s&t statistics & indicators as a tool for policy-making

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S&T Statistics & Indicatorsas a tool for policy-making

Ernesto Fernandez PolcuchUNESCO Institute for Statistics

International Conference on S&T Policy Research and Statistical Indicators

08-10 November 2006 - Colombo, Sri Lanka

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Structure of the presentation

• What information are we collecting at the international level

• Why produce S&T statistics and indicators in the country

• How to produce them

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Researchers per million inhabitants, 2004 or latest available year

0 – 100

101 – 300

301 – 1000

1001 – 2000

Data not available

2001 and above

Source: UIS S&T database 2006 and estimates

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Researchers per million inhabitants, 2004 or latest available year

0 – 100

101 – 300

301 – 1000

Data not available

1001 and above


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R&D Personnel in Asia, 2003 or latest available year

Country YearTotal R&D

Personnel (FTE) Researchers (FTE)Technicians

(FTE)Armenia 2003 (HC) * 6277 4,667 313Azerbaijan 2002 (HC) 16,019 10,195 1,609Bangladesh 1997 (HC) 15,364 5,569 3,825Brunei Darussalam 2003 140 98 -China 2003 1,094,831 862,108 -Cyprus 2003 922 490 239Georgia 2002 (HC) 14,893 11,997 1,246India 1998 330,492 117,528 100,656Indonesia 2001 51,544 43,779 -Iran 2004 - 88,000 -Japan 2003 882,414 675,330 67,389Jordan 1998 23,946 9,090 3,345Kazakhstan 2002 13,720 9,366 1,364

Source: UIS S&T database 2006 FTE: Full-time equivalent, HC: Headcount, *partial data

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R&D Personnel in Asia, 2003 or latest available year (continued)



(FTE)Korea (Rep. of) 2003 * 186,214 151,254 26,926Kyrgyzstan 2002 (HC) 2,922 2,065 257Kuwait 2002 (HC) * 766 169 420Malaysia 2002 10,731 7,157 1,379Mongolia 2002 (HC) 2,313 1,738 177Nepal 2002 6,500 1,500 3,500Pakistan 2002 (HC) * - 12,820 -Philippines 2002 5,025 3,750 621Saudi Arabia 2002 (HC) * 4,182 1,513 1,674Singapore 2003 23,514 20,024 1,586**

Sri Lanka 2000 * - 2,537 -Thailand 2003 42,379 18,114 13,139Turkey 2002 28,964 23,995 2,567Viet Nam 2002 11,356 9,328 -Source: UIS S&T database 2006 FTE: Full-time equivalent, HC: Headcount, *partial data, **different year

www.uis.unesco.orgFTE: Full-time equivalent, HC: Headcount, *partial data

R&D Personnel in Africa, 2003 or latest available year



(FTE)Burkina Faso 1997 * 780 176 165Congo 2000 * 217 102 111Gabon 2004 (HC) * 188 80 68Guinea 2000 (HC) * 3,711 2,117 768Lesotho 2002 (HC) * 196 81 47Madagascar 2000 * 985 240 730Mauritius 1997 (HC) 871 231 145Morocco 2002 (HC) * - 23,559 -Mozambique 2002 (HC) * 2,467 468 1,999South Africa 2001 21,195 14,182 3,374Sudan 2004 (HC) 19,772 9,340 4,641Tunisia 2002 11,510 9,910 329Uganda 2001 (HC) 1,278 568 366Zambia 1999 * 2,098 536 163

Source: UIS S&T database 2006

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R&D Personnel in Americas and Oceania, 2003 or latest available year



(FTE)Australia 2002 106,838 73,344 -New Zealand 2003 21,410 15,568 3,285Canada 2002 177,120 112,624 40,382USA 2002 - 1,334,628 -Argentina 2003 39,393 27,367 12,026Bolivia 2001 1,200 1,050 50Brazil 2000 117,541 59,838 57,703Chile 2001 11,173 6,446 4,727Colombia 2003 8,216 4,829 3,387Cuba 2003 (HC) 33,478 6,027 27,451Mexico 2002 46,092 27,626 9,881Paraguay 2002 1,106 455 651Uruguay 2002 1,412 1,242 170

Source: UIS S&T database 2006 FTE: Full-time equivalent, HC: Headcount

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R&D Personnel in Europe, 2003 or latest available year


Personnel (FTE)Researchers

(FTE)Technicians

(FTE)Belgium 2003 52,240 30,901 15,293Denmark 2003 43,298 25,546 14,640Finland 2003 57,196 41,724 17928**

France 2003 346,078 192,790 -Germany 2003 472,533 268,943 89,956Netherlands 2003 85,987 37,928 27,861Norway 2003 29,014 20,989 8,025Poland 2003 77,040 58,595 10,881Portugal 2003 25,529 20,242 3,189Russia 2003 973,382 487,477 80,514Spain 2003 151,487 92,523 36,278Sweden 2003 72,978 47,836 -UK 1998 - 157,662 -

Source: UIS S&T database 2006 FTE: Full-time equivalent, HC: Headcount, *partial data, **different yearFTE: Full-time equivalent, HC: Headcount, **different year

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Researchers per million inhabitants in 2000 by principal regions/sub-regions

38

78

251

289

313

552

591

876

930

2399

2458

3034

3904

0 1000 2000 3000 4000

Arab States (in Asia)

Africa

Latin America & CaribbeanOther Asia

Developing Countries

Asia

NIE (in Asia)

WORLDCIS (in Asia)

OceaniaEurope

Developed CountriesNorth America

Source: UIS estimates 2003Note: Other Asia includes South Asia, South East Asia (excl. NIE), Arab states in Asia, Mongolia and Korea.

Source: UIS estimates 2003

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Shares of world researchers by regions, 2000

Asia, Europe and North America represent 95% of world researchers whereas the other 5% is represented by Latin America & Caribbean, Oceania and Africa.

Africa1.2%

Asia38.5%

Europe33.8%

Oceania1.4%

North America

22.7%Latin

America & Caribbean

2.4%


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Business Enterprise Government Higher Education Private Non-Profit Non distributed

Researchers by sector of employment in Africa and Asia, 2003 or latest available year

Africa Asia


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Researchers by sector of employment in Americas, Europe and Oceania, 2003 or latest available year

Europe Americas Ocea.


0%10%20%

30%40%50%

60%70%

80%90%

100%D

enm

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Ger

man

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Swed

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Finl

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Rus

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Nor

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Bel

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Fran

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GERD as a percentage of GDP, 2004 or latest available year

0.00 – 0.25

0.26 – 0.50

0.51 – 1.00

1.01 – 2.00

Data not available

2.01 and above


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GERD as a percentage of GDP, 2004 or latest available year

0.00 – 0.25

0.26 – 0.50

0.51 – 1.00

Data not available

1.01 and above


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Gross Domestic Expenditure on R&D (GERD) in Asia, 2003 or latest available year

Country YearGERD ('000) in Local currency

GERD ('000) PPP$

GERD as a % of GDP

GERD per capita (PPP$)

Armenia 2002 * 3,440,900 24,316 0.3% 8.0Azerbaijan 2002 91,407,000 79,303 0.3% 9.6China 2003 153,963,000 84,618,281 1.3% 65.1Cyprus 2003 23,933 - 0.4% -Georgia 2002 21,478 33,628 0.3% 7.3India 2000 176,602,100 20,740,315 0.8% 20.3Indonesia 2001 783,045,000 343,868 0.05% 1.6Iran 2004 7,818,000,000 - 0.7% -Israel 2003 23,682,000 6,320,818 4.7% 976.3Japan 2003 15,683,403,000 112,221,817 3.1% 878.5Kazakhstan 2001 7,154,075 174,894 0.2% 11.7Korea (Rep. of) 2003 19,068,682,000 22,761,539 2.6% 479.6

Source: UIS S&T database 2006 *partial data

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Gross Domestic Expenditure on R&D (GERD) in Asia, 2003 or latest available year (continued)


GERD ('000) PPP$

GERD as a % of GDP


Kyrgyzstan 2002 149,300 16,176 0.2% 3.2Malaysia 2002 2,500,600 1,539,498 0.7% 64.2Mongolia 2002 * 3,522,700 11,292 0.3% 4.4Nepal 2002 2,807,000 221,728 0.6% 8.7Pakistan 2002 * 9,785,470 649,951 0.2% 4.4Philippines 2002 4,493,968 372,611 0.1% 4.7Singapore 2003 3,424,470 2,239,000 2.2% 530.6Sri Lanka 2000 * 1,810,000 91,852 0.1% 4.6Thailand 2003 15,499,201 1,230,952 0.3% 19.5Turkey 2002 1,843,290 2,953,874 0.7% 42.0Viet Nam 2002 1,032,560,900 357,109 0.2% 4.4

*partial dataSource: UIS S&T database 2006

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Gross Domestic Expenditure on R&D (GERD) in Africa, 2003 or latest available year


GERD ('000) PPP$

GERD as a % of GDP


Burkina Faso 1997 * 2,586,462 16,927 0.2% 1.6Egypt 2000 * 654,600 437,004 0.2% 6.5Lesotho 2002 * 500 279 0.01% 0.2Madagascar 2000 * 31,428,000 15,278 0.1% 0.9Mauritius 2003 * 529,139 48,923 0.4% 40.1Morocco 2002 2,447,850 695,093 0.6% 23.1Mozambique 2002 * 501,580,800 113,663 0.6% 6.1South Africa 2001 7,488,076 3,351,281 0.8% 72.7Sudan 2003 15,650,000 215,997 0.3% 6.2Tunisia 2002 188,000 416,202 0.6% 42.6Uganda 2001 81,215,540 259,259 0.8% 10.3Zambia 1997 * 417,000 574 0.01% 0.1

Source: UIS S&T database 2006 *partial data

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Gross Domestic Expenditure on R&D (GERD) in Americas and Oceania, 2003 or latest available year


GERD ('000)PPP$

GERD as a % of GDP

GERD per capita(PPP$)

Australia 2002 12,842,700 9,499,196 1.7% 486.8New Zealand 2003 1,593,100 1,052,088 1.2% 266.6Canada 2003 23,992,000 19,398,862 2.0% 613.2USA 2003 292,437,410 291,765,090 2.7% 997.1Argentina 2003 1,541,700 1,825,667 0.4% 48.0Bolivia 2002 156,800 60,505 0.3% 7.0Brazil 2003 14,851,310 13,487,010 1.0% 74.3Chile 2003 303,001,483 980,798 0.6% 61.5Colombia 2001 313,720,990 449,973 0.2% 10.5Cuba 2003 209,100 - 0.6% -Mexico 2002 24,861,000 3,604,704 0.4% 35.0Paraguay 2002 30,821,390 24,464 0.1% 4.3Uruguay 2002 688,880 68,931 0.3% 20.3


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Gross Domestic Expenditure on R&D (GERD) in Europe, 2003 or latest available year

Country YearGERD ('000) inLocal currency

GERD ('000) PPP$

GERD as a % of GDP


Belgium 2003 5,089,200 5,593,792 1.9% 539.0Denmark 2003 36,739,700 4,461,555 2.6% 826.7Finland 2003 5,005,020 5,023,470 3.5% 962.3France 2003 34,569,100 36,717,363 2.2% 611.9Germany 2003 54,538,430 58,683,043 2.6% 710.6Netherlands 2003 8,376,000 8,805,951 1.8% 545.3Norway 2003 27,301,700 3,000,475 1.7% 655.8Poland 2003 4,558,300 2,430,960 0.6% 63.0Portugal 2003 1,019,580 1,472,921 0.8% 141.8Russia 2003 169,862,370 16,926,381 1.3% 117.0Spain 2003 8,213,040 10,172,181 1.1% 241.4Sweden 2003 97,100,000 9,538,353 4.0% 1,063.3UK 2003 20,821,400 30,503,580 1.9% 514.5


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GERD as a percentage of GDP in 2000 by principal regions/sub-regions

Developing countries spent around 0.9% of their GDP on R&D, still falling short of the target of 1% indicated in various S&T Policy documents

0.1

0.3

0.3

1.5

1.5

1.7

0.6

2.7

2.3

1.7

1.7

0.9

1.1

0.0 0.5 1.0 1.5 2.0 2.5 3.0


Africa

CIS (in Asia)

Latin America & Caribbean


Other Asia

Asia

Oceania

NIE (in Asia)

Europe

WORLD

Developed Countries

North America

Source: UIS estimates 2003Note: Other Asia includes South Asia, South East Asia (excl. NIE), Arab states in Asia, Mongolia and Korea.


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GERD as a percentage of GDP by region, 1990 - 2000


2.7%

1.7%

0.6%

0.3%

2.6%

1.5%

1.8%

0.5%

1.1%

0.6%

0.0%

0.5%

1.0%

1.5%

2.0%

2.5%

3.0%

1990 1992 1994 1996/1997 1999/2000

NorthernAmerica

Asia

Europe

LatinAmerica &CaribbeanOceania

Africa

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GERD as a percentage of GDP in developing countries and in selected countries & regions in Asia and Africa, 1990 - 2000


0.7%0.7%

0.9%

1.6% 1.7%

0.8%1.0%

0.0%

0.5%

1.0%

1.5%

2.0%

1990 1992 1994 1996/97 1999/ 2000Total developing countries (World)IndiaNewly Indust. Economies (Asia)China

0.8%0.9%

0.7%

0.5% 0.6%

1.0%

0.2%0.3%

0.1%0.0%

0.5%

1.0%

1.5%

2.0%

1990 1992 1994 1996/97 1999/ 2000Total developing countries (World)Latin America & CaribbeanSouth AfricaOther sub-Saharan AfricaArab states

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Shares of world R&D expenditure (GERD) by regions, 1990 - 2000

Region 1990 1992 1994 1996/1997 1999/2000Northern America 38.2% 39.9% 37.2% 38.0% 37.2%Latin America & Caribbean 2.8% 2.6% 3.1% 3.1% 2.8%Europe 33.9% 29.7% 30.9% 28.7% 26.9%Africa 1.3% 0.8% 0.9% 0.8% 0.8%Asia 23.0% 26.0% 26.6% 28.2% 31.2%Oceania 1.0% 0.9% 1.3% 1.3% 1.1%


1999/2000

Europe, 26.9% Northern

America, 37.2%

Oceania, 1.1% Africa, 0.8%Latin

America & Caribbean,

2.8%

Asia, 31.2%

1990

Asia, 23.0%

Latin America & Caribbean,

2.8%

Africa, 1.3%Oceania, 1.0%

Northern America,

38.2%

Europe, 33.9%

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R&D expenditure (GERD) per researcher by principal regions /sub-regions, 2000 (in thousand PPP$)

GERD per researcher in absolute terms as well as relative to GDP per capita suggest important issues to build up effective R&D systems in terms of salaries for researchers and proper working environment that provides access to research equipment, research facilities.

9

89

99

112

114

158

161

167

69

184

233

141

120

0 50 100 150 200 250

CIS (in Asia)

Africa

Other Asia


Asia

Europe

Oceania

WORLD

Developed Countries


Latin America & Caribbean

NIE (in Asia)

North America

Source: UIS estimates 2003 and A World of Science Vol. 2-1 UNESCO.

Note: Other Asia includes South Asia, South East Asia (excl. NIE), Arab states in Asia, Mongolia and Korea.

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GERD by sector of performance in Africa and Asia, 2003 or latest available year


AsiaAfrica


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Indo

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Africa

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100%

GERD by sector of performance in Americas, Europe and Oceania, 2003 or latest available year



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GERD by source of funds in Africa and Asia, 2003 or latest available year

Africa Asia

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Business Enterprise Government Higher Education Private Non-Profit Non distributedForeign

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GERD by source of funds in Americas, Europe and Oceania, 2003 or latest available year



0%

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Business Enterprise Government Higher Education Private Non-Profit Non distributedForeign

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Why: Evidence-based policy-making

• Evidence-based policy has been defined as an approach that “helps people make well informed decisions about policies, programmes and projects by putting the best available evidence from research at the heart of policy development and implementation” (Davies, 1999).

• Further, evidence-based policy-making in a democratic context means that, wherever possible, public policy decisions should be reached after an open debate which is informed by careful and rigorous analysis using sound and transparent data. More specifically, it may be defined as the use of statistics to achieve issue recognition; inform programme design and policy choice; forecast the future; monitor policy implementation; evaluate policy impact (Scott, 2005).

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Some key quotes

• “Governments should promote the further development or setting up of national statistical services capable of providing sound data, disaggregated by gender and disadvantaged groups, on science education and R&D activities that are necessary for effective S&T policy-making. Developing countries should be assisted in this respect by the international community, using the technical expertise of UNESCO and other international organizations.” (Science Agenda - Framework for Action, World Science Conference, Budapest, 1999)

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Targets and benchmarking

• Government will make necessary budgetary commitments for higher education and science and technology. It will, through its own resources and also through contribution by industry, raise the level of investment to at least 2% of GDP on science and technology by the end of the Tenth Plan. (India, Science and Technology Policy 2003)

• “The objective is to reach the objective set by the March 2002 Barcelona European Council, to increase the average research investment level from 1.9% of GDP today to 3% of GDP by 2010, of which 2/3 should be funded by the private sector.” (Investing in research: an action plan for Europe, Commission of the European Communities, 2003).

• “To foster scientific and technological activity in all its aspects and widest possible scope to maintain a vigorous drive towards developing self reliance in scientific and technological capability, and to allocate a reasonable proportion of GNP for science and technology activity.” (Presidential Task Force Report, Science and Technology Policy for the 1990s, Sri Lanka)

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Targets and benchmarking (contd.)

• “To demonstrate their political will and commitment to improving the tot of these peoples, Member States are urged, within the coming decade, to aim at gradually reaching the target of mobilising, at the domestic level, 1 per cent of their GDP for the development of their scientific and technological capabilities.” (Lagos plan of action for the economic development of Africa, Organization of African Unity, 1980)

• “An example is the target of a ratio of R&D spending to GDP of 1% for African countries.” (Africa’s Science and Technology Consolidated Plan of Action, AMCOST/NEPAD, 2005).

• South Africa has set a goal of achieving R&D expenditure equivalent to 1% of GDP by the year 2008 (http://www.dst.gov.za/).

http://www.dst.gov.za/

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Millennium Project

• The international mobility of skilled people is one of the key mechanisms for the transition of technological capability across countries. To use this mechanism effectively, countries need to design institutions that enable them to use the skills of their nationals wherever they live. Such institutional arrangements need to rely on a commitment to international cooperation and partnerships.

• Marginalized in the development process, these universities seek only to churn out graduates. Universities need to be re-envisioned as potentially powerful partners in the development process.

• The science, technology, and innovation curricula in many developing country universities are outdated or lack a cross-disciplinary approach. In certain departments, the research emphasis needs to be shifted toward issues of local and national relevance.

• Creating links between knowledge generation and enterprise development is one of the most important challenges developing countries face. A range of structures can be used to create and sustain enterprises, from taxation regimes and market-based instruments to consumption policies and changes within the national system of innovation

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UIS view of S&T statistics

• Human resources

• Innovation; especially at local level, including organizational change

• Three stage strategy• R&D > innovation > impact

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Definition• Science and technology indicators may be defined as a

series of data designed to answer questions about the existing state of and/or changes in the science and technology enterprise, its internal structure, its relationships with the outside world, and the degree to which it is meeting the goals set it by those within or without (Fabian, 1979).

• The aim of science and technology indicators is similar to that of social indicators: to obtain a picture of the state of science and technology and anticipate the consequences of scientific advances and technological change (Sirilli, 1998).

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Inputs “Black box” Outputs

Science and Technology

Human Resources Publications

Expenditure Patents

What: Types of S&T indicators

We cannot measure S&T directly. Therefore we measure proxies:

• Input indicators• Output indicators• Impact indicators

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What is in the “black box”?

We need to define clearly WHAT we are measuring.

Science and Technology? Innovation? Research and Experimental Development (R&D)?

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WHAT DO WE MEASURE: Types of indicators

Input indicators: R&D expenditure and human resources.

Output indicators: publications and patents. Impact indicators: innovation, social impact (?). Technology transfer indicators: technology

balance of payment.

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Chris Freeman’s pyramid revisited

INTERNATIONAL LEVEL

REGIONAL LEVEL

NATIONAL LEVEL

INSTITUTIONAL LEVEL

ConsensusStandards

YOU ARE HERE

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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

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“Frascati family” of OECD Manuals

Type of data Title

R&D Frascati Manual: Proposed Standard Practice for Surveys of Research and Experimental Development (6th Edition, 2002)

R&D Statistics and Output Measurement in the Higher Education Sector. “Frascati Manual Supplement” (1989)

Technology balance of payments

“Manual for the Measurement and Interpretation of Technology Balance of Payments Data – TBP Manual” (1990)

Innovation OECD Proposed Guidelines for Collecting and Interpreting Technological Innovation Data – Oslo Manual (3rd Edition, 2005)

Patents “Using Patent Data as Science and Technology Indicators – Patent Manual 1994”

S&T personnel The Measurement of Human Resources Devoted to Science and Technology – Canberra Manual (1995)

The Measurement of Scientific and Technological Activities

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Other relevant OECD frameworks

Type of data TitleHigh-technology “Revision of High-technology Sector and Product

Classification” (OECD, STI Working Paper 1997/2)

Bibliometrics “Bibliometric Indicators and Analysis of Research Systems, Methods and Examples”, by Yoshiko Okubo (OECD, STI Working Paper 1997/1)

Globalisation Handbook of Economic Globalisation Indicators (2005)

Information Society Guide for Information Society Measurements and Analysis (2005)

Biotechnology Framework for Biotechnology Statistics (2005).

Productivity Measuring Productivity. Measurement of aggregate and industry-level productivity growth (2001)

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STA: Definition

For statistical purposes, Scientific and Technological Activities (STA) can be defined as all systematic activities which

are closely concerned with the generation, advancement, dissemination, and application of scientific and technical knowledge in all fields of

science and technology, that is the natural sciences, engineering and technology, the medical and the agricultural sciences (NS), as well as the

social sciences and humanities (SSH).

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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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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 and training, higher education and training leading to a

university degree, post-graduate and further training and organized lifelong training for

scientists and engineers.

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STS: Definition

Scientific and technological services (STS) can be defined as any activities concerned with

scientific research and experimental development and contributing to the generation, dissemination

and application of scientific and technical knowledge.

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STS: detailed activities

S&T services provided by libraries, archives, information and documentation centres, reference departments, scientific congress centres, data banks and information-processing departments.

S&T services provided by museums of science or technology, botanical and zoological gardens and other S&T collections (anthropological, archaeological, geological, etc.).

Systematic work on the translation and editing of S&T books and periodicals.

Topographical, geological and hydrological surveying; meteorological and seismological observations; surveying of soils and of plants; fish and wildlife resources; routine soil, atmosphere and water testing; the routine checking and monitoring of radioactivity levels.

Prospecting and related activities designed to locate and identify oil and mineral resources.

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STS: detailed activities (continued)

The gathering of information on human, social, economic and cultural phenomena, usually for the purpose of compiling routine statistics, e.g. population censuses; production, distribution and consumption statistics; market studies; social and cultural statistics, etc.

Testing, standardization, metrology and quality control; regular routine work relating to the analysis, checking and testing, by recognized methods, of materials, products, devices and processes, together with the setting up and maintenance of standards and standards of measurement.

Regular routine work on the counselling of clients, other sections of an organization or independent users, designed to help them to make use of scientific, technological and management information.

Activities relating to patents and licences.

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Innovation: definition (Oslo Manual 2005)

Aninnovation

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.

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Innovation activities

Innovation activitiesare 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

R&D that is not directly related to the development of a specific innovation.

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WHY measuring innovation?

• The relationship between innovation and economic development is widely acknowledged.

• Innovation policy should be evidence-based.

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The innovation measurement framework

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Thank you!

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UNESCO Institute for StatisticsC.P. 6128 Succursale Centre-ville, Montreal, Quebec, H3C 3J7,Canada.

TP: (1 514) 343-6880Fax: (1 514) 343-6872

s&t statistics & indicators as a tool for policy-making

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