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Indicators for a Knowledge- Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry Economic Analysis and Statistics Division
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Page 1: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Indicators for a Knowledge-Based EconomyThe OECD perspective

Belgrade, 2 October 2008

Martin SchaaperOECDDirectorate for Science, Technology and IndustryEconomic Analysis and Statistics Division

Page 2: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.
Page 3: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Directorate for Science, Technology and Industry

Page 4: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Data

MethodologyAnalysis

EAS: how we work

Page 5: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

S&T: a linear model?

The model

Indicators

Page 6: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

A systems approach

Innovation is dynamic and complex:• Many actors, many linkages• Feedback and feed-forward loops

innovation is non-linear

Page 7: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Evidence-based policy making

Page 8: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

The Scoreboard: an integrated view

A. R&D B. HRSTC. Innovation

policy

F. Particular technologies

E. ICTD. Innovation performance

G. Internationalisation

of S&T

H. Global economic

flows

I. Productivity and trade

Page 9: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

A. Research and Development

• First edition published in 1963!

• Sixth edition published in 2002

• Data also collected since 1963

Page 10: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Highlights of the 5th Frascati Manual revision

• Improved methodological guidelines • Update various classifications• R&D in service sectors• Human resources for R&D • Survey methods business enterprise sector• GBAORD• Globalisation and links to SNA

(capitalisation of R&D!)• Annexes on health, ICT and biotechnology

Page 11: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Definition of R&D

• 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.

Page 12: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Exclusions from R&D

• Education and training• Other science and technology

activities• Other industrial activities• Administration and other supporting

activities

Page 13: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Intramural R&D expenditure

• By sector of performance (BES, HE, GOV, PNP)

• By source of funds (same plus abroad)• By type of activity (BR, AR, ED)• By type of cost (current and capital)• By field of science (nat sc, eng &

techn, med sc, agri sc, soc sc, hum)• By socio-economic objective (~ NABS)

Page 14: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Business Expenditure on R&D

• BERD by industry (NACE/ISIC)– Main activity– Product field– ISIC 73

• BERD by size-class

Page 15: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Government Budget Appropriations or Outlays for R&D (GBAORD)

1. Exploration and exploitation of the earth2. Environment3. Exploration and exploitation of space4. Transport, telecommunication and other infrastructures5. Energy 6. Industrial production and technology7. Health 8. Agriculture9. Education10. Culture, recreation religion and mass media11. Political and social systems, structures and processes12. General advancement of knowledge: GUF13. General advancement of knowledge: non-GUF14. Defence

Page 16: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

R&D Personnel

• In headcounts and full-time equivalents• By sector of employment• By occupation (researchers, technicians,

oss)• By qualification (ISCED)• By field of science• By industry• By sex• By age-group

Page 17: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

R&D intensity,

2005

Page 18: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

R&D intensity in non-OECD countries,

2005

Page 19: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Annual average

growth rate of GERD, 2000-05

Page 20: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

R&D expenditure by sector of

performance, 2005

Page 21: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

B. Human Resources for Science and Technology (HRST)

• The Measurement of Human Resources Devoted to Science and Technology – Canberra Manual (1995)

• The CM is part of the Frascati family

• Careers of Doctorate Holders (CDH)

Page 22: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Dimensions of HRST

• Skills• Qualifications• Mobility

Page 23: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Definition of HRST(Canberra Manual)

HRST are people who fulfil one or other of the following conditions:

a) successfully completed education at the third level in an S&T field of study;

b) not formally qualified as above, but employed in a S&T occupation where the above qualifications are normally required.

Page 24: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Definition of HRST (cont.)Education

• ISCED Level 5- First stage of tertiary education (not leading directly to an advanced research qualification)

• ISCED 5A: theoretically based/research preparatory or giving access to professions with high skills requirements

• ISCED 5B: practical/technical/occupationally specific

• ISCED Level 6- Second stage of tertiary education (leading to an advanced research qualification)

Page 25: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Definition of HRST (cont.)Occupation

• A subset of ISCO Major Group 1: Legislators, senior officials and managersUsually ignored!

• ISCO Major Group 2: Professionals

• ISCO Major Group 3: Technicians And Associate Professionals

Page 26: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

HRST according to the CMOther

OCCUPATIONS ISCED 5A ISCED 5B ISCED 6 ISCED levels

122 Production and Operations Department Managers

ISCO 1 123 Other Department Managers

(subset)of which 1236 Computing Services Department Managers

131 General Managers HRSTC

HRSTO21 Physical, Mathematical and

Engineering Science Professionals of which 213 Computing Professionals =

= ISCO 2 22 Life Science and Health Professionals 23 Teaching Professionals Core HRST

HRST 24 Other Professionals

employed31 Physical and Engineering Science

Associate Professionals (with 3rd level education and employed in S&T)

in S&Tof which 312 Computer Associate Professionals

ISCO 332 Life Science and Health Associate

Professionals 33 Teaching Associate Professionals 34 Other Associate Professionals

All other occupationsHRSTU Unemployed

Out of the labour force

QUALIFICATIONSHRSTE = HRST with third level education

HRST = Human Resources in Science and TechnologyScientists and engineers = ISCO 21 +ISCO 22IT HRST occupations = ISCO 1236 + ISCO 213 + ISCO 312

Page 27: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Fields of study

• Natural sciences• Engineering and technology• Medical sciences• Agricultural sciences• Social sciences• Humanities• Other fields

NSE

Page 28: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

National stocks and flows of HRST

Persons qualifying atISCED level 5 or abovefor the first time.

Persons without aqualification at ISCEDlevel 5 or above who enteran S&T occupation.

Qualified immigrants

Persons without aqualification at ISCEDlevel 5 or above who leavetheir S&T occupation.

Emigrants

Deaths

Stock

of

HRST

HRST inflows HRST outflows

National

Page 29: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

International mobility of HRST

• Definitions– Place of birth vs. citizenship

• Measurement problems– Migration and qualification– Data often not comparable between

countries– Migration outflows

• Relevant for many non-OECD countries• Very little detailed information

Page 30: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Sources for HRST• Education databases• Labour force surveys• Population registers• Censuses• National administrative systems for

regulating and monitoring immigration• Administrative systems relating to

temporary residence or work permits for non-nationals

• Specific surveys

Page 31: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Graduation rates at

doctoral level, 2004 (% of

relevant age cohort)

Page 32: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Science and engineering

degrees, 2004

(% of total)

Page 33: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Tertiary-level graduates in

total employment,

2004 (as a % of

total)

Page 34: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Researchers per 1000

employment, 2005

Page 35: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Researchers per 1000

employment in non-OECD

economies, 2005

Page 36: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Educational attainment in non-OECD economies,

2004

Page 37: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Students from non-OECD economies enrolled in OECD countries, 2004

Page 38: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Careers of Doctorate Holders (CDH)

• A joint OECD/Eurostat/UNESCO project launched by the OECD Secretariat in 2004

• An expert group of 40 countries among which the United States, Japan, China, India, Argentina, Uganda and many European countries

• A three-component package developed by the expert group: output tabulations, methodological guidelines and a model survey questionnaire

Page 39: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Model questionnaire7 MODULES• MODULE EDU - DOCTORAL EDUCATION• MODULE REC - RECENT GRADUATES• MODULE POS - POSTDOCS• MODULE EMP - EMPLOYMENT SITUATION• MODULE MOB - INTERNATIONAL MOBILITY• MODULE CAR - CAREER RELATED

EXPERIENCE AND SCIENTIFIC PRODUCTIVITY

• MODULE PER - PERSONAL CHARACTERISTICS

Page 40: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Output tabulationsTable P1. NUMBER OF DOCTORATE HOLDERS BY SEX AND AGE CLASSTable P2. NUMBER OF DOCTORATE HOLDERS BY SEX AND COUNTRY OF CITIZENSHIPTable P3. NUMBER OF DOCTORATE HOLDERS BY CITIZENSHIP/RESIDENTIAL STATUS AND AGE CLASSTable P4. NUMBER OF DOCTORATE HOLDERS BY CITIZENSHIP/RESIDENTIAL STATUS AND FIELD OF DOCTORATE DEGREETable P5. NUMBER OF DOCTORATE HOLDERS BY SEX AND COUNTRY OF BIRTHTable P6. NUMBER OF DOCTORATE HOLDERS BY PLACE OF BIRTH/RESIDENTIAL STATUS AND AGE CLASSTable P7. NUMBER OF DOCTORATE HOLDERS BY PLACE OF BIRTH/RESIDENTIAL STATUS AND FIELD OF DOCTORATE DEGREE

Table ED1. NUMBER OF DOCTORATE HOLDERS BY CITIZENSHIP/RESIDENTIAL STATUS AND COUNTRY OF DOCTORATE AWARD Table ED2. NUMBER OF DOCTORATE HOLDERS BY PLACE OF BIRTH/RESIDENTIAL STATUS AND COUNTRY OF DOCTORATE AWARDTable ED3. NUMBER OF DOCTORATE HOLDERS BY COUNTRY OF DOCTORATE AWARD AND OF PRIOR EDUCATIONTable ED4. RECENT DOCTORATE RECIPENTS: AGE AT GRADUATION AND TIME TO COMPLETION BY MAIN FIELD OF DOCTORATE DEGREETable ED5. NUMBER OF DOCTORATE HOLDERS BY PRIMARY SOURCE OF FUNDING DURING COMPLETION OF DOCTORATE

Table EMP1. NUMBER OF DOCTORATE HOLDERS BY EMPLOYMENT STATUS AND YEAR OF DOCTORATE AWARDTable EMP2. NUMBER OF DOCTORATE HOLDERS BY EMPLOYMENT STATUS, FIELD OF DOCTORATE DEGREE AND AGETable EMP3. NUMBER OF RECENT DOCTORATE RECIPIENTS BY PRIMARY SOURCE OF FUNDING DURING COMPLETION OF DOCTORATE AND EMPLOYMENT STATUSTable EMP4. OCCUPATIONS OF EMPLOYED DOCTORATE HOLDERS BY FIELD OF DOCTORATE DEGREETable EMP5. NUMBER OF DOCTORATE HOLDERS EMPLOYED AS RESEARCHERS BY FIELD OF DOCTORATE DEGREETable EMP6. MEDIAN ANNUAL BASIC SALARY OF EMPLOYED DOCTORATE HOLDERS (national currency)Table EMP7. ANNUAL BASIC SALARY OF EMPLOYED RECENT DOCTORATE RECIPIENTS BY SOURCE OF FUNDING DURING COMPLETION OF DOCTORATE (national currency)Table EMP8. JOB TO JOB MOBILITY: LENGTH OF STAY WITH THE SAME EMPLOYER

Table PERC1. PERCEPTION OF DOCTORATE HOLDERS REGARDING THEIR JOB QUALIFICATIONTable PERC2. SATISFACTION OF DOCTORATE HOLDERS WITH THEIR EMPLOYMENT SITUATION

Table IMOB1. NUMBER OF DOCTORATE HOLDERS BY CITIZENSHIP/RESIDENTIAL STATUS AND LENGTH OF STAY IN THE COUNTRYTable IMOB2. NUMBER OF DOCTORATE HOLDERS BY CITYZENSHIP/RESIDENTIAL STATUS AND PREVIOUS COUNTRY OF RESIDENCETable IMOB3. REASONS FOR MOVING INTO THE COUNTRY FOR DOCTORATE HOLDERS HAVING ENTERED THE COUNTRY IN THE LAST FIVE OR TEN YEARS

Table OMOB1. INTENTIONS TO MOVE OUT OF THE COUNTRY IN THE NEXT YEAR BY COUNTRY OF INTENDED DESTINATION (optional)Table OMOB2. REASONS FOR INTENTIONS TO MOVE OUT OF THE COUNTRY IN THE NEXT YEAR (optional)Table OMOB3. NUMBER OF DOCTORATE HOLDERS HAVING LEFT THE COUNTRY IN THE LAST FIVE OR TEN YEARS BY CITIZENSHIP/RESIDENT STATUS AND COUNTRY OF DESTINATION (optional)Table OMOB4. REASONS FOR MOVING OUT OF THE COUNTRY IN THE LAST FIVE OR TEN YEARS (optional)

Table OUTP1. AVERAGE OUTPUT OF DOCTORATE HOLDERS WORKING AS RESEARCHERS IN THE LAST THREE YEARS (BY FIELD OF DOCTORATE DEGREE AND BY AGE)Table OUTP2. AVERAGE OUTPUT OF DOCTORATE HOLDERS WORKING AS RESEARCHERS IN THE LAST THREE YEARS (BY SEX AND CITIZENSHIP/RESIDENTIAL STATUS)

Page 41: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Methodological guidelines

1. Introduction2. Purpose of statistics on CDH3. The target population4. Survey methodology5. Collecting and processing of data6. Estimation of results and data

quality 7. Data transmission

Page 42: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

CDH data collection

• First collection in 2005 for 7 countries• Second collection launched mid-

November 2007• Data received for 22 countries: 20

European countries + Australia + US• Data for Canada, Croatia and Malta still

pending; new version of Australian data based on the 2006 census to be included; two data series for Italy

• Other: Japan? Non-OECD countries?

Page 43: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Data sources, coverage, limitations

• 4 types of data sources used:– Dedicated CDH surveys (census or sample)– Register data (Nordic countries)– Other established surveys (census and LFS)– A combination of the above

• Higher response rates for CDH sample surveys (> 50%) than for census surveys

• Good coverage of the target population– some difficulties with coverage of foreign

doctorate holders

Page 44: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Sex-breakdown of doctorate holders

Page 45: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Active DH as a % of total labour force

Page 46: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Citizenship and residential status of foreign-born DH

Page 47: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

DH having received their doctorate abroad

Page 48: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Ten top countries of previous residence of national DH having lived abroad

Austria BelgiumCzech

Republic Denmark Iceland Slovakia Spain Sweden

1 US US Germany US US US US US

2 Germany France US UK Sweden Germany UK Denmark

3 UK UK UK Germany Belgium Czech Rep. France China

4 France Netherlands France Australia Denmark France Germany UK

5 Italy Germany Austria Sweden Germany Austria Italy Iran

6 Belgium Canada Canada Canada Norway Belgium Netherlands Norway

7 Switzerland Italy Italy France Canada Japan Portugal Poland

8 Australia Switzerland Switzerland Italy Argentina UK Canada Germany

9 Netherlands Spain Netherlands Norway Austria Canada Belgium Finland

10 Spain Japan Belgium Netherlands Australia Italy Mexico Russia

Page 49: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

CDH conclusions

• The first results of the 2005 CDH data collection give interesting insights on the situation of doctorate holders in five countries

• Progress in the measurement of international mobility by cross-classifying place of birth and citizenship with residential status, length of stay in the country and other variables

Page 50: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

CDH conclusions (cont.)• Important value added by introducing the

collection of more qualitative information on the perception and plans of doctoral graduates regarding their employment and international mobility

• Such qualitative indicators are extremely useful to help understanding the complex patterns of international mobility that cannot only be gauged through quantitative data because of the heterogeneity of migration systems across countries

Page 51: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

International conference on the Careers and Mobility of Doctorate Holders

• 1st December in Brussels• Joint OECD/UIS/Eurostat event with

support of EC DG Research• The conference will serve as a forum

to diffuse and discuss the results with interested stakeholders, academics and policy makers

Page 52: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

International conference on the Careers and Mobility of Doctorate Holders

• Programme is under discussion, list of topics:– Doctoral and research training– Human resources in research– The labour market of doctorate holders– The international mobility of doctorate

holders

Page 53: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

C. Innovation policy

• Public-private cross-funding of R&D• Government R&D budgets• Tax treatment of R&D• Patenting by universities and

government• Collaboration with public research

organisations by innovating firms• Science linkages in technology• Entrepreneurship

Page 54: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Defence and civil R&D budgets

(GBAORD), 2006,

as a % of GDP

Page 55: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Rate of tax subsidies for USD 1 of R&D, 2007 (%)

Page 56: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

D. Innovation performance

• Patents• Bibliometrics• Innovation

Page 57: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Patents

• Indicators of invention• Administrative data containing much

information • Data widely available, e.g. in

PATSTAT (EPO)• Drawbacks

– Not all inventions are patented– Value distribution skewed

Page 58: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Patent Statistics Task Force

• OECD• Eurostat• European Patent Office (EPO)• Japan Patent Office (JPO)• US National Science Foundation (NSF)• US Patent and Trademark Office

(USPTO)• World Intellectual Property Organization

(WIPO)

Page 59: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

The Patent Manual 2008

• Part of the Frascati family• Major revision of the 1994 Manual• Provides background information to

understand the patent process• Proposes standards for compiling

indicators

Page 60: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Contents of the Patent Manual

1. Introduction2. Patents as statistical indicators of S&T3. Patent systems and procedures4. Counting patents for conducting

international comparison5. Technical and economic classifications

of patents6. The use and analysis of citations7. Indicators of internationalisation8. Indicators of patent value

Page 61: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Recent work

• Regional patents• Standardising patent holders’ names• Trademarks

Page 62: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Trends in triadic patent families

Page 63: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Triadic patent families per million population, 2005

Page 64: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Any questions?

Or is it already time for the coffee break?

Page 65: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

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

Page 66: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Innovation definition

An innovation is the implementation of a new or significantly improved product (good or service), or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations

Page 67: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

The innovationmeasurement framework

Page 68: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Innovation main concepts

Page 69: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Technological innovation• A product innovation is the introduction

of a good or service that is new or significantly improved with respect to its characteristics or intended uses. This includes significant improvements in technical specifications, components and materials, incorporated software, user friendliness or other functional characteristics.

• A process innovation is the implementation of a new or significantly improved production or delivery method. This includes significant changes in techniques, equipment and/or software.

Page 70: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Non-technological innovation• A marketing innovation is the

implementation of a new marketing method involving significant changes in product design or packaging, product placement, product promotion or pricing

• An organisational innovation is the implementation of a new organisational method in the firm’s business practices, workplace organisation or external relations

Page 71: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

More definitions (1)

Innovation activities are all scientific, technological, organisational, financial and commercial 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. Innovation activities also include R&D that is not directly related to the development of a specific innovation.

Page 72: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

More definitions (2)

• An innovative firm is one that has implemented an innovation during the period under review.

• A product‑process innovative firm is one that has implemented a new or significantly improved product or process during the period under review.

Page 73: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

More definitions (3)

• Type of innovation: successful, unsuccessful, ongoing

• Degree of novelty: technologically new / significantly improved/disruptive

• Approach: “subject” vs. “object”• Degree of novelty: technologically

new / significantly improved• Focus: business enterprise sector

Page 74: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Innovation activities for product and process innovations

• Intramural (in-house) R&D • Acquisition of R&D (extramural R&D)• Acquisition of other external knowledge• Acquisition of machinery, equipment and

other capital goods• Other preparations for product and

process innovations• Market preparations for product

innovations• Training

Page 75: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Innovation data

• Objectives of innovation• Factors assisting/hampering

innovation• Expenditure on innovation• Impacts and outcomes• Linkages

Page 76: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

In-house product innovators by size (as a % of all firms), 2002-04

Page 77: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

In-house process

innovators by sector (as a % of all firms), 2002-04

Page 78: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Share of turnover due to new-to-market

product innovations by size (as a % of

turnover), 2002-04

Page 79: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Non-technological innovators by

sector (as a % of all

firms), 2002-04

Page 80: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

E. ICT• OECD Guide to Measuring the

Information Society– OECD definition of the ICT sector– OECD classification of ICT products– Model survey of ICT use in households and

by individuals– Model survey of ICT use by businesses– OECD definitions of Internet and e-

commerce transactions– Impacts– Annex for developing countries

Page 81: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Households with broadband access, 2000-06 (%)

Page 82: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Individuals using the Internet from any location, 2006 (%)

Page 83: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Broadband penetration by size class, 2006. As a % of businesses

with 10 or more employees

Page 84: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Percentage of enterprises' total turnover from e-commerce,

2003-06 (%)

Page 85: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Trade in ICT goods as a % of total trade

Page 86: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Business R&D expenditure by selected ICT

manufacturing industries, as a % of GDP

Page 87: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

F. Particular technologies

• Biotechnology• Nanotechnology• Environmental science

Page 88: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Biotechnology

• A series of ad-hoc meetings of a NESTI spin-off group

• A framework for biotechnology statistics (2005) – Definitions– Model survey of biotechnology use and

development – Classifications

• OECD biotechnology statistics - 2006

Page 89: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

The single definition of biotechnology

The application of science and technology to living organisms, as well as parts, products and models thereof, to alter living or non-living materials for the production of knowledge, goods and services.

Page 90: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

The list-based definition of biotechnology technoques

• DNA/RNA: Genomics, pharmacogenomics, gene probes, genetic engineering, DNA/RNA sequencing/ synthesis/amplification, gene expression profiling, and use of antisense technology.

• Proteins and other molecules: Sequencing/synthesis/engineering of proteins and peptides (including large molecule hormones); improved delivery methods for large molecule drugs; proteomics, protein isolation and purification, signaling, identification of cell receptors.

• Cell and tissue culture and engineering: Cell/tissue culture, tissue engineering (including tissue scaffolds and biomedical engineering), cellular fusion, vaccine/immune stimulants, embryo manipulation.

• Process biotechnology techniques: Fermentation using bioreactors, bioprocessing, bioleaching, biopulping, biobleaching, biodesulphurisation, bioremediation, biofiltration and phytoremediation.

• Gene and RNA vectors: Gene therapy, viral vectors. • Bioinformatics: Construction of databases on genomes, protein

sequences; modelling complex biological processes, including systems biology.

• Nanobiotechnology: Applies the tools and processes of nano/microfabrication to build devices for studying biosystems and applications in drug delivery, diagnostics, etc.

Page 91: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Other relevant definitions

• Biotechnology product • Biotechnology process • Biotechnology active firm (enterprise)• Dedicated biotechnology firm • Innovative biotechnology firm • Biotechnology R&D • Biotechnology sales/revenue • Biotechnology expenses

Page 92: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Biotechnology statistics & indicators

• Biotechnology products and processes• Biotechnology R&D• Biotechnology firms by type

(dedicated, innovative)• Biotechnology sales/revenue• Biotechnology expenses• Biotechnology employment• Biotechnology patents

Page 93: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Recommended biotechnology R&D question

•Did the R&D reported above include any biotechnology R&D (see definitions)?

Yes / No

•If yes, please provide an estimate of the share of the total intramural R&D expenditure reported earlier that is attributable to biotechnology.

________%

Page 94: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Number of firms active in biotechnology, 2003

Page 95: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Total expenditures on biotechnology R&D by biotech-

active firms, millions of USD PPP

Page 96: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Biotechnology patents as a % of national total (PCT filings), 2002-04

Page 97: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

G. Internationalisation of S&T

• Foreign ownership of domestic inventions

• Domestic ownership of inventions made abroad

• International co-operation in research• Sources of R&D funding from abroad• International collaboration in science• Internationalisation of R&D• Foreign collaboration on innovation

Page 98: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Data sources

• Patents• R&D data• Publications (SCI)• FATS and AFA• CIS

Page 99: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Foreign ownership of domestic inventions, 2001-03 (%)

Page 100: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Domestic ownership of inventions made abroad, 2001-03 (%)

Page 101: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Patents with foreign co-inventors, 2001-03 (%)

Page 102: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Funds from abroad, as a % of business enterprise R&D, 2005

Page 103: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Firms with foreign co-operation in innovation, 2002-04 (%)

Page 104: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

H. Global economic flows

• International trade• FDI• Foreign affiliates statistics• Technology balance of payments

Page 105: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Methodology

• Measuring Globalisation – OECD Handbook on Economic Globalisation Indicators (2005)

• Technology Balance of Payments Manual (1990)– Part of the Frascati family– Now included in the Handbook on

Economic Globalisation Indicators (Ch. 4.4)

Page 106: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

TBP categories• Technology transfers:

– Patents– Unpatented inventions– Licences (linked to know-how)– Know-how

• Transfers of designs (sales, licences, franchises), trademarks and patterns

• Provision of technical services, comprising:– Technical and engineering studies (project design

and implementation)– Technical assistance

• Provision of industrial R&D (performed abroad or financed from abroad)

Page 107: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

TBP data• Technology receipts and payments for the

whole of the economy and also broken down by industrial sector (ISIC Revision 3) and by country and geographical area

• Technology receipts and payments of foreign-controlled affiliates, broken down by manufacturing sector

• Technology receipts and payments for the whole economy, broken down by sector according to the main categories of transaction

• Receipts and payments of foreign-controlled affiliates in services separately (sectoral breakdown)

Page 108: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Technology balance of payments as a % of

GDP, 2005

Page 109: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

I. Productivity and trade• Income and productivity

– OECD Manual on Measuring Productivity (2001)

• Technology- and knowledge-intensive industries – Measuring Globalisation – OECD Handbook

on Economic Globalisation Indicators (2005)

– Revision of the High-Technology Sector and Product Classification (OECD, STI Working Paper 1997/2 – T. Hatzichronologou)

Page 110: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Technology classification (1)

Originally based on (STI WP 1997/2):1.R&D expenditures divided by value

added2.R&D expenditures divided by

production3.R&D expenditures plus technology

embodied in intermediate and investment goods divided by production

Page 111: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Technology classification (2)

For data availability reasons currently based on (Handbook on Economic Globalisation Indicators ):

1.R&D expenditures divided by value added 1991-1999

2.R&D expenditures divided by production 1991-1999

Page 112: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

High-technologymanufacturing industries

ISIC Industry353 Aerospace

2423 Pharmaceuticals30 Computers, office equipment32 Electronics-communication33 Precision instruments

Page 113: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Medium-high-technology manufacturing industries

ISIC Industry31 Electrical machinery34 Motor vehicles

24-2423Chemicals (except pharmaceuticals)

352+359 Other transport equipment

29 Machinery and equipment

Page 114: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Medium-low-technology manufacturing industries

ISIC Industry23 Petroleum refining25 Rubber and plastics26 Non-metallic mineral products

351 Shipbuilding27 Basic metals

28Fabricated metal products (except machinery and equipment)

Page 115: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Low-technologymanufacturing industries

ISIC Industry36-37 Other manufacturing industry

20 Wood and furniture21-22 Paper and printing17-19 Textiles, clothing, leather

Page 116: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Knowledge-intensive services

ISIC Industry64 Post and telecommunications

65-67Financial intermediation and insurance activities

71-74Business services (except real estate)

Page 117: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Share of total gross value

added, 2004, High- and

medium-high-technology

manufactures

Page 118: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Share of total gross value

added, 2004, Knowledge-

intensive market

services

Page 119: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Growth of high- and medium-high technology exports, 1996-2005

Page 120: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Links

• www.oecd.org/sti/statistical-analysis• www.oecd.org/sti/scoreboard or

www.sourceoecd.org/scoreboard• www.oecd.org/sti/cdh• www.oecd.org/sti/ipr-statistics • www.oecd.org/sti/measuring-

infoeconomy• www.oecd.org/sti/measuring-

globalisation

Page 121: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Manuals (1)

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

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

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

Patent Manual: (forthcoming) http://www.oecd.org/document/10/0,3343,en_2649_34451_1901066_1_1_1_1,00.html

Page 122: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

Manuals (2)

OECD Guide to Measuring the Information Society:www.oecd.org/sti/measuring-infoeconomy/guide

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

Technology Balance of Payments Manual: http://www.oecd.org/dataoecd/35/13/2347115.pdf

Handbook on Economic Globalisation Indicators: (for sale) http://www.oecd.org/document/44/0,3343,en_2649_34443_34957420_1_1_1_1,00.html

Page 123: Indicators for a Knowledge-Based Economy The OECD perspective Belgrade, 2 October 2008 Martin Schaaper OECD Directorate for Science, Technology and Industry.

THANK YOU!THANK [email protected]


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