| Date post: | 27-Mar-2015 |
| Category: |
Documents |
| Upload: | landon-donahue |
| View: | 216 times |
| Download: | 2 times |
www.uis.unesco.org
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
www.uis.unesco.org
FRAMEWORKS
www.uis.unesco.org
STI: a linear model?
The model
Indicators
www.uis.unesco.org
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)
www.uis.unesco.org
A systems approach
Innovation is dynamic and complex:
Many actors, many linkages
Feedback and feed-forward loops
innovation is non-linear
www.uis.unesco.org
Standardisation of indicators
INTERNATIONAL LEVEL
REGIONAL LEVEL
NATIONAL LEVEL
INSTITUTIONAL LEVEL
ConsensusStandards
YOU ARE HERE
www.uis.unesco.org
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
www.uis.unesco.org
“Frascati family” of OECD Manuals
Frascati Manual
Oslo Manual
Canberra Manual
Patent Manual
www.uis.unesco.org
Other relevant OECD frameworks
Handbook of Economic Globalisation Indicators
Guide to Measuring the Information Society
Framework for Biotechnology Statistics
Productivity manual
www.uis.unesco.org
DEFINITIONS
www.uis.unesco.org
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.
www.uis.unesco.org
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)
www.uis.unesco.org
An indicators “framework”
R&D
STET
STS
STA
www.uis.unesco.org
Research and Development
First edition published in 1963!
Sixth edition published in 2002
De facto world standard
www.uis.unesco.org
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.
www.uis.unesco.org
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)
www.uis.unesco.org
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
www.uis.unesco.org
An indicators “framework”
R&D
STET
STS
STA
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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.
www.uis.unesco.org
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
www.uis.unesco.org
An indicators “framework”
R&D
STET
STS
STA
Innovation + Other
industrial activities
Admin and other sup. activities
www.uis.unesco.org
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
www.uis.unesco.org
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.
www.uis.unesco.org
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.
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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?
www.uis.unesco.org
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.
www.uis.unesco.org
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.
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
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)
www.uis.unesco.org
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
www.uis.unesco.org
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)
www.uis.unesco.org
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
www.uis.unesco.org
Summary
R&D
STET
STS
STA
Innovation + Other
industrial activities
Admin and other sup. activities
www.uis.unesco.org
And now…
Time for the exercise!
www.uis.unesco.org
CLASSIFICATIONS AND BREAKDOWNS
www.uis.unesco.org
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
www.uis.unesco.org
Sectors of economy
Business enterprise sector
Government sector
Higher education sector
Private non-profit sector
Abroad (only as source of funds)
www.uis.unesco.org
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
www.uis.unesco.org
Functional distributions
Type of activity
Fields of science
Socio-economic objective
www.uis.unesco.org
Type of activity
Basic research
Applied research
Experimental development
www.uis.unesco.org
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
www.uis.unesco.org
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
www.uis.unesco.org
Breakdowns of R&D personnel
Sector of performance
Occupation
Qualification
Fields of science
Gender
Age
www.uis.unesco.org
R&D personnel by occupation
Researchers
Technicians and equivalent staff
Other supporting staff
More details later
www.uis.unesco.org
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 …….
www.uis.unesco.org
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 …
www.uis.unesco.org
Classification by age
Under 25 years
25-34 years
35-44 years
45-54 years
55-64 years
65 years and more
www.uis.unesco.org
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
www.uis.unesco.org
REFERENCESCan be found in the supporting document
www.uis.unesco.org
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)
www.uis.unesco.org
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)
