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4.4.3.The criteria for distribution

276.Resources should be allocated to the various fields of science and technology on the basis of the focus of R&D activities, measured in terms of expenditure and field in which R&D personnel actually work, usually at project level. Where appropriate, e.g. in the case of projects with a multidisciplinary character, a breakdown of resources by several fields of science and technology should be made.

4.5.Socio-economic objectives

4.5.1.Use of distribution by socio-economic objectives

277.This section deals with the functional analysis of the primary socioeconomic objectives of intramural R&D as reported retrospectively by the performer. This approach should not be confused with the analysis by socioeconomic objectives of government budget appropriations or outlays for R&D (GBAORD), which is treated in Chapter 8. (Chapter 8 deals with the objectives of total intended government R&D expenditure – intramural and extramural – as reported by the funder, often on the basis of budget data.)

278.Performer-based reporting of the socio-economic objectives of R&D is most easily applied in the government and private non-profit sectors (or in a general “institutes” survey), although individual countries have applied it in the higher education sector and even in the business enterprise sector. It should be applied to total intramural expenditures in all fields of science.

279.Over half of OECD countries make a detailed breakdown of R&D expenditures by socio-economic objective in one or more sectors, and some also use this distribution for R&D personnel data. Others, however, have not attempted this approach.

4.5.2. Minimum recommended breakdown

280. Although a general recommendation on the utility of detailed analysis by socio-economic objective cannot be made, it is suggested that member countries make efforts to collect performer-reported data in all sectors for two priority objectives:

–Defence.

–Control and care of the environment.

Defence R&D

281. Defence includes all R&D programmes undertaken primarily for defence reasons, regardless of their content or whether they have secondary civil applications. Thus, the criterion is not the nature of the product or subject (or who funds the programme) but the objective. The objective of

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defence R&D is the creation or enhancement of techniques or equipment for use by national, overseas or multinational armed forces. For example, defence R&D includes nuclear and space R&D undertaken for defence purposes. It does not, however, include civil R&D financed by ministries of defence, for instance on meteorology or telecommunications. It also includes enterprise-financed R&D for which the main applications are in the defence area.

282.At first sight, the definition of defence R&D according to objective appears relatively straightforward. However, exactly the same R&D programme could have either a civil or a defence objective. An example is the Canadian research on cold-weather clothing intended for military use; because of its potential for civil applications, this programme could have been, or could become, civil.

283.Where there is pressure to “spin off” defence R&D to civil uses, or vice versa, the blurring of the objective may become significant. In such cases, only the entity funding the R&D may be able to define its objective and thus its classification as either defence or civil R&D (see also Chapter 8, paragraphs 21-22).

284.The financing of defence R&D is increasingly internationalised and privatised, and all sources of funds should be included. For countries with major defence R&D efforts, a breakdown by source of funds can be informative.

Control and care of the environment

285. In recent years, policy makers’ attention has focused on all aspects of environmental activity, and environmentally related R&D is no exception.

4.5.3. The distribution list

286. The distribution list based on NABS (see Chapter 8, Sections 8.7.3 and 8.7.4) is the same as that suggested for government R&D funding (except for research financed from general university funds which is not appropriate for performer-based surveys, see paragraph 288 below).

1.Exploration and exploitation of the Earth.

2.Infrastructure and general planning of land use.

3.Control and care of the environment.

4.Protection and improvement of human health.

5.Production, distribution and rational utilisation of energy.

6.Agricultural production and technology.

7.Industrial production and technology.

8.Social structures and relationships.

9.Exploration and exploitation of space.

10.Non-oriented research.

11.Other civil research.

12.Defence.

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4.5.4. The criteria for distribution

287.R&D should be distributed according to the project’s primary objective. As in the case of product field analysis, there are two approaches to distribution. One may look at the project content itself (similar to the “nature of product” approach) or at the end or purpose which the project is intended to serve (similar to the “use of product” approach). The latter approach may be the most appropriate for performer-based analysis by socio-economic objective.

288.When this type of analysis is attempted in the higher education sector, general university funds (GUF) (see Chapter 6, Section 6.3.3) should be distributed among objectives and not grouped under “Non-oriented research” (former “Advancement of research”).

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ISBN 92-64-19903-9

Frascati Manual 2002

Proposed Standard Practice for Surveys on Research and Experimental Development

© OECD 2002

Chapter 5

Measurement of R&D Personnel

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