Measuring Research and Experimental Development
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Transcript Measuring Research and Experimental Development
Measuring Science, Technology and
Innovation (STI): Definitions from a
statistical perspective
South East Asian Regional Workshop on Science, Technology and Innovation Statistics
Hanoi, Viet Nam
5-8 December 2011
Martin Schaaper
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FRAMEWORKS
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STI: a linear model?
The model
Indicators
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From model to indicators
Inputs (R&D
expenditure, Human
Resources)
• R&D survey
• R&D personnel
• R&D Expenditure
Black Box (innovation)
Output (patents,
publications, high-tech
products)
• 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
YOU ARE HERE
Standards
INTERNATIONAL LEVEL
Consensus
REGIONAL LEVEL
NATIONAL LEVEL
INSTITUTIONAL LEVEL
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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”
STA
R&D
STET
STS
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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.
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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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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”
STA
R&D
STET
STS
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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
Teachers
Postgraduate
students
R&D
Other activities
1. Teaching students 3. Supervision of R&D
at level 6.
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
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”
Admin and
other sup.
activities
STA
R&D
STET
Innovation +
Other
industrial
activities
STS
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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 nontechnological innovation
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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.
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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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Borderline between R&D and other
industrial activities
Included
Divided
Excluded
• Prototypes
• Pilot plant
• Industrial design and
drawing
• Industrial engineering
and tooling up
• Trial production
• After-sales service &
troubleshooting
• Patent and licence work
• Routine tests
• Data collection
• Public inspection control,
enforcement of standards,
regulations
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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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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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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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Summary
Admin and
other sup.
activities
STA
R&D
STET
Innovation +
Other
industrial
activities
STS
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REFERENCES
Can be found in the supporting document
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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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Thank you!
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[email protected]
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