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

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Measuring Science, Technology and Innovation
(STI) Definitions from a statistical perspective
NATIONAL TRAINING WORKSHOP ON SCIENCE,
TECHNOLOGY AND INNOVATION (STI) INDICATORS Addis
Ababa, Ethiopia30 November to 2 December 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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ST a linear model?
The model
Indicators
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From model to indicators
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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
Consensus
Standards
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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 (RD)
• Scientific and technical education and training
  (STET)
• Scientific and technological services (STS)

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An indicators framework
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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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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.

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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)

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Exclusions

• 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

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An indicators framework
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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 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

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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
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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

• 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
  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
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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 RD and other industrial
activities

• 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

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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 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

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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

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Criteria for distinguishing RD 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 RD and related
activities

• 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.

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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.

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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
  uncertainty
• 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

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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
  programmes
• Debugging of systems
• Adaptation of existing software
• Preparation of user documentation

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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
  information
• 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
  areas)

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Criteria for identifying RD 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 RD 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
• RD related to electronic banking and insurance,
  Internet-related services and e-commerce
  applications
• RD related to new or significantly improved
  financial services (new concepts for accounts,
  loans, insurance and saving instruments)

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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
  (logistics)
• Research into new travel and holiday concepts
• Launch of prototype and pilot stores

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Summary
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• REFERENCES
• Can be found in the supporting document

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Abbreviations

• Some abbreviations
• STI Science, technology and innovation
• ST 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
• RD 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/b
  rowseit/9202081E.PDF (E)
• http//213.253.134.43/oecd/pdfs/browseit/9202082E.
  PDF (F)
• Oslo Manual http//213.253.134.43/oecd/pdfs/brows
  eit/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.oecdbooksh
  op.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/datao
  ecd/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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Thank you!

• http//www.uis.unesco.org
• r.pathirage_at_uis.unesco.org