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Measuring Science, Technology and Innovation (STI): Definitions from a
statistical perspective
South East Asian Regional Workshop on Science, Technology and Innovation StatisticsHanoi, Viet Nam
5-8 December 2011Martin Schaaper
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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 (NEW!)
• 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 (under revision)
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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 ie. 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.
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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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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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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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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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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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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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Summary
R&D
STET
STS
STA
Innovation + Other
industrial activities
Admin and other sup. activities
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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)
