7 SURVEY METHODOLOGY AND PROCEDURES

7.1.Introduction

428.Information on R&D may be obtained from different sources, such as annual reports of research councils or major R&D-performing institutions. These data can only give an approximate measure of R&D efforts. Not only do the concepts of R&D used often differ from the definitions given in this Manual; they may also change over time. It is also very difficult to obtain all data for the same period and to avoid double counting when tracking flows from financial statements and other sources. For these reasons, statistics on R&D require regular, systematic and harmonised special surveys. However, because of lack of satisfactory records, costs of statistical surveys and the need to restrict statistical demands on respondents, surveys cannot always provide all the information needed.

429.Estimates are a necessary supplement to surveys (respondents must often make estimates in order to provide the requested “survey” information). Using ratios derived from survey data, it is possible to provide adequate aggregate trends or totals from incomplete information without recourse to a costly survey. Indeed, the R&D inputs of the higher education sector are often partially, and in some countries wholly, estimated. When statistics are released, full information on the sources and generation of the statistics should be provided.

430.To improve international comparability, this chapter gives some methodological guidelines for conducting R&D surveys. These are based on identified best practices. As R&D survey methodologies and procedures are well established in many countries, the guidelines are quite general so as to be as widely applicable as possible.

7.2.Scope of R&D surveys

431.In theory, 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, which may also finance R&D performed in other units (this is covered by a question on extramural expenditure). Units which only finance R&D are surveyed to some extent by member countries. Government departments, for example, are surveyed in the context of calculating government budget appropriations or outlays for R&D (GBAORD) by socio-economic objectives. This chapter, however, only addresses performer-based surveys. Statistical methodologies and other procedures have

126	FRASCATI MANUAL 2002 – ISBN 92-64-19903-9 – © OECD 2002