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Measuring Science, Technology and Innovation (STI): Definitions from a
statistical perspective
NATIONAL TRAINING WORKSHOP ON SCIENCE, TECHNOLOGY AND INNOVATION (STI) INDICATORSTehran, Iran
November 2010
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A multitude of concepts
Some examples:
Knowledge-based economy
National innovation system
Science, technology, Research and development, and innovation
High-tech – low tech
Brain drain
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FRAMEWORKS
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S&T: a linear model?
The model
Indicators
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From model to indicators
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.
Basic criterion: 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:
Technological innovation
New or significantly improved product (good or service); or
New process; or
Non-technological innovation
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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REFERENCESCan be found in the supporting document
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Abbreviations
Some abbreviationsSTI Science, technology and innovation
S&T Science and technology
STA Science and technology activities
STS Science and technology services
STET Scientific and technological education and training at broadly the third level
R&D Research and (experimental) development
HRST Human resources for science and technology
ICT Information and communication technology
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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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Contacts
UIS field staff in Bangkok:
Nyi Nyi Thaung ([email protected])
UIS field staff in New Delhi:
Shailendra Sigdel ([email protected])
The UIS S&T team in Montreal:
Martin Schaaper ([email protected])
Rohan Pathirage ([email protected])
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Thank you!
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