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EUROSTAT METHODOLOGIES AND PRACTICE - R&D INDICATORS FOR MONITORING THE CREATION OF EUROPEAN RESEARCH AREA Reni Petkova - EUROSTAT 2-3 October 2008 Belgrade

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Page 1: Reni Petkova -  EUROSTAT

EUROSTAT METHODOLOGIES AND PRACTICE - R&D INDICATORS FOR

MONITORING THE CREATION OF EUROPEAN RESEARCH AREA

Reni Petkova - EUROSTAT

2-3 October 2008 Belgrade

Page 2: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

INTRODUCTION

EU LEGAL BASE ON R&D STATISTICS

INDICATORS FOR MEASURЕMENT OF R&D ACTIVITY AT EU LEVEL

STANDARDISED APPROACH FOR R&D AND GBAORD DATA COLLECTION

CLASSIFICATION SYSTEM FOR R&D AND GBAORD DATA PRODUCTION

OUTCOMES FROM THE LATEST R&D NATIONAL SURVEYS

Page 3: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

INTRODUCTION

Making ERA a reality means:

Realising a single labour market for researchers, with high levels of mobility between institutions, disciplines, sectors and countries

Developing world-class research infrastructures, integrated networked and accessible to research teams from across Europe and the world through

the development of new generations of electronic communication infrastructures

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2-3 October 2008 Belgrade

Making ERA a reality means:

Strengthening research institutions, engaged in effective public-private cooperation and partnership, forming the core of research and innovation ‘clusters’

Effective knowledge-sharing: open and easy access to the public knowledge base; knowledge transfer and cooperation between public research and industry

Page 5: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Making ERA a reality means:

Optimising research programmes and priorities, including the joint programming, implementation and evaluation of public research investments at EU level on issues that go beyond the capacities

of individual countries

A wide opening of ERA to the world, with special emphasis on neighbouring countries of the EU and a strong commitment to addressing global challenges with Europe’s partners

Page 6: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Establishment and development of a harmonised Community statistics on Research and Development (R&D) is very important as a evidence base for the development of the European Research Area and in order to enable measuring the progress achieved towards its realisation

Page 7: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Reliable and internationally comparable data of good quality on Research and Development for the Candidate Countries and potential Candidate Countries is needed for:

EU accession negotiations Full integration in Community research policy Evaluation of their progress and position, in respect of R&D efforts, among the other EU and non-EU countries

Page 8: Reni Petkova -  EUROSTAT

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LEGAL BASE FOR ESTABLISHMENT AND DEVELOPMENT OF HARMONSED R&D STATISTICS AT EU LEVEL

Framework legal act: Decision № 1608/2003/EC of the EP and of the Council concerning the production and development of Community statistics on science and technology

Legal implementation measure: Commission Regulation № 753/2004 implementing Decision № 1608/2003/EC of the EP and of the Council as regards statistics on science and technology

Page 9: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

TO COME IN LINE WITH EU REGULATIONS REQUIREMENTS IS:

Obligatory for the Member States Precondition for accession the EU of the CC Recommendable for the potential CC

REQUIREMENTS OF CR № 753/2004 ON R&D AND GBAORD STATISTICS

List of R&D indicators to be compiled, their breakdowns and measurement units (HC, FTE, mio national currency)

Harmonised R&D concepts, definitions and classifications to be implemented – Frascati manual

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2-3 October 2008 Belgrade

Standard classifications to be used (the latest versions of NACE, NUTS, FOS, NABS, ISCED etc.) All classifications are available on Eurostat's Metadata Server RAMONhttp://ec.europa.eu/eurostat/ramon/index.cfm?TargetUrl=DSP_PUB_WELC

Type of R&D indicators: Obligatory Optional

Data sources in MS - sample surveys, administrative data sources or others of equivalent quality, or their mixtures

Page 11: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Frequency of data compilation:

Biannual (on each odd year) - vast majority of indicators

Annual - 3 indicators

Four yearly - gender disaggregation of some indicators

In practice annual data collection carried out by Eurostat in June and in October covers all data sets required, including revisions of the time series

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2-3 October 2008 Belgrade

Deadlines for data transmission to Eurostat:

Preliminary R&D results for the annual indicators: T+10 months

Final (definitive) R&D results: T+18 months

Provisional GBAORD data: T+6 months

Final GBAORD data: T+12 months

Page 13: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Confidential data provision

Standard transmission format for R&D data delivery to Eurostat (xls)

Transmission media - eDAMIS

Quality evaluation of R&D data by MS, Eurostat and OECD

Pilot studies for developing new variables

Page 14: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

INPUT INDICATORS FOR MEASURMENT OF R&D ACTIVITY AT EU LEVEL

Variables collected by Eurostat directly from the countries

INTRAMURAL R&D EXPENDITURE (GERD)

By sector of performance

By source of funds and sector of performance

By civil / military - optional

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2-3 October 2008 Belgrade

By type of activity and sector of performance - optional

By type of costs and sector of performance

By economic activity, NACE (only BES)

By size class (only BES)

By source of funds and size class (only BES)

By major field of science (HES and GOV) - optional

By socio-economic objective (only GOV) - optional

By region (NUTS 2)

Page 16: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

R&D PERSONNEL

By sector of performance (HC,FTE)

By occupation, sex and sector of performance (alternatively to qualification); (HC)

By qualification, sex and sector of performance (alternatively to occupation); (HC)

By occupation and sector of performance (alternatively to qualification); (FTE)

By qualification and sector of performance (alternatively to occupation); (FTE)

Page 17: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

R&D PERSONNEL

By economic activity (only BES);(HC,FTE)

By major field of science and sex (HES and GOV); (HC);(FTE - optional)

By region (NUTS 2) and sector of performance; (HC,FTE)

By region (NUTS 2), sex and sector of performance (HC) - optional

By economic activity (NACE) and sex (only BES); (HC)

By size class (only BES); (FTE)

Page 18: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

RESEARCHERS

By sector of performance (HC, FTE)

By sex and sector of performance (HC);(FTE - optional)

By qualification, sex and sector of performance; (HC - optional)

By qualification and sector of performance; (FTE - optional)

By economic activity and sex (only BES);(HC)

By economic activity (only BES);(FTE)

Page 19: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

RESEARCHERS

By major field of science and sex (HES and GOV); (HC); (FTE - optional)

By region (NUTS 2) and sector of performance; (HC, FTE)

By region (NUTS 2), sex and sector of performance (HC, FTE - optional)

By age groups and sex (HES and GOV); (HC - optional)

By citizenship and sex (HES and GOV); (HC - optional) By size class (only BES); (FTE)

Page 20: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

GOVERNMENT BUDGET APPROPRIATIONS OR OUTLAYS ON R&D (GBAORD)

GBAORD in the provisional budget by socio-economic objectives at NABS chapter level

GBAORD in the final budget by socio- economic objectives at NABS chapter level (sub-chapter level - optional)

Page 21: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

STANDARDISED APPROACH FOR R&D AND GBAORD DATA COLLECTION

Joint OECD/Eurostat harmonised R & D questionnaire - reduction of burden

Comprises 3 modules: Common Core OECD/Eurostat module ESTAT supplementary module OECD supplementary module

Goes beyond the requirements of EU legal base: includes all variables defined in CR № 753/2004 (obligatory and optional) plus some additional highly required variables (voluntary)

Page 22: Reni Petkova -  EUROSTAT

Data validation rules in place within the R&D questionnaire

REQUESTED BY BOTH OECD (if MSTI, bold) and ESTAT (COMMISSION REGULATION No 753/2004)

REQUESTED BY OECD (if MSTI bold)

REQUESTED FOR COMMISSION REGULATION No 753/2004

Colour Error Codes

Invalid Data

Invalid Note

Unequal Sub-Total within the sector

Unequal Total across sectors

2-3 October 2008 Belgrade

Page 23: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

OECD/Eurostat harmonised R&D questionnaire

Contains around 50 Tables in two Excel workbooks

Received electronically via eDAMIS from 33 countries: 27 MS; 2 CC and 4 Others (CH, IS, NO, RU)

Annually three rounds of transmission by the countries to Eurostat:

In June: final R&D and provisional GBAORD data In October: preliminary R&D yearly data In December: final GBAORD data

Page 24: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Derived R&D variables (ratio indicators) produced by Eurostat - for international comparisons neutralizing the economic importance of the countries (size differences) 

R&D expenditure and GBAORD as а percentage of GDP (at national and regional level)

R&D INTENSITY IN 2006

For EU-27: 1.84 % - still below the Lisbon target In two MS: > 3 % - SE (3.37%) FI (3.45%) In four MS: (2 % - 3%) - DE, FR, AT, DK In 40 EU regions at NUTS 2: > 2% In 20 of these EU regions: > 3 %

Page 25: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Derived R&D variables (ratio indicators) produced by Eurostat  

R&D expenditure and GBAORD in Euro per inhabitant

GBAORD as а percentage of total general government expenditure

R&D personnel as а percentage of active population (at national and regional level)

R&D personnel as а percentage of total employment (at national and regional level)

EU aggregates calculated by Eurostat for EU-27, EU-15, EUA-15

Page 26: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

EVALUATION OF R&D DATA QUALITY

Quality Reports produced by MS cover six quality criteria and cost/burden issue:

Relevance

Accuracy

Timelines and Punctuality

Accessibility and Clarity

Comparability

Coherence

Cost and Burden

Page 27: Reni Petkova -  EUROSTAT

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QUALITY INDICATORS

Data availability rate; Coefficient of variance; Coverage errors; Measurement errors; Processing errors; Non-response (unit, item); Imputation rate; Coherence between Preliminary and final data; Time spent for R&D data compilation (response burden); Cost of R&D statistics

Example for quality indicator on coherence of R&D expenditure data originating from different sources: Difference between GBAORD data and government - financed GERD data

Page 28: Reni Petkova -  EUROSTAT

GBAORD as a % of GERD funded by GOV - reference year 2005

2-3 October 2008 Belgrade

Page 29: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

R&D DATA DISSEMINATION AND PUBLICATIONS

Eurostat data base NewCronos

Validated R&D data (including revisions of the time series) are stored into NewCronos under following target timetable:

Provisional GBAORD data: T+10 months Preliminary R&D data: T+11 months Final GBAORD data: T+15 months Final R&D data: T+21 months

Data availability for 37 countries since 1980: (33 countries based on direct data collection + other sources used for CA, JP, USA, CN)

Page 30: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

EUROSTAT PUBLICATIONS

News release

Statistics in Focus

Pocket books

Statistical books 

All R&D data and publications can be downloaded in electronic from without charges, through the Eurostat homepage http://epp.eurostat.ec.europa.eu

Page 31: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

DEVELOPMENT OF NEW R&D INDICATORS 

Better measurement of R&D internationalization

Further breakdown of ‘GERD funded from abroad’ into: Foreign business enterprise (EU/non-EU) Other national governments (EU/non-EU) Private non-profit organisations Higher education European Commission International organisations Others This breakdown is aiming at better measurement of public/private R&D source of funds and monitoring the Barcelona target 2/3 of R&D to be financed by private sources

Page 32: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

DEVELOPMENT OF NEW R&D INDICATORS 

Better measurement of R&D internationalization

Inward FATS R&D expenditure and R&D personnel EU funds for R&D International joint research programs Inter-government research schemes

These new indicators are needed for measurement of: the inflow of money from EU funds devoted to R&D, international co-operation on research and R&D activity performed by European research organizations

Page 33: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

STANDARD CLASSIFICATION SUSTEM FOR R&D AND GBAORD DATA PRODUCTION  INSTITUTIONAL CLASSIFICATION

Four sectors of performance: Business enterprise sector (BES) Government sector (GOV) Higher education sector (HES) Private non-profit sector (PNP)

Page 34: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

Five source of funds: Business enterprise sector (BES) Government sector (GOV) Higher education sector (HES) Private non-profit sector (PNP) Abroad

NACE rev.1.1 General Industrial Classification of Economic Activities within the EU

NACE rev. 2 - for reference year 2009 

NUTS 2006 Nomenclature of Territorial Units for Statistics

Page 35: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

TYPE OF ACTIVITY Basic research Applied research Experimental development  FIELDS OF SCIENCE (2007) Natural sciences Engineering and technology Medical sciences Agricultural sciences Social sciences Humanities

Page 36: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

TYPE OF COSTS Current costs Labour costs Other current costs Capital expenditure Land and buildings Instruments and equipment 

OCCUPATIONS - linked to ISCO Researchers Technicians Other supporting staff

Page 37: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

FORMAL LEVEL OF EDUCATION (based on ISCED)

PhD holders (ISCED 6) Other University degrees and other tertiary diplomas (ISCED 5A and 5B) Other qualifications (ISCED 4 and below) 

SOCIO-ECONOMIC OBJECTIVES (2007) 01 Exploration and exploitation of the earth 02 Environment 03 Exploration and exploitation of space 04 Transport, telecommunication and other infrastructures

Page 38: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

SOCIO-ECONOMIC OBJECTIVES 2007 05 Energy 06 Industrial production and technology 07 Health 08 Agriculture 09 Education 10 Culture, recreation, religion and mass media 11 Political and social systems, structures and processes 12 General advancement of knowledge: R&D financed from General University Funds (GUF) 13 General advancement of knowledge: R&D financed from other sources 14 Defence

Page 39: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

OTHER BREAKDOWNS 

AGE CLASSES (in years): Up to 25 25 to 34 35 to 44 45 to 54 55 to 64 65 and more 

SIZE CLASSES (in employees) 0 employees; 1 to 9; 10 to 49; 50 to 249; 250 to 499; 500 and more

Page 40: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

CITIZENSHIP

National citizenship Citizenship of other EU Member States Citizenship of other European countries Citizenship of North America Citizenship of central and south America Citizenship of Asia Citizenship of Africa Other citizenship

Page 41: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

OUTCOMES FROM THE LATEST R&D NATIONAL SURVEYS IN 12 NEW MS AND WBC 

DATA SOURCES: 

Eurostat database: BG; CZ; EE; CY; LV; LI; HU; MT; PL; RO; SI; SK; HR Reference year: 2006

UNESCO database: FYROM; CS* Reference year: 2005 

* Data exclude Montenegro and Kosovo/UNSCR 1244. Serbia and Montenegro data were gathered through UIS surveys conducted during or before 2006, at which time Serbia and Montenegro was a single Member State of UNESCO are presented as such in all graphics.

Page 42: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

1.84

0.48

1.54

1.14

0.42

0.700.80

1.00

0.54 0.560.45

1.59

0.49

0.87

0.25

1.41

0.00

0.20

0.40

0.60

0.80

1.00

1.20

1.40

1.60

1.80

2.00

%

EU-27  BG CZ EE CY LV LI HU MT PL RO SI SK HRFYROM CS

R&D EXPENDITURE AS A PERCENTAGE OF GDP, EU-27 AND SELECTED COUNTRIES

2006 2005

Page 43: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

0%

20%

40%

60%

80%

100%

%

EU-27  BG CZ EE CY LV LI HU MT PL RO SI SK HR FYROM CS

R&D EXPENDITURE BY SECTOR OF PERFORMANCE AS A PERCENTAGE OF TOTAL, EU-27 AND SELECTED COUNTRIES

BES GOV HES PNP

2006 2005

Page 44: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

0%

20%

40%

60%

80%

100%

BG CZ EE LV LI HU MT PL RO SI SK CY EU-27  HR

R&D EXPENDITURE BY SOURCE OF FUNDS AS A PERCENTAGEOF TOTAL, EU-27 AND SELECTED COUNTRIES

BES GOV HES PNP ABROAD

2006 2005

Page 45: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

32.4230.8

143.568.574.7

85.0118.8

87.656.5

28.9265

5581.2 1399.1

0 100 200 300 400 500 600

BG

CZ

EE

CY

LV

LI

HU

MT

PL

RO

SI

SK

HR

EU-27 

R&D EXPENDITURE PPS95P PER IHABITANT, EU-27 AND SELECTED COUNTRIES

2006

Page 46: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

121.3

18.2

121.0

0 20 40 60 80 100 120 140

HR

FYROM

CS

D&D EXPENDITURE PPP$ PER INHABITANTFOR SELECTED WBC

2006

2005

Page 47: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

0%

20%

40%

60%

80%

100%

EU-27  BG CZ EE LV HU MT PL RO SI SK LI CY HR FYROM CS

DISTRIBUTION OF R&D PERSONNEL (HC) BY SECTOR OF PERFORMANCE, EU-27 AND SELECTED COUNTRIES

BES GOV HES PNP

2006 2005

Page 48: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

0% 20% 40% 60% 80% 100%

EU-27 

BG

CZ

EE

LV

HU

MT

PL

RO

SI

SK

LI

CY

HR

FYROM

CS

R&D PERSONNEL (HC) BY OCCUPATION AS A PERCENTAGE OF TOTAL,EU-27 AND SELECTED COUNTRIES

RESEARCHERS TECHNICIANS+OTHER

2006

2005

Page 49: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

0%

20%

40%

60%

80%

100%

EU-27  BG CZ EE LV HU MT PL RO SI SK LI CY HRFYROMCS

R&D PERSONNEL BY GENDER AS A PERCENTAGE OF TOTAL,EU-27 AND SELECTED COUNTRIES

FEMALE MALE

2006 2005

Page 50: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

69.6

85.9

69

54.460.7

51.5 52.860.6

73 72.665 67.4

46.852.2

45.6

0

10

20

30

40

50

60

70

80

90

%

EU-27  BG CZ EE LV HU MT PL RO SI SK LI CY HR FYROM

RATIO FTE/HC R&D PERSONNEL IN %,EU-27 AND SELECTED COUNTRIES

2006 2005

Page 51: Reni Petkova -  EUROSTAT

2-3 October 2008 Belgrade

1.62

0.82

1.3

1.54

0.74 0.76

0.97

0.47

0.72

0.89

1.26

0.73 0.74

0.0

0.2

0.4

0.6

0.8

1.0

1.2

1.4

1.6

1.8

%

EU-27  BG CZ EE CY LV LI MT PL RO SI SK HU

GBAORD AS A PERCENTAGE OF TOTAL GENERAL GOVERNMENT, EXPENDITURE, EU-27 AND SELECTED COUNTRIES

2006 2005