Survey methodology and procedures：General advice from Frascati Manual

WIRE E UNESCO INSTITUTE STATISTICS United Nations ducational. Scientific and Survey methodology and procedures General advice from frascati Manual National Workshop on Science, Technology and Innovation ST) Statistics Abu dhabi, UAE 14 Octo ber 2012 Www.uis. unesco. org

www.uis.unesco.org Survey methodology and procedures: General advice from Frascati Manual National Workshop on Science, Technology and Innovation (STI) Statistics Abu Dhabi, UAE 14 October 2012

INSTITUTE Un.ed Nation stATisTIC Sources of this presentation Chapter 7 of the Frascati Manual -r&D Survey Methodology Section 8 of the annex to the frascati manual ( Measuring r&D in developing countries Strengthening R&D Statistical Systems Chapter 7 of UIS Technical Paper no 5 Measuring R&D in developing countries Strengthening r&D Statistical Systems Www.uis. unesco. org

www.uis.unesco.org Sources of this presentation ▪ Chapter 7 of the Frascati Manual - R&D Survey Methodology ▪ Section 8 of the Annex to the Frascati Manual (Measuring R&D in developing countries) - Strengthening R&D Statistical Systems ▪ Chapter 7 of UIS Technical Paper no. 5 (Measuring R&D in developing countries) - Strengthening R&D Statistical Systems

INSTITUTE STAtisTic Institutionalization of sti statistics Un.ed Nation Political support Infrastructure and sustained staff training/capacity building Involvement of nsos official statistics status for r&d surveys Adequate legal framework Www.uis. unesco. org

www.uis.unesco.org Institutionalization of STI statistics ▪ Political support ▪ Infrastructure and sustained staff training/capacity building ▪ Involvement of NSOs: “Official statistics” status for R&D surveys. ▪ Adequate legal framework

INSTITUTE Un.ed Nation stari User-producer networks Recommendations User-producer networks and other forms of stakeholder consultation should be instituted Establishing national S&T statistics groups Involve multiple actors Coordinating /networking among institutions /databases Partnering with business associations Conducting face-to-face visits by statisticians and project leaders Exploit pre-existing personnel ties Get Nso involved; to deal with privacy of information Training of interviewers/primary data producers Www.uis. unesco. org

www.uis.unesco.org User-producer networks Recommendations: • User-producer networks and other forms of stakeholder consultation should be instituted. • Establishing national S&T statistics groups. • Involve multiple actors. • Coordinating/networking among institutions/databases. • Partnering with business associations. • Conducting face-to-face visits by statisticians and project leaders. • Exploit pre-existing personnel ties. • Get NSO involved; to deal with privacy of information. • Training of interviewers/primary data producers

INSTITUTE STATisTicS General issues Un.ed Nation Statistics on R&D require regular, systematic and harmonised special surveys Other sources provide information but concepts of r&d used often different from FM concepts concepts may change over time very difficult to obtain all data for the same period difficult to avoid double counting when tracking flows from financial statements and other sources Estimates are a necessary supplement to surveys especially in higher education sector Www.uis. unesco. org

www.uis.unesco.org General issues ▪ Statistics on R&D require regular, systematic and harmonised special surveys ▪ Other sources provide information, but: • concepts of R&D used often different from FM concepts • concepts may change over time • very difficult to obtain all data for the same period • difficult to avoid double counting when tracking flows from financial statements and other sources ▪ Estimates are a necessary supplement to surveys • especially in higher education sector

INSTITUTE stAisTIC Scope of R&D surveys Un.ed Nation R&D surveys should identify and measure all financial and personnel resources devoted to all R&d activities in all r&D units R&d surveys are mainly addressed to R&D performing units Chapter 7 of the Fm only addresses performer- based surveys Statistical methodologies and other procedures have to be established to capture all R&D especially for units in the business enterprise sector with little r&D Www.uis. unesco. org

www.uis.unesco.org Scope of R&D surveys ▪ R&D surveys should identify and measure all financial and personnel resources devoted to all R&D activities in all R&D units ▪ R&D surveys are mainly addressed to R&D￾performing units ▪ Chapter 7 of the FM only addresses performer￾based surveys ▪ Statistical methodologies and other procedures have to be established to capture all R&D, especially for units in the business enterprise sector with little R&D

TIE I sNsTisTiTs Identifying target population and survey Un.ed Nation respondents General issues EXhaustive survey not possible in most countries Constraints include number of respondents may have to be restricted to keep costs down R&D survey may have to be taken in conjunction with another survey surveys of some groups may require the participation other agencies with different data needs and hence different questions for respondents One size does not fit all every country has different constraints - advice is therefore of general nature Www.uis. unesco. org

www.uis.unesco.org Identifying target population and survey respondents – General issues ▪ Exhaustive survey not possible in most countries ▪ Constraints include: • number of respondents may have to be restricted to keep costs down • R&D survey may have to be taken in conjunction with another survey • surveys of some groups may require the participation of other agencies with different data needs and hence different questions for respondents ▪ One size does not fit all: every country has different constraints – advice is therefore of general nature

INSTITUTE STATISTIC Establishing registers Un.ed Nation R&D in developing countries tends to be very much the purview of public bodies Recommendations: Establishing a database of public sector R&D projects include human and financial resources; align with national policies design could reflect the r&d statistical reporting/definitions source for evaluation of such projects Establishing Science and Technology management Information System(STMIS provide overview of research system framework for establishing complete registers as sample frames for r&D surveys. Www.uis. unesco. org

www.uis.unesco.org Establishing registers ▪ R&D in developing countries tends to be very much the purview of public bodies Recommendations: ▪ Establishing a database of public sector R&D projects • include human and financial resources; align with national policies. • design could reflect the R&D statistical reporting/definitions. • source for evaluation of such projects. ▪ Establishing Science and Technology Management Information System (STMIS) • provide overview of research system. • framework for establishing complete registers as sample frames for R&D surveys

INSTITUTE Science and Technology Management Un.ed Nation Information System (STMIS)and other secondary sources STMIS(e.g. database of scientists, research grants, Cv databases, etc): frequent source for the production of R&D statistics Recommendations: need close integration between the statistical system and the tmis need adjustments to produce comparable statistics taking into account issues of definitions and coverage need a balanced approach using both tmis and surveys need different approach to Private sector organizations as they are frequently not covered by these systems Www.uis. unesco. org

www.uis.unesco.org Science and Technology Management Information System (STMIS) and other secondary sources ▪ STMIS (e.g. database of scientists, research grants, CV databases, etc): frequent source for the production of R&D statistics. Recommendations: • need close integration between the statistical system and the STMIS. • need adjustments to produce comparable statistics, taking into account issues of definitions and coverage. • need a balanced approach using both STMIS and surveys. • need different approach to Private sector organizations as they are frequently not covered by these systems

INSTITUTE STATISTIC Establishing registers Un.ed Nation Other sources Associations(trade, academic · Learned societies Registers or databases of scientists and engineers Database of research grants Databases of scientific publications Patents and other ip documents Business registers Www.uis. unesco. org

www.uis.unesco.org Establishing registers ▪ Other sources • Associations (trade, academic). • Learned societies. • Registers or databases of scientists and engineers. • Database of research grants. • Databases of scientific publications. • Patents and other IP documents. • Business registers