www.uis.unesco.org measuring science, technology and innovation (sti): definitions from a...

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Measuring 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

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FRAMEWORKS

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STI: a linear model?

The model

Indicators

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From model to indicators

• R&D survey

• R&D personnel

• R&D Expenditure

• Innovation statistics

• since 2010

• Administrative data (patents)

• Publications databases

• High-tech data (trade)

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A systems approach

Innovation is dynamic and complex:

Many actors, many linkages

Feedback and feed-forward loops

innovation is non-linear

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Standardisation of indicators

INTERNATIONAL LEVEL

REGIONAL LEVEL

NATIONAL LEVEL

INSTITUTIONAL LEVEL

ConsensusStandards

YOU ARE HERE

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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

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“Frascati family” of OECD Manuals

Frascati Manual

Oslo Manual

Canberra Manual

Patent Manual

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Other relevant OECD frameworks

Handbook of Economic Globalisation Indicators

Guide to Measuring the Information Society

Framework for Biotechnology Statistics

Productivity manual

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DEFINITIONS

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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.

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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)

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An indicators “framework”

R&D

STET

STS

STA

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Research and Development

First edition published in 1963!

Sixth edition published in 2002

De facto world standard

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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.

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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)

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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

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An indicators “framework”

R&D

STET

STS

STA

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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

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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

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Borderline between R&D and education and training at ISCED level 6

Education and training at level 6

R&D Other activities

Teachers 1. Teaching students at level 6.

3. 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

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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

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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.

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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

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An indicators “framework”

R&D

STET

STS

STA

Innovation + Other

industrial activities

Admin and other sup. activities

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Innovation: the Oslo Manual

Jointly with the EC

Part of the Frascati family

Used for CIS and national innovation surveys

1st edition 1992

2nd edition 1997 coverage expanded to services

3rd edition 2005 including non-technological innovation

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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.

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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.

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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

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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

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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

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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

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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

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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

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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?

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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.

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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.

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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

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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

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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)

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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

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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)

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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

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Summary

R&D

STET

STS

STA

Innovation + Other

industrial activities

Admin and other sup. activities

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And now…

Time for the exercise!

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CLASSIFICATIONS AND BREAKDOWNS

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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

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Sectors of economy

Business enterprise sector

Government sector

Higher education sector

Private non-profit sector

Abroad (only as source of funds)

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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 country’s borders

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Functional distributions

Type of activity

Fields of science

Socio-economic objective

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Type of activity

Basic research

Applied research

Experimental development

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Fields of science (FoS 2007)

1. Natural Sciences1.1 Mathematics 1.2 Computer and information sciences1.3 Physical sciences1.4 Chemical sciences1.5 Earth and related environmental sc.1.6 Biological sciences1.7 Other natural sciences

2. 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 Biotechnology2.9Industrial biotechnology2.10 Nano-technology2.11 Other engineering and tech.

3. Medical and Health Sciences3.1 Basic medicine3.2 Clinical medicine3.3 Health sciences3.4Health biotechnology3.5 Other medical sciences

4. Agricultural Sciences4.1 Agriculture, forestry, and fishery4.2 Animal and dairy science4.3 Veterinary sciences4.4 Agricultural biotechnology4.5 Other agricultural sciences

5. 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 sciences

6. Humanities6.1 History and archaeology6.2 Languages and literature6.3 Philosophy, ethics and religion6.4 Art6.5 Other humanities

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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

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Breakdowns of R&D personnel

Sector of performance

Occupation

Qualification

Fields of science

Gender

Age

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R&D personnel by occupation

Researchers

Technicians and equivalent staff

Other supporting staff

More details later

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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 (<ISCED3)

Note: ISCED has been revised …….

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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 …

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Classification by age

Under 25 years

25-34 years

35-44 years

45-54 years

55-64 years

65 years and more

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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

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REFERENCESCan be found in the supporting document

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Manuals (1)

Frascati Manual: http://213.253.134.43/oecd/pdfs/browseit/9202081E.PDF (E)

http://213.253.134.43/oecd/pdfs/browseit/9202082E.PDF (F)

Oslo Manual: http://213.253.134.43/oecd/pdfs/browseit/9205111E.PDF (E)

http://213.253.134.43/oecd/pdfs/browseit/9205112E.PDF (F)

Canberra Manual: http://www.oecd.org/dataoecd/34/0/2096025.pdf (E)

Patent Statistics Manual: http://browse.oecdbookshop.org/oecd/pdfs/browseit/9209021E.PDF (E)

http://browse.oecdbookshop.org/oecd/pdfs/browseit/9209022E.PDF (F)

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Manuals (2)

OECD Guide to Measuring the Information Society:

http://www.oecd.org/dataoecd/25/52/43281062.pdf (E)

Biotechnology framework: http://www.oecd.org/dataoecd/5/48/34935605.pdf (E)

http://www.oecd.org/dataoecd/16/6/35878269.pdf (F)

Handbook on Economic Globalisation Indicators: http://browse.oecdbookshop.org/oecd/pdfs/browseit/9205061E.PDF (E)

http://browse.oecdbookshop.org/oecd/pdfs/browseit/9205062E.PDF (F)

Measuring Productivity:

http://www.oecd.org/dataoecd/59/29/2352458.pdf (E)

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Thank you!

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r.pathirage@unesco.org