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!
http://www.uis.unesco.org
m.schaaper@unesco.org
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