Title: Indicators for a Knowledge-Based Economy
1Indicators for a Knowledge-Based Economy
Belgrade, 2 October 2008
Martin Schaaper OECD Directorate for Science,
Technology and Industry Economic Analysis and
Statistics Division
2(No Transcript)
3Directorate for Science, Technology and Industry
4EAS how we work
Data
Analysis
Methodology
5ST a linear model?
The model
Indicators
6A systems approach
- Innovation is dynamic and complex
- Many actors, many linkages
- Feedback and feed-forward loops
- ? innovation is non-linear
7Evidence-based policy making
8The Scoreboard an integrated view
C. Innovation policy
A. RD
B. HRST
F. Particular technologies
D. Innovation performance
E. ICT
G. Internationalisation of ST
H. Global economic flows
I. Productivity and trade
9A. Research and Development
- First edition published in 1963!
- Sixth edition published in 2002
- Data also collected since 1963
10Highlights of the 5th Frascati Manual revision
- Improved methodological guidelines
- Update various classifications
- RD in service sectors
- Human resources for RD
- Survey methods business enterprise sector
- GBAORD
- Globalisation and links to SNA (capitalisation of
RD!) - Annexes on health, ICT and biotechnology
11Definition of RD
- 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.
12Exclusions from RD
- Education and training
- Other science and technology activities
- Other industrial activities
- Administration and other supporting activities
13Intramural RD 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)
14Business Expenditure on RD
- BERD by industry (NACE/ISIC)
- Main activity
- Product field
- ISIC 73
- BERD by size-class
15Government Budget Appropriations or Outlays for
RD (GBAORD)
- Exploration and exploitation of the earth
- Environment
- Exploration and exploitation of space
- Transport, telecommunication and other
infrastructures - Energy
- Industrial production and technology
- Health
- Agriculture
- Education
- Culture, recreation religion and mass media
- Political and social systems, structures and
processes - General advancement of knowledge GUF
- General advancement of knowledge non-GUF
- Defence
16RD 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
17RD intensity, 2005
18RD intensity in non-OECD countries, 2005
19Annual average growth rate of GERD, 2000-05
20RD expenditure by sector of performance, 2005
21B. 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)
22Dimensions of HRST
- Skills
- Qualifications
- Mobility
23Definition 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 ST field of study - b) not formally qualified as above, but employed
in a ST occupation where the above
qualifications are normally required.
24Definition 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)
25Definition 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
26HRST according to the CM
27Fields of study
- Natural sciences
- Engineering and technology
- Medical sciences
- Agricultural sciences
- Social sciences
- Humanities
- Other fields
28National stocks and flows of HRST
29International 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
30Sources 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
31Graduation rates at doctoral level, 2004 ( of
relevant age cohort)
32Science and engineering degrees, 2004 ( of
total)
33Tertiary-level graduates in total employment,
2004 (as a of total)
34Researchers per 1000 employment, 2005
35Researchers per 1000 employment in non-OECD
economies, 2005
36Educational attainment in non-OECD economies, 2004
37Students from non-OECD economies enrolled in OECD
countries, 2004
38Careers 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
39Model questionnaire
- 7 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
40Output tabulations
41Methodological guidelines
- 1. Introduction
- 2. Purpose of statistics on CDH
- 3. The target population
- 4. Survey methodology
- 5. Collecting and processing of data
- 6. Estimation of results and data quality
- 7. Data transmission
42CDH 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?
43Data 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 (gt
50) than for census surveys - Good coverage of the target population
- some difficulties with coverage of foreign
doctorate holders
44Sex-breakdown of doctorate holders
45Active DH as a of total labour force
46 Citizenship and residential status of
foreign-born DH
47DH having received their doctorate abroad
48Ten top countries of previous residence of
national DH having lived abroad
Austria Belgium Czech 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
49CDH 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
50CDH 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 -
51International 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
52International 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
53C. Innovation policy
- Public-private cross-funding of RD
- Government RD budgets
- Tax treatment of RD
- Patenting by universities and government
- Collaboration with public research organisations
by innovating firms - Science linkages in technology
- Entrepreneurship
54Defence and civil RD budgets (GBAORD), 2006, as
a of GDP
55Rate of tax subsidies for USD 1 of RD, 2007 ()
56D. Innovation performance
- Patents
- Bibliometrics
- Innovation
57Patents
- 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
58Patent 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)
59The 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
60Contents of the Patent Manual
- Introduction
- Patents as statistical indicators of ST
- Patent systems and procedures
- Counting patents for conducting international
comparison - Technical and economic classifications of patents
- The use and analysis of citations
- Indicators of internationalisation
- Indicators of patent value
61Recent work
- Regional patents
- Standardising patent holders names
- Trademarks
62Trends in triadic patent families
63Triadic patent families per million population,
2005
64Any questions?
Or is it already time for the coffee break?
65Innovation 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
66Innovation 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
67The innovationmeasurement framework
68Innovation main concepts
69Technological 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.
70Non-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 firms business practices, workplace
organisation or external relations
71More 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
RD that is not directly related to the
development of a specific innovation.
72More 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.
73More 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
74Innovation activities for product and process
innovations
- Intramural (in-house) RD
- Acquisition of RD (extramural RD)
- 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
75Innovation data
- Objectives of innovation
- Factors assisting/hampering innovation
- Expenditure on innovation
- Impacts and outcomes
- Linkages
76In-house product innovators by size (as a of
all firms), 2002-04
77In-house process innovators by sector (as a of
all firms), 2002-04
78Share of turnover due to new-to-market product
innovations by size (as a of turnover), 2002-04
79Non-technological innovators by sector (as a
of all firms), 2002-04
80E. 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
81Households with broadband access, 2000-06 ()
82Individuals using the Internet from any location,
2006 ()
83Broadband penetration by size class, 2006. As a
of businesses with 10 or more employees
84Percentage of enterprises' total turnover from
e-commerce, 2003-06 ()
85Trade in ICT goods as a of total trade
86Business RD expenditure by selected ICT
manufacturing industries, as a of GDP
87F. Particular technologies
- Biotechnology
- Nanotechnology
- Environmental science
88Biotechnology
- 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
89The 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.
90The 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.
91Other relevant definitions
- Biotechnology product
- Biotechnology process
- Biotechnology active firm (enterprise)
- Dedicated biotechnology firm
- Innovative biotechnology firm
- Biotechnology RD
- Biotechnology sales/revenue
- Biotechnology expenses
92Biotechnology statistics indicators
- Biotechnology products and processes
- Biotechnology RD
- Biotechnology firms by type (dedicated,
innovative) - Biotechnology sales/revenue
- Biotechnology expenses
- Biotechnology employment
- Biotechnology patents
93Recommended biotechnology RD question
- Did the RD reported above include any
biotechnology RD (see definitions)? Yes /
No - If yes, please provide an estimate of the share
of the total intramural RD expenditure reported
earlier that is attributable to biotechnology.
________
94Number of firms active in biotechnology, 2003
95Total expenditures on biotechnology RD by
biotech-active firms, millions of USD PPP
96Biotechnology patents as a of national total
(PCT filings), 2002-04
97G. Internationalisation of ST
- Foreign ownership of domestic inventions
- Domestic ownership of inventions made abroad
- International co-operation in research
- Sources of RD funding from abroad
- International collaboration in science
- Internationalisation of RD
- Foreign collaboration on innovation
98Data sources
- Patents
- RD data
- Publications (SCI)
- FATS and AFA
- CIS
99Foreign ownership of domestic inventions, 2001-03
()
100Domestic ownership of inventions made abroad,
2001-03 ()
101Patents with foreign co-inventors, 2001-03 ()
102Funds from abroad, as a of business enterprise
RD, 2005
103Firms with foreign co-operation in innovation,
2002-04 ()
104H. Global economic flows
- International trade
- FDI
- Foreign affiliates statistics
- Technology balance of payments
105Methodology
- 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)
106TBP 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 RD (performed abroad or
financed from abroad)
107TBP 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)
108Technology balance of payments as a of GDP,
2005
109I. 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)
110Technology classification (1)
- Originally based on (STI WP 1997/2)
- RD expenditures divided by value added
- RD expenditures divided by production
- RD expenditures plus technology embodied in
intermediate and investment goods divided by
production
111Technology classification (2)
- For data availability reasons currently based on
(Handbook on Economic Globalisation Indicators ) - RD expenditures divided by value added 1991-1999
- RD expenditures divided by production 1991-1999
112High-technologymanufacturing industries
ISIC Industry
353 Aerospace
2423 Pharmaceuticals
30 Computers, office equipment
32 Electronics-communication
33 Precision instruments
113Medium-high-technology manufacturing industries
ISIC Industry
31 Electrical machinery
34 Motor vehicles
24-2423 Chemicals (except pharmaceuticals)
352359 Other transport equipment
29 Machinery and equipment
114Medium-low-technology manufacturing industries
ISIC Industry
23 Petroleum refining
25 Rubber and plastics
26 Non-metallic mineral products
351 Shipbuilding
27 Basic metals
28 Fabricated metal products (except machinery and equipment)
115Low-technologymanufacturing industries
ISIC Industry
36-37 Other manufacturing industry
20 Wood and furniture
21-22 Paper and printing
17-19 Textiles, clothing, leather
116Knowledge-intensive services
ISIC Industry
64 Post and telecommunications
65-67 Financial intermediation and insurance activities
71-74 Business services (except real estate)
117Share of total gross value added, 2004, High- and
medium-high-technology manufactures
118Share of total gross value added, 2004,
Knowledge-intensive market services
119Growth of high- and medium-high technology
exports, 1996-2005
120Links
- www.oecd.org/sti/statistical-analysis
- www.oecd.org/sti/scoreboard
orwww.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
121Manuals (1)
- Frascati Manual http//213.253.134.43/oecd/pdfs/b
rowseit/9202081E.PDF - Oslo Manual http//213.253.134.43/oecd/pdfs/brows
eit/9205111E.PDF - Canberra Manual http//www.oecd.org/dataoecd/34/0
/2096025.pdf - Patent Manual (forthcoming) http//www.oecd.org/d
ocument/10/0,3343,en_2649_34451_1901066_1_1_1_1,00
.html
122Manuals (2)
- OECD Guide to Measuring the Information Society
- www.oecd.org/sti/measuring-infoeconomy/guide
- Biotechnology framework http//www.oecd.org/datao
ecd/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
123THANK YOU!
- martin.schaaper_at_oecd.org