UNESCO Institute for Statistics
Science, Technology and Innovation
Statistics and Indicators:
overview and the role of the UIS
China International Statistical Training Centre – National Bureau of Statistics of China
International Workshop on Innovation Survey
Beijing, China
Martin Schaaper, UIS
19-21 March 2014
UNESCO Institute for Statistics
科学、技术和创新统计和指标：
概述以及联合国教科文组织
统计研究所（UIS）的作用
联合国教科文组织统计研究所
马丁•沙伯
中国国家统计局 –中国国际统计培训中心
创新调查国际培训班
中国，北京
2014年3月19-21日
UNESCO Institute for Statistics
Overview
Why do we need STI indicators?
 R&D

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Innovation
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
What is the role of UIS?
Definitions of R&D
Frascati Manual revision
What is the role of UIS?
Definitions and types of innovation
Exercise
UNESCO Institute for Statistics
概述
我们为何需要科学、技术和创新指标？
 研发

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
创新
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
UIS的作用?
研发的定义
弗拉斯卡蒂手册（Frascati Manual ）修订版
UIS的作用？
创新的定义和类型
练习
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Indicators for policymaking
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决策的指标
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Science, Technology and Innovation?
(1)
The American view:
We need to build a future in which our factories and
workers are busy manufacturing the high-tech products
that will define the century… Doing that starts with
continuing investment in the basic science and
engineering research and technology development
from which new products, new businesses, and even
new industries are formed... Innovation is more
important than ever. It is the key to good paying,
private‐sector jobs for the American people.
President Barack Obama, February 2012
UNESCO Institute for Statistics
科学、技术和创新? （1）
美国人的观点：
我们需要创造一个未来，其中我们的工厂和工人正
忙于生产能界定整个世纪的高科技产品……实现这一
目标的起点是不断在基础科学、工程研究和技术发
展上投资，由此产生的是新产品、新企业乃至新产
业……创新比以往任何时期都重要。对于美国人民来
说，创新是高薪和私营部门就业机会的关键所在。
美国总统奥巴马，2012年2月
UNESCO Institute for Statistics
Science, Technology and Innovation?
(2)
The European view:
Our future standard of living depends on our ability to
drive innovation in products, services, business and
social processes as well as models. This is why
innovation has been placed at the heart of the Europe
2020 strategy, with the Innovation Union as its
flagship.
The Innovation Union is about turning ideas into jobs,
green growth and social progress.
UNESCO Institute for Statistics
科学、科技和创新? （2）
欧洲人的观点：
我们在未来的生活标准，将取决于我们在产品、服
务、商业和社会过程，以及模型方面推动创新的能
力。这就是为什么创新被列在欧洲2020年战略的核
心位置，而“创新联盟”被视作它的旗舰。
创新联盟致力于将创意转化为工作、绿色增长和社
会进步。
UNESCO Institute for Statistics
Science, Technology and Innovation?
(3)
China’s view of innovation as contributing to the
‘green and harmonious’ development of a socialist
society:
The 17th Party Congress of the CPC specified that
Scientific Development, Harmonious Society, and
promoting an Ecological Civilization should guide
China’s social values and progress.
Already in 1978, Deng Xiaoping put forward the
thought of S&T as the no. 1 productive force
UNESCO Institute for Statistics
科学、技术和创新? (3)
中国的观点是将创新作为推动社会主义社会‘绿色
与和谐’发展的因素:
中国共产党第 17次代表大会明确科学发展、和谐社
会和推动生态文明应指导中国的社会价值和进步。
早在1978年,邓小平就提出科技是第一生产力的理念
UNESCO Institute for Statistics
Science, Technology and Innovation
policies
STI now universally recognised as one of the main
drivers of economic growth and societal well‐being.…
 … and therefore of poverty reduction as well
 Governments should aim to harness the benefits of
STI…
 … and address market failure

UNESCO Institute for Statistics
科学、技术和创新政策
现在科学、技术和创新政策被广泛认为是促进经
济增长和社会福祉的一个主要驱动力……
 ……因而也是减少贫困的一个主要驱动力
 政府应致力于利用科学、技术和创新政策的好处
……
 ……并且应对市场失灵

UNESCO Institute for Statistics
Market failure
Knowledge is discrete and requires large fixed costs
(R&D)  price is higher than consumers are willing
to pay
 Uncertainty (moral hazard): research often is
unsuccessful
 Knowledge is a public good

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
Non-exclusive
Free riders
Positive externalities
Result: firms are unable to capture all the benefits to
society from their innovation.
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市场失灵
知识是离散的，需要大量的固定成本（研发）
价格高于消费者愿意支付的价格
 不确定性（道德危机）：研究往往是不成功的
 知识是一项公益事业



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
非独占的
免费使用
正外部性
结果：企业无法获得创新给社会带来的全部利益
UNESCO Institute for Statistics
National STI policy
Integrated in the overall national strategic plan
 Coordinated between the various actors that have a
stake (e.g. Ministry of Agriculture, Ministry of Health,
Ministry of Higher Education, etc.)

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国家的科学、技术和创新政策
统一在整体的国家战略计划中
 在各个利害相关方之间协调（例如：农业部、卫
生部、高等教育部等）

UNESCO Institute for Statistics
Evidence-based policy
Tests theory ‐ why will the policy be effective and
likely impacts if successful
 Incorporate some measurement of the impact
 Examines both direct and indirect effects that occur
because of the policy (unintended consequences)
 Separates the uncertainties and controls for other
influences outside of the policy that may have an
effect on the outcome
 Empirical validation

UNESCO Institute for Statistics
基于证据的政策
测试理论 – 政策为何会有效，并且如果成功的话
可能的影响
 整合一些对影响的测量

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检验因政策引起的直接和间接影响（非计划的后
果）
将政策以外、并可能对结果产生影响的不确定性
和控制因素分离
 大量的实例验证

UNESCO Institute for Statistics
The need for data

Accountability for spending of public funds requires:
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Informed strategy and forecasting
Indicator‐based joined‐up policy
Coordination of plans and budgets
Monitoring
Measurement and evaluation of programmes and projects
Benchmarking
Learning
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对数据的需求

对花费公共基金的可追溯性需要：

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有数据支撑的策略和预测
基于指标的协同政策
计划和预算的协调
监督
对规划和项目的测算和评估
基准化
学习
UNESCO Institute for Statistics
Indicators tell a story
Do I need to invest in R&D or in Higher Education?
 In which areas should I invest predominantly?
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In which areas am I already investing?
Which are important economic sectors, in mining,
agriculture, industry, services, etc?
What are national or regional peculiarities? (health,
environment, utilities, defense,…)
Do I need to improve quality of higher education or
research?

Are there sufficient links of universities and institutes to
industry?
UNESCO Institute for Statistics
指标揭示问题
我应该在研发上投资，还是在高等教育上投资？
 我应该重点投资于哪些领域？

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我已经在哪些领域投资了？

哪些是重要的经济部门，在采矿业、农业、工业、服
务业等？

哪些是在国家或地区层面上有独特性的？（卫生、环
境、公共事业、国防……）
我是否需要改进高等教育或者科研？

大学和科研机构与产业之间是否有足够的联系？
UNESCO Institute for Statistics
A few targets
target
current
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
Qatar
Africa
Kenya
Tanzania Botswana China
EU
Singapore
UNESCO Institute for Statistics
几个目标
target
current
3.5
3.0
2.5
2.0
1.5
1.0
0.5
0.0
Qatar
Africa
Kenya
Tanzania Botswana China
EU
Singapore
UNESCO Institute for Statistics
China

China aims to put 2.2 percent of its GDP into
research and development by 2015, says a draft of
the country's 12th Five-Year Plan.
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中国

中国在第十二个五年规划草案中制定了到2015年
使R&D与GDP之比达到2.2%的计划。
2015
2014
2013
2.5
2012
2011
2010
China real data
2009
2008
2007
2006
2005
2004
Situation 1995
2003
2002
2001
2000
1999
1998
1997
1996
1995
UNESCO Institute for Statistics
China’s target
Target 2015
Target 2015
2
1.5
1
0.5
Situation 1995
0
2015
2014
2013
2.5
2012
2011
2010
China real data
2009
2008
2007
2006
2005
2004
Situation 1995
2003
2002
2001
2000
1999
1998
1997
1996
1995
UNESCO Institute for Statistics
中国的目标
Target 2015
Target 2015
2
1.5
1
0.5
Situation 1995
0
UNESCO Institute for Statistics
Which indicators?
UNESCO Institute for Statistics
哪些指标？
UNESCO Institute for Statistics
An STI indicators model
Inputs (R&D expenditure,
Human Resources)
• R&D survey
• R&D personnel
• R&D Expenditure
Black Box (innovation)
• Innovation
statistics
• since 2010
Output (patents,
publications, high-tech
products)
• Administrative data
(patents)
• Publications databases
• High-tech data (trade)
UNESCO Institute for Statistics
一个科学、技术和创新指标模型
投入
（研究与开发费用、人力
资源）
• 研究与开发调查
• 研究与开发的人员
• 研究与开发的费用
黑匣子
（创新）
• 创新统计
• 自2010年
产出
（专利、出版物、高科技
产品）
• 管理数据（专利）
• 出版物数据库
• 高科技数据（贸易）
UNESCO Institute for Statistics
What to measure
Inputs: R&D Surveys
 Inputs: Human Resource surveys


Education statistics; Higher education statistics; mobility;
labour force survey
Inputs: infrastructure
 Intermediate outputs: scientific publications;
patents; design; copyright;
 Outputs: Prototypes; Plant varieties
 Outcomes: Innovation Survey

UNESCO Institute for Statistics
测算什么
投入：研发调查
 投入：人力资源调查


教育统计；高等教育统计；流动性；劳动力调查
投入：基础设施
 中间产出：科学出版物；专利；设计；版权
 产品：技术原型；植物品种
 产出：创新调查

UNESCO Institute for Statistics
Innovation Union Scoreboard (EU)

3 main types of indicators
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Enablers
Firm activities
Outputs
8 innovation dimensions
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Human resources
Open, excellent and
attractive research systems
Finance and support
Firm investments
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Linkages &
entrepreneurship
Intellectual assets
Innovators
Economic effects
UNESCO Institute for Statistics
创新联盟记分牌（欧盟）

3个主要指标类型
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驱动因素
公司活动
产出
8 个创新维度

人力资源
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开放、优质和吸引人的研
究体系
金融和支持
企业投资

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联系与创业
智力资产
创新者
经济影响
UNESCO Institute for Statistics
IUS indicators
Doctorate graduates, educational attainment and
student mobility
 (Co-)publications, patents, trademarks and designs
 R&D expenditure
 Innovation (SMEs) and Innovation expenditure
 High-growth innovative firms
 Venture capital
 Knowledge-intensive services (empl. and exports)
 Medium and high-tech product exports

UNESCO Institute for Statistics
IUS指标
博士生数量、受教育程度和学生流动性
 （联合）出版物数、专利数、商标数和设计数量
 研发支出
 创新（中小企业）和创新支出
 高增长的创新企业
 风险资本
 知识密集型服务业（就业和出口额）
 中高技术产品出口额

UNESCO Institute for Statistics
More examples
UNESCO Institute for Statistics
更多例子
UNESCO Institute for Statistics
Role of the UIS
UNESCO Institute for Statistics
联合国教科文组织统计研究所
的作用
UNESCO Institute for Statistics
UNESCO Institute for Statistics
(UIS)
Formerly UNESCO Office of Statistics; Division of
Statistics on S&T
 Established in 1999
 September 2001 - the UIS moved from Paris to the
University of Montreal, Quebec, Canada
 30 November 2001 – UNESCO Director-General
inaugurates the UNESCO Institute for Statistics in
Montreal
 Director: Mr. Hendrik van der Pol

UNESCO Institute for Statistics
联合国教科文组织统计研究所（UIS）
原为联合国教科文组织统计办公室；科学和科技
统计处
 创建于1999年
 2001年9月 – UIS从巴黎移至加拿大魁北克省蒙特
利尔大学
 2001年11月30日– 联合国教科文组织总干事在蒙
特利尔为UIS举行落成仪式
 所长：亨德里克·范·德波尔先生

UNESCO Institute for Statistics
UNESCO Institute for Statistics
(UIS)

United Nations data repository for:

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

Education
Science, Technology and Innovation
Culture
Communication
UNESCO Institute for Statistics
联合国教科文组织统计研究所（UIS）

联合国数据仓库：

教育

科学、技术和创新

文化
通讯

UNESCO Institute for Statistics
UIS is the UN lead agency for STI
statistics
Official STI data source for UNSD, WB, etc.
 Data publicly available at:
http://www.uis.unesco.org
 UIS Publications (can be downloaded from the UIS
website): S&T Bulletins; Fact sheet, eAtlas on R&D
statistics
 UNESCO Reports

UNESCO Institute for Statistics
UIS是联合国科学、技术和创新统计的主
导机构
是联合国统计司、世界银行等机构科学、技术和
创新统计的官方数据来源
 公布的数据可在以下网站查询:
http://www.uis.unesco.org
 UIS出版物（可从官网上下载）：科学和技术公报
； 资料简报；科技统计电子图集
 联合国教科文组织报告

UNESCO Institute for Statistics
Areas of work
R&D personnel & expenditure
 Human resources devoted to S&T and international
mobility
 Innovation data
 (Longer term: Output & Impact)

UNESCO Institute for Statistics
工作领域
研发人员和经费
 科技人力资源和国际流动性
 创新数据
 （长期：产出和影响）

UNESCO Institute for Statistics
Lines of action

STI survey operations and data guardianship


1.1 R&D Survey
1.2 Innovation Survey
Training in STI statistics: workshops & other training
activities
 Standard setting and methodological developments
 Analysis and publications

UNESCO Institute for Statistics
行动路线

科学、技术和创新调查行动和数据监护


1.1 研究和开发调查
1.2 创新调查
科学、技术和创新统计培训：研讨会和其他培训
活动
 标准设置和方法发展
 分析和出版物

UNESCO Institute for Statistics
1. STI Survey operation and data
guardianship
Global survey on statistics of Research and
Development (R&D)
 Biennial, since 2004
 Global database on R&D Statistics
 2011: Pilot survey of Innovation Statistics
 2013: First global data collection of innovation
statistics

UNESCO Institute for Statistics
1. 科学、技术和创新调查行动和数
据监护
对研发（R&D）统计的全球调查
 从2004年开始，每两年一次
 R&D统计全球数据库
 2011：创新统计的试点调查
 2013：首次创新统计的全球数据收集

2. Capacity building: STI statistics
workshops
UNESCO Institute for Statistics






Increase the number of countries regularly producing
quality S&T indicators.
Create local capacities and establish sustainable local
S&T statistics systems.
Promote the use of S&T indicators for evidence-based
S&T policy making.
Share experiences with other developing countries and
address problems.
Gain knowledge about the particular characteristics of
S&T statistics data.
Demonstrate good practices in other countries of the
region.
UNESCO Institute for Statistics
2. 能力建设：STI统计研讨会
增加定期生产优质科技指标的国家数量。
 创造本地能力并建立可持续的本地科技统计系统。
 促进科技指标的利用，作为科技政策制定的依据。
 与其他发展中国家分享经验，处理问题。
 获取与科技统计数据特性相关的知识。
 为本区域内其他国家作出良好示范。

UNESCO Institute for Statistics
2. UIS STI training workshops 2005-2011
Countries and territories covered
Countries and territories not yet covered
Countries and territories not targeted
UNESCO Institute for Statistics
2. UIS在2005 – 2011年之间举办的STI培训班
覆盖的国家和地区
没有覆盖的国家和地区
未被作为目标的国家和地区
UNESCO Institute for Statistics
Results of workshops
Increased response rate – non-responding countries
learn how to do it from UIS and neighbours.
 Immediate problems solved.
 Increased data quality – improved understanding of
application of international standards.
 Face to face contacts = more effective networking.
 Inputs to UIS programme development.

UNESCO Institute for Statistics
培训班的成果
提高了回复比率 - 之前没有回复的国家从UIS和邻国
那里学习到了如何去做。
 解决了当前问题。
 提高了数据质量 - 改善了对国际标准应用的理解。
 面对面交流 = 更有效的网络。
 对UIS项目的发展的投入。

UNESCO Institute for Statistics
3. Methodological developments
UNESCO Institute for Statistics
3. 方法的发展
UNESCO Institute for Statistics
More methodological products
Annex to the Oslo Manual
 OECD/UIS/Eurostat Careers of Doctorate Holders
survey
 Technical Paper on the Conduct of an R&D survey (in
preparation)
 Revision of the concept of Scientific and
Technological Activities (in preparation)
 Country-level technical assistance on R&D and
innovation surveys

UNESCO Institute for Statistics
更多方法论产品
奥斯陆手册的附件
 OECD/UIS/Eurostat博士学位拥有者职业调查
 执行一项R&D调查的技术论文（准备当中）
 科学和技术活动概念修订（准备当中）
 国家层面的R&D技术支持和创新调查

UNESCO Institute for Statistics
4. Some publications






Data publicly available at: http://www.uis.unesco.org
http://stats.uis.unesco.org/
http://www.uis.unesco.org/ScienceTechnology/Pages/de
fault.aspx
http://www.uis.unesco.org/ScienceTechnology/Pages/sti
-innovation-pilot-data-release.aspx
UIS Fact Sheets
UNESCO Science Report 2010
R&D eAtlas: http://www.uis.unesco.org/data/atlasresearch-development/en
UNESCO Institute for Statistics
4. 一些出版物






公开的数据可从以下网站中找到：
http://www.uis.unesco.org
http://stats.uis.unesco.org/
http://www.uis.unesco.org/ScienceTechnology/Pages/de
fault.aspx
http://www.uis.unesco.org/ScienceTechnology/Pages/sti
-innovation-pilot-data-release.aspx
UIS资料简报
UNESCO 2010年科学报告
R&D电子图集：http://www.uis.unesco.org/data/atlasresearch-development/en
UNESCO Institute for Statistics
Collaborations / Partnerships
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UNESCO HQs
World Bank
Eurostat
AU-NEPAD
ADB
ATPS
ISDB
EU-Medibtikar
IDRC (Canada)
IRD (France)
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UNESCO offices
worldwide
OECD
RICYT (Latin America)
ALECSO
Arab Academy of Science
ISESCO
Inter-Academy Council
INRS (Quebec, Canada)
ASEAN
UNESCO Institute for Statistics
合作/合作伙伴
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UNESCO HQs
World Bank
Eurostat
AU-NEPAD
ADB
ATPS
ISDB
EU-Medibtikar
IDRC (Canada)
IRD (France)
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UNESCO offices
worldwide
OECD
RICYT (Latin America)
ALECSO
Arab Academy of Science
ISESCO
Inter-Academy Council
INRS (Quebec, Canada)
ASEAN
UNESCO Institute for Statistics
R&D statistics
UNESCO Institute for Statistics
R&D 统计
Research and Development
First edition published in
1963!
 Sixth edition published in
2002
 Currently under revision
 De facto world standard
UNESCO Institute for Statistics
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研究与试验发展
第一版发于1963年！
 第六版发于2002年
 现正在修订
 实际上的世界标准
UNESCO Institute for Statistics
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UNESCO Institute for Statistics
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.
UNESCO Institute for Statistics
R&D：定义
研究与试验发展（R&D）
包括
为了增加知识储量并运用这些知识创造新的应用而
进行的系统性、创造性的工作，包括关于人类、
文化和社会的知识，。
基本标准: 存在一个显而易见的新颖性元素，以及对
科学和/或技术不确定性的解答。
UNESCO Institute for Statistics
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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UNESCO Institute for Statistics
R&D 涵盖3种活动
基础研究
（没有特定的应用或使用）
 应用研究
（主要指向某一特定的实际目的或目标）
 试验发展
（指向生产新材料、新产品或新设备）
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UNESCO Institute for Statistics
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
UNESCO Institute for Statistics
例外
排除在R&D之外的
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教育和培训
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科学和技术服务/其它科学和技术活动
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其它工业活动
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行政和其它支持性活动
UNESCO Institute for Statistics
The Frascati Manual Revision
First edition 1963
 Current (6th) edition published in 2002
 Revision started in 2013
 Frascati 7.0 expected in 2015
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UNESCO Institute for Statistics
《弗拉斯卡蒂手册》的修订
1963年第一版
 现行版（第六版）出版于2002年
 从2013年起开始修订
 “弗拉斯卡蒂7.0” 预计在2015年问世
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UNESCO Institute for Statistics
Objectives of FM revision (1)
Reflect changes in the nature of R&D, including
cross-country, inter-firm and related arrangements,
considering among other the implications of the use
of R&D definitions for tax and accounting purposes.
 Recognise the widespread and increasing use of the
Manual’s guidelines among developing countries.
 Highlight methodological approaches for addressing
new survey challenges and making best use of
complementary data sources.
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UNESCO Institute for Statistics
修订《弗拉斯卡蒂手册》的目的（1）
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反映R&D本质的变化，包括跨越国家的、企业之
间和相关的安排，另外还考虑到在以税收和会计
为目的对R&D定义的使用。
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认可《手册》的指导方针在发展中国家中的普遍
性和使用的增加。
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强调方法论，处理调查的新挑战和对补充数据源
的最佳应用。
UNESCO Institute for Statistics
Objectives of FM revision (2)
Propose developments that facilitate the use of R&D
statistics in other statistical frameworks. This
applies in particular to their use of National
Accounts, in the light of the impending treatment of
R&D as capital formation within “mainstream”
economic statistics.
 Ensure that The Frascati Manual provides an
effective, “living” tool for the STI community,
becoming an easily accessible online repository of
knowledge and a pathway to other relevant sources.
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UNESCO Institute for Statistics
修订《弗拉斯卡蒂手册》的目的（2）
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提出有利于在其它统计框架中使用R&D统计的发
展建议。鉴于将要把R&D视为 “主流”经济统计
中的资本形成 ，这尤其适用于对国民核算的使用
。
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确保《弗拉斯卡蒂手册》为STI领域提供一个有效
而鲜活的工具，成为一个方便获取的在线知识库
和获取其它相关资源的通道。
11 revision groups
UNESCO Institute for Statistics
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
R&D definition
R&D outputs
Government R&D
HERD
Institutional classification
R&D personnel
R&D expenditures
R&D capitalisation
R&D globalisation
Statistical methods
Classification by economic activity and product
11 个修订组
UNESCO Institute for Statistics
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
R&D 定义
R&D 产出
政府 R&D
高等教育RD
机构分类
R&D 人员
R&D 经费
R&D 资本化
R&D 全球化
统计方法
按照经济活动和产品的分类
UNESCO Institute for Statistics
Survey on Statistics of Research
and Development (R&D)
Biennially.
 2004, 2006, 2008, 2010 and 2012 R&D surveys
completed.
 Data and metadata released on UIS website
(http://stats.uis.unesco.org).
 OECD and Eurostat provide data for their Member
States.
 RICYT provides data for Latin America and for a few
Caribbean countries.
 Cooperation with ASTII.
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UNESCO Institute for Statistics
研究和开发（R&D）的统计调查
每两年一次。
 2004年、2006年、2008年、2010年和2012年的
R&D调查已经完成。
 数据和元数据已经在UIS网站上公布
（http://stats.uis.unesco.org）。
 OECD和Eurostat为其成员国提供数据。
 RICYT（南美洲科技指示网络） 为拉丁美洲和几个
加勒比地区国家提供数据。
 与ASTII（非洲科学技术与创新指标项目）合作。
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UNESCO Institute for Statistics
Data collection: R&D Survey
R&D Personnel
 By sector of employment,
occupation, qualification, and
field of science
 In headcount and FTE
 By gender
R&D Expenditure
 By sector of performance and
source of funds
 By type of activity and field of
science
数据收集：R&D调查
UNESCO Institute for Statistics
R&D人员
根据就业部门、职业、资格证
明和科学领域
 总人数和全职员工
 根据性别
R&D支出
 根据执行部门和资金来源
 根据活动类型和科学领域
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How many researchers are there?
Number of researchers worldwide
2007 (7.2 million)
1.6
1.4
1.4
1.4
1.3
1.4
1.3
1.2
Researchers (millions)
UNESCO Institute for Statistics
2002 (5.8 million)
1.2
1.0
0.9
0.8
0.6
1.0
0.9
0.8
0.7
0.6
0.4
0.2
0.0
EU
Source: UIS, August 2010
USA
Japan
Other
developed
Note: Data for the USA are for 2006 instead of 2007
China
Other
developing
有多少研究人员？
全世界的研究人员数量
2007 (7.2 million)
1.6
1.4
1.4
1.4
1.3
1.4
1.3
1.2
Researchers (millions)
UNESCO Institute for Statistics
2002 (5.8 million)
1.2
1.0
0.9
0.8
0.6
1.0
0.9
0.8
0.7
0.6
0.4
0.2
0.0
EU
来源：UIS，2010年8月
USA
Japan
Other
developed
注意：美国的数据是2006年而非2007年的
China
Other
developing
UNESCO Institute for Statistics
Researchers (HC) per million pop.
UNESCO Institute for Statistics
每百万人口中的研究人员
UNESCO Institute for Statistics
Percentage of female researchers
UNESCO Institute for Statistics
女性研究人员的百分比
UNESCO Institute for Statistics
R&D expenditure as a % of GDP
UNESCO Institute for Statistics
R&D支出占GDP的百分比
UNESCO Institute for Statistics
Innovation statistics
UNESCO Institute for Statistics
创新统计
UNESCO Institute for Statistics
Innovation Statistics: Why?
Medium-term objective of the International Review
of S&T Statistics & Indicators 2002-03;
 May provide information on the business sector in
developing countries that R&D statistics won’t
supply;
 Many developing countries recently starting to carry
out innovation surveys;
 UIS has a natural coordinating role as UN lead
agency on STI statistics.
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UNESCO Institute for Statistics
创新统计：为什么？
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《2002-03年S&T统计和指标国际评论》的中期目标；
可能为不提供R&D统计的发展中国家中的商业部门提供
信息；
近期，很多发展中国家开始启动创新调查；
作为联合国中STI统计的领导机构，UIS具有自然的协调
作用。
UNESCO Institute for Statistics
The UIS strategy on Innovation
Statistics
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Global catalogue of innovation surveys;
Pilot data collection (19 countries in June 2011);
Metadata collection 2012;
2013: Regular data collection every two years;
Online worldwide database;
Analysis and publications;
Capacity building and training activities;
Methodological developments and survey help;
In partnership with international and regional organisations
(ASEAN, AU/NEPAD, Eurostat, OECD, RICYT, …).
UNESCO Institute for Statistics
UIS的创新统计策略
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创新统计全球目录；
试点数据收集（2011年6月，共19个国家）；
2012年元数据收集；
2013年：每两年一次的定期数据收集；
在线全球数据库；
分析和出版物；
能力建设和培训活动；
方法论的发展和调查帮助；
与国际和地区组织合作（ASEAN、AU/NEPAD、 Eurostat
、OECD、RICYT等）
Catalogue (1)
UNESCO Institute for Statistics
 Africa:
 Europe*:
• 19 countries
• 37 countries
• 33 surveys
• 82 surveys
 Asia:
 North America :
**
• 19 countries
• 2 countries
• 42 surveys
• 8 surveys
 LAC:
Total:
 Oceania:
• 17 countries
• 2 countries
• 56 surveys
• 7 surveys
*Work in progress; **Mexico is included in LAC; ***Figures to be updated.
• 96 countries
• 228 surveys
***
目录（1）
UNESCO Institute for Statistics
 非洲：
 欧洲*：
• 19个国家
• 37个国家
• 33项调查
• 82项调查
 亚洲：
 北美洲**：
• 19个国家
• 2个国家
• 42项调查
• 8项调查
 拉丁美洲：
 大洋洲：
• 17个国家
• 2个国家
• 56项调查
• 7项调查
*Work in progress; **Mexico is included in LAC; ***Figures to be updated.
总共：
• 96个国家
• 228项调查***
Catalogue (2)
UNESCO Institute for Statistics
http://www.uis.unesco.org/DataCentre/Pages/Nada.aspx
目录（2）
UNESCO Institute for Statistics
http://www.uis.unesco.org/DataCentre/Pages/Nada.aspx
UNESCO Institute for Statistics
2011 UIS pilot data collection (1)
Launch: June, 2011;
 Countries: 19 countries, 12 responses:
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Asia: CHN, IDN, ISR, MYS, PHL, LKA
Africa: EGY, GHA, ZAF, TZA
Europe: RUS
LAC: ARG, BRA, CHI, COL, CRI, MEX, PAN, URY
Observation period: most recent innovation survey
for which data are available;
 Industrial coverage: All, Manufacturing, Services.

UNESCO Institute for Statistics
2011年UIS试点数据收集（1）
启动：2011年6月；
 国家：19个国家，12项反馈：
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亚洲：中国、印度、以色列、马来西亚、菲律宾、斯里
兰卡
非洲：埃及、加纳、南非共和国、坦桑尼亚
欧洲：俄罗斯
拉丁美洲：阿根廷、巴拉圭、智利、哥伦比亚、哥斯达
黎加, 墨西哥、PAN、乌拉圭
观察期：对可获取数据的最新创新调查；
 覆盖的产业：所有、制造业、服务业。
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UNESCO Institute for Statistics
2011 UIS pilot data collection (2)
Montreal, June 2011
Topics:
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Basic methodology
(metadata)
Product innovation
Process innovation
Innovation activities and
expenditures
Funding
Sources of information
Cooperation
Hampering factors
Organisational innovation
Marketing innovation
All types of innovation
UIS
INNOVATION STATISTICS
PILOT QUESTIONNAIRE
COUNTRY:
OBSERVATION PERIOD:
PILOT DATA COLLECTION OF INNOVATION STATISTICS
(June 2011)
MOST RECENT INNOVATION DATA AVAILABLE
This pilot questionnaire is designed to collect the most recent data on innovation available at the country level, in
order to commence the development of the UIS database of innovation indicators. This pilot data collection on
innovation statistics is a tentative exercise towards the establishment of a regular worldwide innovation data
collection activity.
Please return one completed questionnaire before 30 September 2011 to l.marins@uis.unesco.org and/or
z.salmi@uis.unesco.org.
For any queries please contact the UIS:
Email: l.marins@uis.unesco.org and/or m.schaaper@uis.unesco.org
Telephone: +1 (514) 343-7753
Fax: +1 (514) 343-6872
Please refer to the Instruction Manual for Completing the Pilot Questionnaire on Innovation Statistics
before completing the questionnaire.
Only one questionnaire per country should be completed by the institution responsible for innovation
statistics (e.g. Ministry of Science and Technology, National Innovation Council or a similar organisation, or the
National Statistical Office).
Please do not leave any cell blank. The following codes should be used whenever figures are not available:
a
c
m
n
x
=
=
=
=
=
category not applicable
confidential
data missing (or not available)
quantity nil
data included in another category (please specify where, using a comment or footnote)
Estimated or provisional data should be marked with an asterisk *.
The data reported should refer to grossed up results.
The most recent innovation survey from which data are being reported is hereafter defined as "your
innovation survey".
Please send the UIS a copy of the questionnaire of your innovation survey.
2011年UIS试点数据收集（2）
UNESCO Institute for Statistics
主要内容：
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基本方法（元数据）
产品创新
工艺创新
创新活动和费用
资助
信息来源
合作
阻碍因素
组织创新
营销创新
各类创新
Montreal, June 2011
UIS
INNOVATION STATISTICS
PILOT QUESTIONNAIRE
COUNTRY:
OBSERVATION PERIOD:
PILOT DATA COLLECTION OF INNOVATION STATISTICS
(June 2011)
MOST RECENT INNOVATION DATA AVAILABLE
This pilot questionnaire is designed to collect the most recent data on innovation available at the country level, in
order to commence the development of the UIS database of innovation indicators. This pilot data collection on
innovation statistics is a tentative exercise towards the establishment of a regular worldwide innovation data
collection activity.
Please return one completed questionnaire before 30 September 2011 to l.marins@uis.unesco.org and/or
z.salmi@uis.unesco.org.
For any queries please contact the UIS:
Email: l.marins@uis.unesco.org and/or m.schaaper@uis.unesco.org
Telephone: +1 (514) 343-7753
Fax: +1 (514) 343-6872
Please refer to the Instruction Manual for Completing the Pilot Questionnaire on Innovation Statistics
before completing the questionnaire.
Only one questionnaire per country should be completed by the institution responsible for innovation
statistics (e.g. Ministry of Science and Technology, National Innovation Council or a similar organisation, or the
National Statistical Office).
Please do not leave any cell blank. The following codes should be used whenever figures are not available:
a
c
m
n
x
=
=
=
=
=
category not applicable
confidential
data missing (or not available)
quantity nil
data included in another category (please specify where, using a comment or footnote)
Estimated or provisional data should be marked with an asterisk *.
The data reported should refer to grossed up results.
The most recent innovation survey from which data are being reported is hereafter defined as "your
innovation survey".
Please send the UIS a copy of the questionnaire of your innovation survey.
2011 UIS pilot data collection (3)
UNESCO Institute for Statistics
Product or process innovators:
Manufacturing firms that implemented product or process innovation (as a % of all
manufacturing firms)
Eurostat min
Eurostat max
90
75
60
45
30
15
Brazil
China
Egypt
Israel
Malaysia Philippines Russian
Federation
South
Africa
Uruguay
EU-27
2011年UIS试点数据收集（3）
UNESCO Institute for Statistics
产品或流程创新者：
按规模分类的实施产品或工艺创新的制造企业（占所有制造企业的百分比）
Eurostat min
Eurostat max
90
75
60
45
30
15
Brazil
China
Egypt
Israel
Malaysia Philippines Russian
Federation
South
Africa
Uruguay
EU-27
2011 UIS pilot data collection (4)
UNESCO Institute for Statistics
 Product or process innovators by size:
Manufacturing firms that implemented product or process innovation by size class (as a
% of all manufacturing firms in each size class)
Micro
Small
Medium-sized
Large
90
75
60
45
30
15
0
China
Colombia
Israel
Malaysia
Philippines
Russian
Federation
South
Africa
EU-27
2011年UIS试点数据收集（4）
UNESCO Institute for Statistics
 按照规模分类的产品或工艺创新者：
按规模分类的实施产品或工艺创新的制造企业（按规模分类占所有制造企业百分比）
Micro
Small
Medium-sized
Large
90
75
60
45
30
15
0
China
Colombia
Israel
Malaysia
Philippines
Russian
Federation
South
Africa
EU-27
UNESCO Institute for Statistics
2012 UIS metadata collection
Launch: September, 2012;
 Countries: all countries with official innovation
surveys;
 Methodological procedures of the national
innovation surveys;
 Key contact person(s) for innovation statistics.

UNESCO Institute for Statistics
2012年UIS元数据收集
启动：2012年9月；
 国家：所有开展官方创新调查的国家；
 国家创新调查的方法论过程；
 创新统计的主要联系人信息

UNESCO Institute for Statistics
2013 UIS global data collection
Launch: August 1, 2013;
 Countries: all countries with official innovation
surveys;
 Observation period: most recent innovation survey
for which data are available;
 Industrial coverage: mostly manufacturing;
 Topics: same as pilot publication.

UNESCO Institute for Statistics
2013年UIS全球数据收集
启动：2013年8月1日；
 国家：所有开展官方创新调查的国家；
 观测期：对于可获取数据的最新创新调查；
 覆盖行业：主要是制造业；
 主要内容：和试点发布一样。
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Innovation: the Oslo Manual
UNESCO Institute for Statistics
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Guidelines for collecting and
interpreting innovation data
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
创新：《奥斯陆手册》
UNESCO Institute for Statistics

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收集和解释数据的指南
与欧洲委员会合作编制
“弗拉斯卡蒂家族” 的一部分
用于欧盟创新调查（CIS）和国家
创新调查
1992年第1版
1997年第2版  覆盖范围扩大到
服务业
2005年第3版  包括非技术创新
UNESCO Institute for Statistics
What is innovation?

Innovation is the implementation of:


New or significantly improved product or process;
New marketing or organisational method.
Implementation:

A new or improved product is implemented when it is
introduced on the market;

New processes, marketing methods or organisational
methods are implemented when they are brought into
actual use in the firm’s operations.
UNESCO Institute for Statistics
什么是创新？

创新就是实现了：


新的或显著改进的产品或工艺；
新的营销或组织方法。
实现：

被推向市场后，一款新的或改进了的产品就得到了实现；

被企业的运营业务实际使用后，新工艺（流程）、营销方
法或者组织方法就得到了实现。
UNESCO Institute for Statistics
The innovation measurement
framework
UNESCO Institute for Statistics
创新测量框架
UNESCO Institute for Statistics
Types of innovation - Product (1)

Product Innovation:



Introduction of a good or service that is new or
significantly improved with respect to its characteristics or
intended uses;
New products: different characteristics or intended uses
from previous products;
Significantly improvements: changes in materials,
components, and other characteristics that enhance
performance.
UNESCO Institute for Statistics
创新的类型 – 产品（1）

产品创新：



推出一种在特性或预期用途上全新或有显著改进的商
品或服务；
新的产品：较之以前有不同的特性或预期用途；
显著的改进：在材质、组成部件和其它特征上有更好
的表现。
UNESCO Institute for Statistics
Types of innovation - Product (2)

Product Innovation - examples:

New products:




The first microprocessors;
The first digital cameras;
The first portable MP3 player;
Significantly improvements:



Introduction of ABS braking, GPS navigational systems, or other
subsystem improvements in cars;
The use of breathable fabrics in clothing;
Improvements in internet banking services, such as greatly
improved speed and ease of use.
UNESCO Institute for Statistics
创新的类型 – 产品（2）

产品创新 – 例子：

新的产品：




第一个微处理器；
第一台数码相机；
第一个便携式MP3播放器；
显著改进:



推出汽车防抱死系统的、GPD导航系统或者汽车其它子系统的
改进；
衣服中透气面料的使用；
改进网络银行服务，如明显改进了的速度和易用性。
UNESCO Institute for Statistics
Types of innovation - Process (1)

Process Innovation:

Implementation of a new or significantly improved
production or delivery method (changes in techniques,
equipment and/or software);

Intended to: decrease unit costs of production or delivery,
increase quality, or produce or deliver new or significantly
improved products.
UNESCO Institute for Statistics
创新的类型 – 流程（1）

工艺创新：

采用了一项新的或者显著改进了的生产或交付方式（
技术、设备和/或软件的变化）；

目的：降低生产或交付的单位成本，提高质量，或者
制造或交付新的或有明显改进的产品。
UNESCO Institute for Statistics
Types of innovation - Process (2)

Process Innovation - examples:




Introduction of a bar-coded goods-tracking system;
Introduction of GPS tracking devices for transport services;
Implementation of computer-assisted design for product
development;
Implementation of a new reservation system in a travel
agency.
UNESCO Institute for Statistics
创新的类型 – 工艺（2）

工艺创新 – 实例：

推出条形码商品追踪系统；

推出GPS定位装置，用于交通服务；

实现产品开发的计算机辅助设计；

在旅行社实行新的预定系统。
UNESCO Institute for Statistics
Types of innovation - Marketing (1)

Marketing Innovation:




Implementation of a new marketing method involving
significant changes in product design or packaging,
product placement, product promotion or pricing;
Better addressing customer needs, opening up new
markets, or newly positioning a firm’s product on the
market  increasing firm’s sales;
Marketing method NOT previously used - part of a new
marketing concept or strategy;
For both new and existing products.
UNESCO Institute for Statistics
创新的类型 – 市场营销（1）

营销创新：

实行新的市场营销方法，包括在产品设计或包装、产
品推广、销售渠道或定价上有显著变化。

更好地应对消费者需求，开发新市场，或者重新定位
一个企业在市场中的产品  增加企业销量；
之前没有用过的市场营销方法 – 一个新的市场营销概念
或策略的一部分；
同时用于新的和现有的产品。


UNESCO Institute for Statistics
Types of innovation - Marketing (2)

Marketing Innovation:




Product design or packaging: changes in form and
appearance that do not alter products’ functional or user
characteristics + changes in the packaging;
Product placement: new sales channels;
Product promotion: new concepts for promoting firms’
goods and services;
Pricing: new pricing strategies to market the firms’ goods
or services.
UNESCO Institute for Statistics
创新的类型 – 市场营销（2）

营销创新：




产品设计和包装：在形式和外观上有所变化，不改变
产品的功能或用户特性 + 包装的变化；
产品销售渠道：新的销售渠道；
产品推广：推销公司的商品和服务的新理念；
定价：用新的定价策略营销公司的商品和服务。
UNESCO Institute for Statistics
Types of innovation - Marketing (3)

Marketing Innovation - examples:



Development and introduction of a fundamentally new
brand symbol;
First use of a significantly different media - product
placement in a television programme;
Introduction for the first time of a franchising system.
UNESCO Institute for Statistics
创新的类型 – 市场营销（3）

市场营销创新 – 例子：

开发并推出一个全新的品牌标识；

首次使用一个完全不同的媒体 – 在电视节目中植入广告；

首次推出一个特许经营体系。
UNESCO Institute for Statistics
Types of innovation Organisational (1)

Organisational Innovation:



Implementation of a new organisational method in the
firm’s business practices, workplace organisation or
external relations;
Increase firm’s performance by reducing
administrative/transaction costs, improving workplace
satisfaction, accessing non-tradable assets, or reducing
costs of supplies;
Organisational method NOT used before - result of
strategic decisions taken by management.
UNESCO Institute for Statistics
创新的类型 – 组织方面（1）

组织创新：

在公司的商业活动、工作场所组织或外部关系上实行
一个新的组织方式；

通过减少行政/交易成本、改进工作场所满意度、获得
非贸易资产或者降低供应成本，增加公司业绩；

之前没有使用过的组织方式 – 战略决策管理的结果。
UNESCO Institute for Statistics
Types of innovation Organisational (2)

Organisational Innovation:



Business practices: implementation of new methods for
organising routines and procedures for the conduct of
work;
Workplace organisation: new methods for distributing
responsibilities and decision making among employees for
the division of work within and between firm activities +
new concepts for the structuring of activities;
External relations: new ways of organising relations with
other firms or public institutions.
UNESCO Institute for Statistics
创新的类型 – 组织方面（2）

组织创新：

商业活动：在组织管理和生产程序上实行新的方法；

工作场所组织：在公司内部和公司之间的活动分工上
，分配职责和决策的新方法+活动打造的新理念；

外部关系：组织与其它公司和公共机构的关系的新方
法。
UNESCO Institute for Statistics
Types of innovation Organisational (3)

Organisational Innovation - examples:



First implementation of a database of best practices;
Establishment of new types of collaborations with
research organisations;
First implementation of an organisational model that gives
the firm’s employees greater autonomy in decision making
and encourages them to contribute their ideas.
UNESCO Institute for Statistics
创新的类型 – 组织方面（3）

组织创新 – 例子：

首次使用一个最佳实践经验的共享数据库；

与科研机构之间建立新型合作机制；

首次实施一个组织模式，让员工有更多参与决策的权
利，鼓励员工贡献想法。
UNESCO Institute for Statistics
Diffusion and degree of novelty

Degree of novelty:



Firm;
Market;
World.
UNESCO Institute for Statistics
传播和新颖程度

新颖程度：

企业新；

市场新；

世界新。
UNESCO Institute for Statistics
Example - product
innovation/degree of novelty
During the three years 200X to 200Y, did your
enterprise introduce:
(Product innovations)
New or significantly improved goods?
New or significantly improved services?
Yes
()
()
No
()
()
Were any of your product innovations during the three
years 200X to 200Y:
(Degree of novelty)
New to your market?
Only new to your firm?
Yes
()
()
No
()
()
UNESCO Institute for Statistics
例子 – 产品创新/新颖程度
During the three years 200X to 200Y, did your
enterprise introduce:
(Product innovations)
New or significantly improved goods?
New or significantly improved services?
Yes
()
()
No
()
()
Were any of your product innovations during the three
years 200X to 200Y:
(Degree of novelty)
New to your market?
Only new to your firm?
Yes
()
()
No
()
()
UNESCO Institute for Statistics
Example - organisational
innovation
During the three years 200X to 200Y, did your enterprise
introduce:
(Organisational innovations)
New business practices for organising
procedures
New
methods
of
organising
work
responsibilities and decision making
New methods of organising external relations
with other firms or public institutions
Yes
No
()
()
()
()
()
()
UNESCO Institute for Statistics
例子 – 组织创新
During the three years 200X to 200Y, did your enterprise
introduce:
(Organisational innovations)
New business practices for organising
procedures
New
methods
of
organising
work
responsibilities and decision making
New methods of organising external relations
with other firms or public institutions
Yes
No
()
()
()
()
()
()
UNESCO Institute for Statistics
Types of innovation - example

Innovation in a restaurant:




Product innovation: delivery (new service);
Process innovation: new type of oven (new equipment
used in the production process);
Organisational innovation: new delivery unit (new
organisational unit/model);
Marketing innovation: billposting (new media for
promoting the delivery service).
Note. Source: Adapted from Heinlo, A. (2011). Measuring R&D&I
in Estonia. Almaty, Kazakhstan S&T Indicators Workshop. (PowerPoint
Presentation)
UNESCO Institute for Statistics
创新的类型 – 例子

一家餐厅的创新:




产品创新：开始送货上门（新的服务）；
工艺创新：新型烤箱（在生产流程中使用的新设备）；
组织创新：新成立外卖部门（新的组织单位/模式）；
营销创新：广告宣传（运用新媒体推广送货服务）。
注. 来源： 改编自Heinlo, A. （2011年）。《测量爱沙尼亚的研究、开
发和创新 》
哈萨克斯坦，阿拉木图，科学和科技指标研讨会。（PPT）
UNESCO Institute for Statistics
Exercise…
Exercise 1:
Types of Innovation
UNESCO Institute for Statistics
练习……
练习一：
创新的类型
UNESCO Institute for Statistics
Thank you for your attention!
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m.schaaper@unesco.org
UNESCO Institute for Statistics
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http://www.uis.unesco.org
m.schaaper@unesco.org