Science and Technology Statistical Compendium 2004: Meeting of the OECD Committee for Scientific and Technological Policy at Ministerial Level 29-30 January 2004

50 Pages·2004·1.705 MB·English

by  OECD

«
MEETING OF THE OECD COMMITTEE FOR SCIENTIFIC
AND TECHNOLOGICAL POLICY AT MINISTERIAL LEVEL
29-30 JANUARY 2004
Science
and Technology
Statistical
Compendium
2004
www.oecd.org/cstp2004min -
ORGANISATION FOR ECONOMIC CO OPERATION AND DEVELOPMENT
Science and Technology
Statistical Compendium 2004
MEETING OF THE OECD COMMITTEE
FOR SCIENTIFIC AND TECHNOLOGICAL POLICY
AT MINISTERIAL LEVEL
29-30 JANUARY 2004
ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT
ORGANISATION FOR ECONOMIC CO-OPERATION
AND DEVELOPMENT
Pursuant to Article 1 of the Convention signed in Paris on 14th December 1960, and which came into
force on 30th September 1961, the Organisation for Economic Co-operation and Development (OECD)
shall promote policies designed:
– to achieve the highest sustainable economic growth and employment and a rising standard of
living in member countries, while maintaining financial stability, and thus to contribute to the
development of the world economy;
– to contribute to sound economic expansion in member as well as non-member countries in the
process of economic development; and
– to contribute to the expansion of world trade on a multilateral, non-discriminatory basis in
accordance with international obligations.
The original member countries of the OECD are Austria, Belgium, Canada, Denmark, France,
Germany, Greece, Iceland, Ireland, Italy, Luxembourg, the Netherlands, Norway, Portugal, Spain,
Sweden, Switzerland, Turkey, the United Kingdom and the United States. The following countries
became members subsequently through accession at the dates indicated hereafter: Japan
(28thApril1964), Finland (28th January 1969), Australia (7th June 1971), New Zealand (29th May 1973),
Mexico (18th May 1994), the Czech Republic (21st December 1995), Hungary (7th May 1996), Poland
(22ndNovember 1996), Korea (12th December 1996) and the Slovak Republic (14th December 2000). The
Commission of the European Communities takes part in the work of the OECD (Article 13 of the OECD
Convention).
Publié en français sous le titre :
Compendium statistique 2004 de la science et de la technologie
RÉUNION DU COMITÉ DE LA POLITIQUE SCIENTIFIQUE ET TECHNOLOGIQUE
DE L’OCDE AU NIVEAU MINISTÉRIEL
29-30 JANVIER 2004
© OECD 2004
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FOREWORD
This document has been prepared for the2004 meeting of the Committee for Scientific and
Technological Policy (CSTP) at Ministerial level and mainly draws on databases, indicators and
methodology developed by the CSTP’s Working Party of National Experts on Science and Technology
Indicators (NESTI), and compiled by the Directorate for Science, Technology and Industry (DSTI). It
presents a wide selection of the most policy-relevant and internationally comparable indicators
currently available in the field of science and technology.
The S&T Statistical Compendium2004 looks at the state of science and technology in the OECD across
four broad dimensions:
(cid:127) SectionA: Innovation and R&D.
(cid:127) SectionB: Human Resources in Science and Technology (HRST).
(cid:127) SectionC: Patents.
(cid:127) SectionD: Other areas (ICT, globalisation, industrial structure).
Many of these indicators are drawn from or are updates to the Science, Technology and Industry
Scoreboard2003 (www.oecd.org/sti/scoreboard) which also includes more detailed methodological explanations
and notes. Member country rankings should be interpreted with caution when absolute differences are
small since data are subject to ongoing revisions.
In addition to well-established S&T data, this report presents a wide range of recently developed
indicators in the areas of patents and human resources in science and technology (including data drawn
from the work of the Education Directorate). Patent indicators are mainly drawn from the work
conducted within the framework of the OECD Patent Project (www.oecd.org/sti/ipr-statistics). The HRST
indicators include, among others, labour force participation of university graduates, growth of scientific
and technical occupations and international mobility of students and scientists and engineers.
This compendium includes a number of experimental indicators in areas such as biotechnology,
nanotechnology and the international mobility of human resources for S&T. While these indicators do
not benefit from the decades of experience that other S&T indicators enjoy, such as R&D, they are
included to give policy makers some indication of trends in areas high on the policy agenda as well as
current developmental work being undertaken by NESTI. These indicators should be used with an
appreciation of their limitations given their early stage of development.
3
© OECD 2004
TABLE OF CONTENTS
A. Innovation and R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
A.1. Investment in knowledge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
A.2. Trends in domestic R&D expenditure. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
A.3. R&D financing and performance. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
A.4. R&D expenditure by type and growth by source of financing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
A.5. Business R&D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
A.6. R&D performed by the higher education and government sectors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
A.7. Government R&D budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
A.8. Tax treatment of R&D. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
A.9. R&D in non-OECD economies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
A.10. Industry-science relations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
A.11. Venture capital . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
A.12. Biotechnology. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
A.13. Nanotechnology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
B. Human Resources in Science and Technology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
B.1. Tertiary education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
B.2. Flows of university graduates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
B.3. Foreign PhD students . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
B.4. Science and engineering doctorates awarded to foreign citizens in the United States. . . . . . . . . . . . . 25
B.5. Labour force participation of university graduates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
B.6. Employment of tertiary-level graduates. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
B.7. Scientific and technical occupations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
B.8. International mobility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
B.9. R&D personnel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
B.10. Researchers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
B.11. Foreign scholars in the United States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
B.12. Researchers in non-OECD economies. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
C. Patents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
C.1. Trends in patent applications. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
C.2. Evolution of patent filings to the EPO and the USPTO . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
C.3. Triadic patent families. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
C.4. EPO patent applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
C.5. Patent intensity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
C.6. ICT patents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41
C.7. Cross-border ownership of inventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
C.8. International co-operation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
D. Other Areas. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
D.1. Internationalisation of manufacturing R&D. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
D.2. Access to the Internet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
D.3. Technology- and knowledge-intensive industries. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
D.4. High-tech trade. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
Annex. Main OECD Databases Used . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51 5
© OECD 2004
A. INNOVATION AND R&D
In the OECD area, investment in knowledge –the sum of investment in R&D, software and higher
education– amounted to about 4.8% of GDP in2000. In the United States, this figure reached almost 7%
of GDP, well above the share for Japan (4.7%) or the European Union (4.0%). At the OECD level, R&D
accounted for almost one-half of total investment in knowledge.
In2001, OECD countries allocated about USD 638billion (current purchasing power parity) to R&D,
or 2.3% of GDP. The United States accounted for approximately 43% of the OECD total, the European
Union for 29% and Japan for 16%. R&D expenditure in the OECD area rose annually by 4.5% in real terms
over1995-2001. During that period, R&D expenditure rose faster in the United States (5.0% a year) than
in the European Union (3.8%) and Japan (2.9%). In2001, the R&D intensity of the European Union
reached 1.9% of GDP, its highest level since1990, but still well below the Lisbon target of 3% in2010.
In2001, Sweden, Finland, Iceland and Japan were the only OECD countries in which the R&D to GDP
ratio exceeded 3%. In2002, the R&D intensity of the United States remained stable at 2.7% of GDP.
Most of the rise in R&D expenditure is due to higher business investment. The business sector is
the major source of financing of domestic R&D accounting for almost two-thirds of funding in OECD
countries in2001. R&D expenditure by the higher education sector increased in the first half of
the1990s and then stabilised. R&D by the government sector has declined in recent years, partly owing
to the reduction in defence R&D and the transfer of some public agencies to the private sector.
Government R&D budgets have grown substantially in most OECD countries, by 5% or more
annually during1995-2003in more than one-third of these countries. Defence-related R&D usually
accounts for a small share of such budgets (less than 10%), the exceptions being France, the United
Kingdom and Spain (between 25and 40%) and the United States (more than 50%).
R&D expenditure in the major non-OECD economies is currently more than one-fifth that of the
OECD area. In2002, Israel allocated 4.7% of GDP to R&D (excluding R&D for defence), a higher ratio than
the leading OECD country, Sweden. R&D expenditure in China grew rapidly over the past decade and
in 2002 reached USD 72 billion. This is behind the United States (USD 277 billion) and Japan
(USD104billion in2001), but ahead of Germany (USD 55billion) which has the third highest level in the
OECD area. India spent about USD 20billion on R&D in2000-2001, which puts it among the top ten
countries worldwide. When compared with OECD countries, Brazil, the Russian Federation and Chinese
Taipei rank below the G7and Korea in terms of R&D expenditure, but ahead of all others.
The importance of industry-science relations is growing as measured by the increasing share of
business-funded R&D in the higher education and government sectors, but also by the number of
“science linkages”, as measured by scientific article citations in patents.
Certain new technologies account for a growing part of R&D spending. Nanotechnology, for
example, is among the most rapidly growing targets of R&D funding, but it still accounts for only a small
share of total R&D. Between1997 and2000, government R&D funding for nanotechnology trebled to
USD293million in the United States, and doubled to USD 210million in the European Union and to
USD190million in Japan.
7
© OECD 2004
Science and Technology Statistical Compendium 2004
A.1. Investment in knowledge
Investment in knowledge Source of change in investment in knowledge
As a percentage of GDP, 2000 or latest available year As a percentage of GDP, 1995-2000 or closest available years
R&D Software R&D Software
Higher education Higher education
Sweden Finland
United States
Sweden
Finland
Denmark
Korea
Canada United States
Switzerland Germany
Denmark Austria
OECD
Korea
Germany
Netherlands Netherlands
Japan Switzerland
France Hungary
Belgium Czech Republic
United Kingdom
Japan
Australia
EU France
Austria Canada
Norway Portugal
Czech Republic
United Kingdom
Ireland
Spain
Hungary
Spain Greece
Slovak Republic Ireland
Italy Italy
Portugal
Mexico
Poland
Australia
Mexico
Greece Norway
8 6 4 2 0 -0.5 0.0 0.5 1.0 1.5 2.0
% %
Source: OECD, Annual National Accounts of OECD countries, OECD Economic Outlook, MSTI database, Education database; and International
Data Corporation, June2003.
(cid:127) Investment in knowledge is defined as the sum of R&D expenditure, expenditure for higher
education (public and private) and investment in software. In2000 investment in knowledge
amounted to 4.8% of GDP in the OECD area and would be around 10% if expenditure for all levels of
education were included in the definition.
(cid:127) The ratio of investment in knowledge to GDP is 2.8percentage points higher in the United States
than in the European Union. In Sweden (7.2%), the United States (6.8%) and Finland (6.2%)
investment in knowledge exceeds 6% of GDP. In contrast, it is less than 2.5% of GDP in southern and
central European countries and in Mexico.
(cid:127) Most OECD countries are increasing investment in their knowledge base. During the second half of
the1990s, it increased by more than one percentage point (as a share of GDP) in Denmark, the
United States and Germany, and more than 1.5% in Finland and Sweden.
(cid:127) For most countries, increases in software expenditure were the major source of growing investment in
knowledge during the second half of the1990s. Among those countries with relatively high growth,
notable exceptions are Finland (where R&D was the main source of increase) and Korea (expenditure
for higher education being the largest component). For countries which experienced a relatively low
8 growth, this was mainly due to declining expenditure on higher education.
© OECD 2004
Innovation and R&D
A.2. Trends in domestic R&D expenditure
R&D intensity Trends in R&D intensity by area
R&D expenditure as a percentage of GDP, 2002 or latest available year As a percentage of GDP, 1981-2001
%
Sweden 3.5
Finland
Iceland
Japan
Japan 3.0
Korea
United States
Switzerland 2.5 United States
Germany
Denmark OECD
OECD 2.0
France EU
Belgium
Austria 1.5
EU 1981 83 85 87 89 91 93 95 97 99 2001
Netherlands
United Kingdom
Canada Gross domestic expenditure on R&D by area
Norway Billions of 1995 PPP dollars
Australia
600
Czech Republic
New Zealand OECD
Ireland
Italy
400
Hungary
Spain
Portugal United States
Poland
200
Greece EU
Turkey
Slovak Republic
Japan
Mexico
0
5 4 3 2 1 0 1981 83 85 87 89 91 93 95 97 99 2001
%
Source: OECD, MSTI database, November2003.
(cid:127) In2001, OECD countries allocated about USD 638billion (current PPP) to R&D, or about 2.3% of
overall GDP.
(cid:127) OECD-area R&D expenditure has continued to increase steadily in recent years, rising by 4.5%
annually in real terms between1995 and2001. In2001, R&D expenditure in the United States
accounted for approximately 43% of the OECD total, close to the combined share of the EU (29%) and
Japan (16%).
(cid:127) In the three main OECD regions, R&D expenditure relative to GDP (R&D intensity) has continued to
increase steadily over the past three years, although the persistent gap between the United States
and Japan on the one hand, and the European Union on the other, remains an important policy
concern.
(cid:127) In2001-2002, Sweden, Finland, Iceland and Japan were the only four OECD countries in which R&D
intensity exceeded 3%.
9
© OECD 2004
Science and Technology Statistical Compendium 2004
A.3. R&D financing and performance
R&D expenditures by source of financing R&D expenditures by performing sector
Percentage shares in national total, 2002 or latest available year Percentage shares in national total, 2002 or latest available year
Business enterprises Government Business enterprises Government
Other Not available Higher education Private non-profit
(other national sources + abroad) Not available
Japan Sweden
Korea Korea
Sweden Switzerland
Finland Japan
Switzerland Belgium
Ireland Finland
Germany United States
United States Germany
Belgium OECD
OECD Denmark
Denmark Ireland
EU United Kingdom
France EU
Czech Republic Slovak Republic
Slovak Republic Austria
Netherlands France
Norway Czech Republic
Spain Norway
Australia Netherlands
United Kingdom Iceland
Iceland Canada
Italy Spain
Turkey Italy
Austria Australia
Canada New Zealand
New Zealand Poland
Portugal Hungary
Poland Portugal
Hungary Turkey
Greece Greece
Mexico Mexico
100 80 60 40 20 0 0 20 40 60 80 100
% %
Source: OECD, MSTI database, November2003.
(cid:127) The business sector is the major source of financing of domestic R&D accounting for more than 63% of
funding in OECD countries in2001. The role of the business sector in funding R&D differs sharply
across the three main OECD regions. The business sector funds 73% of R&D in Japan and 64% in the
United States, but only 56% in the European Union. During the second half of the1990s, the share of
business funding of R&D increased significantly in the United States, moderately in Japan and only
slightly in the European Union.
(cid:127) Government funding of R&D retreated in all countries except the Czech Republic, Korea, Poland and
the Slovak Republic. However, government is still the major source of R&D funding in a third of OECD
countries.
(cid:127) Foreign funding of R&D has increased in recent years. Canada, the United Kingdom, Iceland and Austria
receive more than 15% of their R&D funding from abroad and Greece receives almost one-quarter.
(cid:127) The business sector also performs most R&D. Its contribution to the overall R&D effort has increased
since the mid-1990s and, according to the latest available data, accounts for about 70% of total R&D
expenditure.
(cid:127) The higher education and government sectors perform 31% of all R&D in the OECD area. Their
10 combined share is more than 60% in Mexico, Greece, New Zealand, Turkey and Poland.
© OECD 2004
Innovation and R&D
A.4. R&D expenditure by type and growth by source of financing
Breakdown of R&D expenditure by type of research Breakdown of GERD growth by source of financing
As a percentage of GDP, 2001 or latest available year Average annual growth rate in percentage,
1995-2001 or closest available years
Basic research Applied research
Experimental development Business enterprise Government
Non-specified Other national Abroad
Iceland Iceland
Turkey
Japan Mexico
Korea Greece
Finland
United States
Portugal
Switzerland Hungary
Korea
France
Sweden
Denmark Denmark
Spain
Netherlands
Ireland
Austria Belgium
Austria
Australia
Czech Republic
Norway Canada
United States
Czech Republic
Norway
Italy New Zealand
Poland
Hungary
Germany
Spain France
Japan
Portugal
United Kingdom
Slovak Republic Australia
Netherlands
Poland
Switzerland
Mexico Slovak Republic
3.5 3.0 2.5 2.0 1.5 1.0 0.5 0 -10 -5 0 5 10 15 20
% %
Source: OECD, R&D database, November2003.
(cid:127) There is evidence that innovation efforts draw increasingly on basic research, notably in new
areas such as biotechnology and ICT. In OECD countries for which data are available, the ratio of
basic research to GDP varies between 0.1% and 0.7%, or 10-40% of gross domestic expenditure on
R&D (GERD). In the United States, this ratio increased from 0.4% to 0.6% in the second half of
the1990s, mainly owing to increasing efforts by the business enterprise sector. In countries with
high R&D intensity (except Switzerland), basic research usually accounts for one-fifth or less of
total R&D.
(cid:127) In Mexico, Portugal, Poland and Hungary, the ratio of basic research to GDP is low compared with
other OECD countries, but their basic research expenditure relative to total R&D expenditure is
among the highest of all OECD countries. This is due to high shares of the government and higher
education sectors which perform the bulk of basic research in total GERD.
(cid:127) In most OECD countries, the growth of GERD during the second half of the1990s was largely driven
by increasing funding by business enterprise. In countries with lower R&D intensities, government-
funded R&D played an equally important role. In a small number of OECD countries, funds from
abroad were also significant contributors (e.g. Iceland, Austria, Canada, Greece). 11
© OECD 2004