R&D Surveys: Advice from the Frascati Manual National training workshop Amman, Jordan October 2010

Ch 7 FM - R&D Survey Methodology Statistics on R&D require regular, systematic and harmonised special surveys Other sources provide info, 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

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

Identifying target population and survey respondents - general 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

Identifying target population and survey respondents - business enterprise sector The enterprise is recommended as the main statistical unit in the business enterprise sector Some enterprises perform R&D on a regular basis from year to year, and may have one or several R&D units Other enterprises perform R&D only occasionally It is recommended that all enterprises performing R&D, either continuously or occasionally, should be included in R&D surveys.

Survey population business enterprise sector – first possible approach 1.A census-based survey of large enterprises and a sample of smaller ones in order to identify R&D performers and request the information from them R&D performed in the past in the enterprise is not considered this is the approach followed in innovation surveys very small enterprises and enterprises in certain less R&D-intensive industries often excluded for cost reasons when the sample size is very small, estimates may be less reliable, owing to raising factors Method not strictly followed in any country

Survey population business enterprise sector – second possible approach 2.Try to survey all enterprises known or assumed to perform R&D, based on a register of R&D- performing enterprises lists of enterprises receiving government grants and contracts for R&D lists of enterprises reporting R&D activities in previous R&D surveys, in innovation surveys or other enterprise surveys directories of R&D laboratories members of industrial research associations employers of very highly qualified personnel lists of enterprises claiming tax deductions for R&D.

Survey population business enterprise sector – joint approach Recommendation To include in R&D surveys of the business enterprise sector all firms known or supposed to perform R&D. To identify R&D performers not known or supposed to perform R&D by a census/sample of all other firms: In the industries on the next slide. In principle, enterprises in all size classes should be included, but if a cut-off point is necessary, it should be at ten employees.

Industries to be included IndustryISIC Rev. 3/NACE Rev. 1 Mining14 Manufacturing15-37 Utilities, construction40,41,45 Wholesale50 Transport, storage and communication60-64 Financial intermediation65-67 Computer and related activities72 R&D services73 Architectural, engineering and other technical activities 742 Plus any other industry relevant for the country

Identifying target population and survey respondents - government sector Units to include in surveys are: R&D institutes. R&D activities of general administrations of central or state government, statistical, meteorological, geological and other public services, museums, hospitals. R&D activities at the municipality level. Recommendation: the best way to survey is to send questionnaires to all units known or assumed to perform R&D.

Identifying target population and survey respondents - PNP sector The sources for identifying possible survey respondents are mainly the same as for the government sector. Register information may be less comprehensive and could be completed by information from researchers or research administrations. This sector may be more relevant for surveys on R&D funding.

Identifying target population and survey respondents – higher education sector Recommendation: The surveys and estimation procedures should cover all universities and corresponding institutions, especially those awarding degrees at the doctorate level. Other institutions in the sector known or assumed to perform R&D should also be included. Identification generally easy. preferable to use smaller units, such as departments or institutes of the university, as statistical units.

Working with respondents Questionnaire: simple and short, logical and with clear definitions and instructions Optional: simpler survey for smaller units Test questionnaires on a sample of respondents

Who is the right respondent? R&D Manager Better understanding of R&D and FM norms But may not be able to supply exact figures Accountant or personnel manager May not refer exactly to R&D as defined in FM But able to supply exact figures Cooperation of all three may be needed Useful to identify in advance the person responsible for providing information and for co-ordinating information from smaller sub-units

Encouraging co-operation Secure co-operation of respondent Make them appreciate the potential uses of the data Respect confidential data Minimise the response burden Share the results (option: customised information) Provide technical assistance and contact details

Estimations R&D measurement could be done in three stages: Identification of all specialised R&D units and measurement of their total activity. Estimates of the non-R&D portions of their activity and subtraction of these estimates from the total. Estimates of the inputs used for R&D in other units and addition of these estimates to the total.

Operational criteria Tools for translating theoretical FM concepts into practical questionnaire: Explanatory notes Hypothetical examples Guidance to individual respondents Documentation on treatment of different cases Covered in FM To be covered by data collection agency keeping good documentation is essential

Estimation procedures Imputation methods for item non-response Use previous answer Hot decking (use info from same survey) Cold decking (use info from previous survey) Imputation methods for unit non-response Use past R&D data (adjusted for sales or employment growth) Impute as a function of the relation to personnel or sales (test with non-response analysis)

Thank you!