LEVEL ConsensusStandards YOU ARE HERE

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)

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

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

DEFINITIONS

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.

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)

An indicators framework R&D STET STS STA

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

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.

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?

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)

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

An indicators framework R&D STET STS STA

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

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

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

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

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.

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

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

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

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.

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.

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

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

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

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

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

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

REFERENCES Can be found in the supporting document

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

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

Thank you!