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Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective


Title: Measuring Research and Experimental Development Author: Ernesto Fernandez Polcuch Last modified by: Administrator Created Date: 6/12/2008 3:13:00 PM – PowerPoint PPT presentation

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Title: Measuring Science, Technology and Innovation (STI): Definitions from a statistical perspective

Measuring Science, Technology and Innovation
(STI) Definitions from a statistical perspective
National Workshop on Science, Technology and
Innovation (STI) Statistics Abu Dhabi, UAE 14
October 2012

STI a linear model?
The model
From model to indicators
A systems approach
  • Innovation is dynamic and complex
  • Many actors, many linkages
  • Feedback and feed-forward loops
  • ? innovation is non-linear

Standardisation of indicators
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

Frascati family of OECD Manuals
  • Frascati Manual
  • Oslo Manual
  • Canberra Manual
  • Patent Manual

Other relevant OECD frameworks
  • Handbook of Economic Globalisation Indicators
  • Guide to Measuring the Information Society
  • Framework for Biotechnology Statistics
  • Productivity manual


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

STA coverage
  • Scientific and technological activities comprise
  • Research and experimental development (RD)
  • Scientific and technical education and training
  • Scientific and technological services (STS)

An indicators framework
Research and Development
  • First edition published in 1963!
  • Sixth edition published in 2002
  • De facto world standard

RD Definition
  • Research and experimental development (RD)
  • 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.

RD 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)

  • Excluded from RD
  • Education and training
  • Scientific and technological services / Other
    science and technology activities
  • Other industrial activities
  • Administration and other supporting activities
  • ? these will come back

An indicators framework
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

Limits between RD 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 RD activities
    begin, and vice versa
  • Elements of novelty distinguish RD from routine
    teaching and other work-related activities

Borderline between RD and education and training
at ISCED level 6
Education and training at level 6 RD Other activities
Teachers 1. Teaching students at level 6. 3. Supervision of RD projects required for student qualification at level 6 5. Teaching at levels lower than level 6
2. Training students at level 6 in RD methodology, laboratory work, etc. 4. Supervision of other RD projects and performance of own RD projects 6. Other activities
Post-graduate students 1. Course work for formal qualification. 2. Performing and writing up independent studies (RD projects) required for formal qualification 4. Teaching at levels lower than level 6
3. Any other RD activities 5. Other activities
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

STS detailed activities
  • ST information and documentation activities
    provided by libraries, archives, databanks, etc
  • ST services provided by museums, botanical and
    zoological gardens, etc
  • Translation and editing of ST publications
  • Collection of data in the field of NSE. eg.
    meteorological observations
  • Activities related to searching oil and minerals
  • Collection of data on human, social, economic and
    cultural phenomena, by National Statistical
  • 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.

Other related scientific and technological
  • 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

An indicators framework
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 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.

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

Examples product and process innovation
  • Food products with new functional characteristics
    (margarine that reduces blood cholesterol levels,
    yoghurts produced using new types of cultures,
  • Products with significantly reduced energy
    consumption (energy efficient refrigerators,
  • The introduction of smart cards and multipurpose
    plastic cards
  • A new, self-service bank office

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

Borderline between RD and other industrial
  • 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
  • Included
  • Prototypes
  • Pilot plant

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

Problems at the borderline between RD
administration and indirect supporting activities
  • Administration
  • Personnel data cover only RD proper
  • Management, administration and clerical
    activities included only when these contribute
    directly to RD projects and are undertaken
    exclusively for RD
  • Expenditure data cover the full cost of RD,
    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

Clinical trials
  • Clinical trial phases 1, 2 and 3 included in RD
  • Phase 4 clinical trials excluded from RD, except
    if they bring about a further scientific or
    technological advance

Criteria for distinguishing RD from related
  • 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?

Examples distinguishing RD and related
  • In the field of medicine, routine autopsy on the
    causes of death is the practice of medical care
    and is not RD special investigation of a
    particular mortality to establish the side
    effects of certain cancer treatments is RD.
    Similarly, routine tests such as blood and
    bacteriological tests carried out for doctors are
    not RD, whereas a special programme of blood
    tests in connection with the introduction of a
    new drug is RD.
  • The keeping of daily records of temperatures or
    of atmospheric pressure is not RD but the
    operation of a weather forecasting service or
    general data collection. The investigation of new
    methods of measuring temperature is RD, as are
    the study and development of new systems and
    techniques for interpreting the data.

Examples distinguishing RD and related
activities (cont.)
  • RD 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 RD department, and RD
    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 RD. 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 RD.

Identifying RD 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
  • In addition to the software that is part of an
    overall RD project, the RD associated with
    software as an end product should also be
    classified as RD

RD in software
  • This is not to be counted as RD
  • 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
  • Debugging of systems
  • Adaptation of existing software
  • Preparation of user documentation

Examples of RD in software
  • RD 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
  • Experimental development aimed at filling
    technology knowledge gaps as necessary to develop
    a software programme or system
  • RD on software tools or technologies in
    specialised areas of computing (image processing,
    geographic data presentation, character
    recognition, artificial intelligence and other

Criteria for identifying RD in services
  • Links with public research laboratories
  • The involvement of staff with PhDs, or PhD
  • The publication of research findings
  • The construction of prototypes or pilot plants

Examples of RD in banking and insurance
  • Mathematical research relating to financial risk
  • Development of risk models for credit policy
  • Experimental development of new software for home
  • 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
  • RD related to electronic banking and insurance,
    Internet-related services and e-commerce
  • RD related to new or significantly improved
    financial services (new concepts for accounts,
    loans, insurance and saving instruments)

Examples of RD 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
  • Research into new travel and holiday concepts
  • Launch of prototype and pilot stores


Sectoring for RD statistics
  • Framework for analysing the flows of funds
    between funding and performing entities
  • Facilitates data collection
  • Following standard classifications of economic
  • Most reliable way of building up national
  • Questionnaires and survey methods per sector
  • Shows differences in the level and direction of
  • Relate RD to other statistical series

Sectors of economy
  • Business enterprise sector
  • Government sector
  • Higher education sector
  • Private non-profit sector
  • Abroad (only as source of funds)

Institutional classification
  • Business enterprise
  • All firms, enterprises whose primary activity is
    the market production of goods or services for
  • Private non-profit institutions mainly serving
  • 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
  • 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 countrys borders

Functional distributions
  • Type of activity
  • Fields of science
  • Socio-economic objective

Type of activity
  • Basic research
  • Applied research
  • Experimental development

Fields of science (FoS 2007)
  • 1. Natural Sciences
  • 1.1 Mathematics
  • 1.2 Computer and information sciences
  • 1.3 Physical sciences
  • 1.4 Chemical sciences
  • 1.5 Earth and related environmental sc.
  • 1.6 Biological sciences
  • 1.7 Other natural sciences
  • 2. Engineering and Technology
  • 2.1 Civil engineering
  • 2.2 Electrical, electronic, information eng.
  • 2.3 Mechanical engineering
  • 2.4 Chemical engineering
  • 2.5 Materials engineering
  • 2.6 Medical engineering
  • 2.7 Environmental engineering
  • 2.8 Environmental Biotechnology
  • 2.9 Industrial biotechnology
  • 2.10 Nano-technology
  • 4. Agricultural Sciences
  • 4.1 Agriculture, forestry, and fishery
  • 4.2 Animal and dairy science
  • 4.3 Veterinary sciences
  • 4.4 Agricultural biotechnology
  • 4.5 Other agricultural sciences
  • 5. Social Sciences
  • 5.1 Psychology
  • 5.2 Economics and business
  • 5.3 Educational sciences
  • 5.4 Sociology
  • 5.5 Law
  • 5.6 Political Science
  • 5.7 Social and economic geography
  • 5.8 Media and communications
  • 5.9 Other social sciences
  • 6. Humanities

Socio-economic objectives (SEO) (based on NABS
  1. Exploration and exploitation of the earth
  2. Environment
  3. Exploration and exploitation of space
  4. Transport, telecommunication and other
  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
  12. General advancement of knowledge
  13. Defence

Breakdowns of RD personnel
  • Sector of performance
  • Occupation
  • Qualification
  • Fields of science
  • Gender
  • Age

RD personnel by occupation
  • Researchers
  • Technicians and equivalent staff
  • Other supporting staff
  • ? More details later

Classification by formal qualification (1)
  • Still based on 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 (ltISCED3)
  • Note ISCED has been revised .

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 lt ISCED2011 level 3 (
    below ISCED 1997 level 3)
  • Note in 2013 countries may start implementing
    new ISCED

Classification by age
  • Under 25 years
  • 25-34 years
  • 35-44 years
  • 45-54 years
  • 55-64 years
  • 65 years and more

Breakdowns of RD expenditure
  • Sector of performance
  • Source of funds
  • Type of activity
  • Type of costs (current vs. capital cost)
  • Fields of science
  • Socio-economic objective

  • Can be found in the supporting document

Manuals (1)
  • Frascati Manual http//
    rowseit/9202081E.PDF (E)
  • http//
    PDF (F)
  • Oslo Manual http//
    eit/9205111E.PDF (E)
  • http//
    PDF (F)
  • Canberra Manual http//
    /2096025.pdf (E)
  • Patent Statistics Manual http//browse.oecdbooksh (E)
  • http//
    9209022E.PDF (F)

Manuals (2)
  • OECD Guide to Measuring the Information Society
  • http//
  • Biotechnology framework http//
    ecd/5/48/34935605.pdf (E)
  • http//
  • Handbook on Economic Globalisation Indicators
    9205061E.PDF (E)
  • http//
    9205062E.PDF (F)
  • Measuring Productivity
  • http// (E)

Thank you!
  • http//