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

2. 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

3. 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

4. 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.

5. 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

6. 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

7. 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

8. 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.

9. 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.

10. 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.

11. Survey procedure for each sector
Each sector has different management styles, approaches and institutional culture.
Consider the existing norms in relation to data exchange.
First R&D Survey: through interviews rather than relying on telephonic, or postal survey.
Higher cost and labour intensive.
Who is the target of the survey?
Need to consider the sector and the size and complexity of the organizations.

12. Units to include in surveys are:
Government sector: Identifying target population and survey respondents
Units to include in surveys are:
R&D institutes: Public research institutes (PRIs); Department-based research institutions (DBRIs)
R&D activities of general administrations of central or state government.
Public institutions dealing with STS: 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.

13. Government sector cont..
Department-based research institutions (DBRIs)
Director-General or Permanent Secretary
Issues: non-availability of information in compiled form
Public research institutes (PRIs)
Chief Executive Officer or executive responsible for research management

14. Higher education sector: Identifying target population and survey respondents
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.

15. Higher Education sector cont..
Higher Education institutes (HEIs) are the main seat of R&D activity
Different degree of autonomy
Staff employed as civil servant – list of employees is available
Academics directly employed by HEI – staff details are protected
Maturity of HEIs and historic relationships with Government
Researcher CV database
Publications databases (Web of Science™ or Scopus™)
If there is no central registry – approach through Vice Chancellor or Dean of Faculties, Dean of Research or, Head of Departments.

16. Business enterprise sector: Identifying target population and survey respondents
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.

17. Business enterprise sector: Survey population – first possible approach
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

18. Business enterprise sector: Survey population – second possible approach
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.

19. Business enterprise sector: Survey population – 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.

20. Business enterprise sector: Industries to be included
Industry
ISIC Rev. 3/NACE Rev. 1
Mining 14
Manufacturing
15-37
Utilities, construction
40,41,45
Wholesale 50
Transport, storage and communication
60-64
Financial intermediation
65-67
Computer and related activities 72
R&D services 73
Architectural, engineering and other technical activities
742
Plus any other industry relevant for the country

21. Business sector cont…
R&D performed in business sector remains low in many developing and emerging economies.
How to detect R&D activity in Business?
trade associations, or chambers of commerce.
businesses listed on the main stock exchange.
large firms/MNC - discussion with the Chief Financial Officer or Chief Technology Officer.
missing a large firm might result in significant error.
exclude holding companies, construction, retail, and utilities as sub-sectors likely to perform little or no R&D.
list of business beneficiaries of research or innovation grants by NRC.
cooperation with the departments responsible for R&D tax incentives.

22. Business enterprise sector: Structural issues
Publicly-owned businesses play a major role in R&D in some developing countries
Recommendations:
should consider issuing data for ‘publicly-owned businesses’ separately from the ‘fully private enterprise sector’.
private enterprises could also be disaggregated by ownership, in particular the various degrees of foreign ownership.

23. Business enterprise sector: Structural issues cont..
Business enterprise R&D is presumed to be generally weak in developing countries when compared to industrial countries.
Recommendations:
take into account when conducting sample surveys, perhaps by over-sampling, especially amongst larger companies.
big companies should not be missed out as it might imply significant error.
invest time in interviewing key firms to understand their R&D function and obtain a clear picture of their activity.

24. Private non-profit sector: Identifying target population and survey
Private non-profit (PNP) sector: make a significant contribution to R&D in developing countries, but the sector tends to be very volatile
Same challenges as in business – difficulty in identify PNPs engaged in R&D
Not clear about, status; ownership.
Engaged in wide range of activities.
Perform in-house R&D as well as contract R&D.

25. Private non-profit sector cont..
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.

26. 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

27. 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

28. Survey procedure and estimation
Recommendations:
Attention needs to be paid to questionnaire design.
Frequency of survey.
Prioritize area of work; accompanied by step-by-step approach.
Use of survey questionnaires of other countries for inspiration: need adaptations to local situation.
Get expertise from the NSO, in conducting survey, in sampling..
Different questionnaires might be designed for different sectors based on stakeholder consultations. “One size does not fit all”.
Procedures need to be developed for estimating missing data.

29. 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

30. 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.

31. 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

32. 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)

33. Thank you!