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Science and innovation profiles of key OECD and selected countries Nils de Jager Department Science and innovation profiles of key OECD and selected countries Nils de Jager Department of Innovation, Industry, Science and Research Industry and Small Business Policy Division Australasian Meeting of the Econometric Society, Adelaide, 4 -7 July 2011

Science, Technology and Industry Outlook Science, Technology and Industry Outlook

Outline n Graphic representation of a country’s innovation profile (radar chart) n Innovation indicators Outline n Graphic representation of a country’s innovation profile (radar chart) n Innovation indicators and alternative indicators n Definitional issues and data difficulties n Strengths and weaknesses n Profiles of key countries, including Australia n Comparison to previous profile

Science and innovation indicators (1) (alternative indicators) INPUTS – Gross expenditure on R&D (GERD) Science and innovation indicators (1) (alternative indicators) INPUTS – Gross expenditure on R&D (GERD) as % of GDP – Business expenditure on R&D (BERD) as % of GDP – Venture capital as % of GDP – Industry financed GERD as % of GDP GERD/BERD sources: OECD, Main Science and Technology Indicators (MSTI) Database 2010/1; data for Brazil, Chile, Estonia and India have been compiled from national sources. Venture capital: OECD, based on data from Thomson Financial, Pw. C, EVCA, National Venture Capital Associations, and Venture Enterprise Centre. OECD, Entrepreneurship Financing Database, 2009. Australia’s data sourced from the Australian Bureau of Statistics. Its preferred definition of VC includes investment at the pre-seed, startup and early expansion stages of development only.

Input definitions (a) ‘Gross expenditure on R&D (GERD) as a percentage of GDP’ is Input definitions (a) ‘Gross expenditure on R&D (GERD) as a percentage of GDP’ is the main aggregate used for international comparison of R&D expenditures. It represents a country’s domestic R&D-related expenditure for a given year ‘Business enterprise expenditure on R&D (BERD) as a percentage of GDP’ is an indicator of R&D activities carried out in the business sector by performing firms and institutes, regardless of the origin of funding. Industrial R&D is most closely linked to the creation of new products and production techniques, as well as to a country’s innovation efforts. ‘Venture capital as a percentage of GDP’ is a measure of one important source of funding for new technology-based firms. Venture capital plays a crucial role in promoting the radical innovations often developed by such firms and is one of the decisive determinants of entrepreneurship. Alternative: Industry financed GERD as % of GDP

Input definitions (b) The OECD defines venture capital (VC) as the sum of “seed/start-up Input definitions (b) The OECD defines venture capital (VC) as the sum of “seed/start-up stages” and “early development and expansion stages”. The coverage of VC stages within these two broad groups differs across countries and the data may therefore not be fully comparable. For example, “early development and expansion stages” includes: • Australia, early expansion, late expansion and turnaround; • Canada, other early stage, expansion and turnaround; • Korea, initial-early stage, middle stage-early (firms 3 -5 years), and middle stagelate (firms 5 -7 years); • United Kingdom, other early stage and expansion; for the United States and Israel, early stage and expansion; • European countries (except United Kingdom), growth and rescue/turnaround. The OECD is currently revising its VC data and the future definition of VC is likely to exclude turnaround, rescue and late expansion stages. Due to data availability, the average does not include Chile, Iceland, Japan, Luxembourg, Mexico, New Zealand, Slovak Republic, Slovenia, or Turkey.

Science and innovation indicators (2) (alternative indicators) OUTPUTS/OUTCOMES – Triadic patents per million population Science and innovation indicators (2) (alternative indicators) OUTPUTS/OUTCOMES – Triadic patents per million population – Scientific articles per million population – % of firms with new-to-market innovation (% of all firms) – % of firms undertaking non-technological innovation (% of all firms). – Share of services in business R&D – Triadic patents: 10 -year average growth rate. OECD Patent Database, 2010, based on EPO Worldwide Statistical Patent Database (PATSTAT, 2010). Population data sourced from OECD, Main Science and Technology Indicators (MSTI) Database, 2010 -1. International Monetary Fund, World Economic Outlook. Scientific articles: OECD Calculations, Scopus Custom Data, Elsevier, December 2009. Innovation: OECD, Working Party of National Experts in Science and Technology (NESTI) Innovation Microdata Project based on CIS-2006, June 2009, and national data. OECD, ANBERD Database, 2009.

Output definitions (a) ‘Triadic patents per million of the population’ is an indicator of Output definitions (a) ‘Triadic patents per million of the population’ is an indicator of innovation outputs, adjusted to account for the size of the country. Triadic patents are a set of patents taken at the European Patent Office, the Japan Patent Office and the US Patent and Trademark Office that protect the same invention. The use of triadic patents as an indicator eliminates the problems of home advantage and influence of geographical locations that are encountered with single-office patent indicators and thus improves the international comparability of the data. ‘Scientific articles per million of the population’ is an indicator often used to highlight the scientific “productivity” of countries and is an important measure of research output, since publication is the main means of disseminating and validating research results. Article counts are based on science and engineering articles, notes and reviews published in a set of the world’s most influential scientific and technical journals. Some caveats regarding this indicator should be noted—the journals have good international coverage, although journals of regional or local importance may not be included; there is an English-language bias; the propensity to publish differs across countries and fields of study; and incentives to publish can lead to questions about quality. Calculations are based on the address of the institution to which authors belong, and fractional counts. The calculations include articles, reviews, conference papers, conference reviews and notes sourced from journals and conference proceedings.

Output definitions (b) ‘Percentage of firms with new-to-market product innovations’ provides a measure of Output definitions (b) ‘Percentage of firms with new-to-market product innovations’ provides a measure of innovation and novelty. Firms that first develop innovations can be considered as drivers of the process of innovation. Many new ideas and knowledge originate from these firms, with the full economic impact of their innovations depending on their adoption by other firms. Innovation survey data from Canada, France, Korea and Japan were not included when calculating the average. Data collected from national sources might not be fully compatible with the OECD Innovation Micro data Project. ‘Percentage of firms undertaking non-technological innovation’ looks more closely at marketing and organisational innovations, an important dimension of many firms’ innovation activities. They are particularly relevant for service firms.

Science and innovation indicators (3) (alternative indicators) LINKAGES – % of firms collaborating (% Science and innovation indicators (3) (alternative indicators) LINKAGES – % of firms collaborating (% of all firms) – % patent applications with foreign co-inventors – % of GERD financed from abroad. – R&D expenditure of foreign affiliates as % of R&D – Business funded R&D in higher education and government. OECD, Working Party of National Experts in Science and Technology (NESTI) Innovation Microdata Project based on CIS-2006, June 2009 and national data sources. OECD, R&D Database, June 2010. OECD Patent Database, 2010. OECD, Main Science and Technology Indicators (MSTI) Database 2010/1

Linkages definitions (a) ‘Percentage of innovative firms collaborating’ aims to highlight the extent of Linkages definitions (a) ‘Percentage of innovative firms collaborating’ aims to highlight the extent of active participation in joint innovation projects with other organisations. Collaboration is an important part of the innovation activities of many firms, and can involve the joint development of new products, processes or other innovations with customers and suppliers, as well as horizontal work with other enterprises or public research bodies. ‘Patents with foreign co-inventors’ is a measure of the internationalisation of research. It constitutes an indicator of formal R&D co-operation and knowledge exchange between inventors located in different countries. It highlights how institutions seek competences or resources beyond their national borders. Patent counts are based on the earliest priority date, the inventor's country of residence, using simple counts. Share of patent applications to the European Patent Office (EPO) with at least one foreign coinventor in total patents invented. ‘Percentage of GERD financed by abroad’ is another measure of internationalisation. Foreign funding of R&D is an important source of financing for many countries. Due to data availability, the average does not include Chile, Greece, Switzerland the United States.

Science and innovation indicators (4) (alternative indicators) HUMAN RESOURCES IN SCIENCE AND TECHNOLOGY (HRST) Science and innovation indicators (4) (alternative indicators) HUMAN RESOURCES IN SCIENCE AND TECHNOLOGY (HRST) – Researchers per thousand employment – Science and engineering degrees as % of all new degrees – HRST occupations as % of total employment – Educational attainment % population aged 25 -64 with tertiary degree – Tertiary level graduates % in total employment. Researchers: OECD, Main Science and Technology Indicators (MSTI) Database 2010/1, data for Brazil, Chile, Estonia and India have been compiled from national sources. S&E degrees: OECD, Education Database 2009, UNESCO Institute for Statistics and China Statistical Yearbook. HRST: OECD, Science and Technology and Industry Scoreboard 2009. OECD calculations, based on data from the EU Labour Force Survey; US Current Population Survey; Australian, Canadian, Japanese and New Zealander labour force surveys, as well as Korean Economically Active Population Survey. Education: OECD, Educational Attainment database, 2009. OECD, Education Database 2010.

HRST definitions ‘Researchers per thousand of total employment’ measures one of the central human HRST definitions ‘Researchers per thousand of total employment’ measures one of the central human resource elements of the research and development system. Researchers are professionals engaged in the conception and creation of new knowledge, products, processes, methods and systems and are directly involved in the management of projects. ‘Science and engineering degrees as a percentage of all new degrees’ is an indicator of a country’s potential for assimilating, developing and diffusing advanced knowledge and supplying the labour market with human resources that possess critical skills for research and development. ‘HRST occupations as a percentage of total employment’ is an indicator of the extent of innovation-related skills in the workforce. This category of workers corresponds to professionals and technicians as defined in the International Standard Classification of Occupations (ISCO-88).

Radar chart methodology To construct the radar graphs, the raw data for each indicator Radar chart methodology To construct the radar graphs, the raw data for each indicator is transformed into an index, The OECD country with the maximum value of the indicator taking an index value of 100 and the other countries taking proportional values below this. For example, for the indicator on GERD as a percentage of GDP, Israel was the country with the highest value (4. 86%), but based on the data and the time of writing, was not yet an OECD country. Sweden had the highest OECD value (3. 75%), and therefore took the index value of 100. Following the transformation of the raw data into indices, an OECD average for each indicator was obtained where possible. This allows the construction of an average value for each indicator (the dotted line in the radar graphs) against which individual country results were plotted (the solid line in the radar graphs) In some cases, OECD countries were excluded from the average due to data comparability (e. g. when the data only represented a particular sector). Also, in some cases, it was not possible to construct an “OECD average” because the data were unavailable, e. g. not all countries run an innovation survey, so an arithmetic ‘average’ was constructed with available data. In some instances of data unavailability, alternative indicators were used, if considered a suitable replacement.

n THE NETHERLANDS: Science and innovation profile shows strong outcomes and sound linkages despite n THE NETHERLANDS: Science and innovation profile shows strong outcomes and sound linkages despite weak input indicators. The Netherlands has one of the strongest patent intensities of all OECD countries. HRST Linkages Inputs Outputs

n SWEDEN: Sweden’s science and innovation profile is one of the strongest in the n SWEDEN: Sweden’s science and innovation profile is one of the strongest in the OECD.

n DENMARK: “a modern open market economy featuring a high-technology agricultural sector and a n DENMARK: “a modern open market economy featuring a high-technology agricultural sector and a sophisticated manufacturing industry, with world leaders in pharmaceuticals, maritime shipping and renewable energy”.

n FINLAND: “Collaboration with other countries is at a high level, and a large n FINLAND: “Collaboration with other countries is at a high level, and a large proportion of the labour force has a tertiary qualification. Venture capital intensity is well above average and the government’s R&D budget is large”.

n UNITED STATES: “US firms are at or near the forefront of technological advances n UNITED STATES: “US firms are at or near the forefront of technological advances in a number of areas and the country has quite a strong science and innovation profile”.

n UNITED KINGDOM: “The United Kingdom performs strongly on a range of science and n UNITED KINGDOM: “The United Kingdom performs strongly on a range of science and innovation indicators”.

n JAPAN: “Japan has a technologically advanced economy, with close and interlocking structures of n JAPAN: “Japan has a technologically advanced economy, with close and interlocking structures of manufacturers, suppliers and distributors”.

n GERMANY: “Science and technology occupations are well represented in total employment, and medium n GERMANY: “Science and technology occupations are well represented in total employment, and medium and high-technology manufacturing exports have been robust for a number of years”.

n FRANCE: “France demonstrates solid science and innovation performance in a number of areas, n FRANCE: “France demonstrates solid science and innovation performance in a number of areas, such as human resources in science and technology”.

n ITALY: “Policy challenges include the development of human capital and business innovation. Other n ITALY: “Policy challenges include the development of human capital and business innovation. Other measures that could boost Italy’s innovation performance include better exchange and co-operation between public and private sector research and better co-operation among regions”.

n BRAZIL: “Brazil’s economy is characterised by large and well-developed agricultural, mining, manufacturing and n BRAZIL: “Brazil’s economy is characterised by large and well-developed agricultural, mining, manufacturing and services sectors”.

n RUSSIA: “ … reliance on commodity exports makes Russia vulnerable to boom and n RUSSIA: “ … reliance on commodity exports makes Russia vulnerable to boom and bust cycles and also affects the focus of R&D and innovation policy. The Russian science and innovation profile demonstrates areas of strong performance, but also areas for future development”.

n CHINA: “Over the past three decades China's economy has moved from being largely n CHINA: “Over the past three decades China's economy has moved from being largely closed to becoming a major global player. Its innovation system has undergone considerable change and its innovation performance has improved noticeably”.

n CANADA: “Canada has a unique innovation landscape and its science and innovation profile n CANADA: “Canada has a unique innovation landscape and its science and innovation profile displays notable strengths”.

n AUSTRALIA in STI Outlook 2008: Below the OECD average in 8 out of n AUSTRALIA in STI Outlook 2008: Below the OECD average in 8 out of 13 indicators.

n AUSTRALIA: Improved to below average in 6 out of 13 indicators. Performance improved n AUSTRALIA: Improved to below average in 6 out of 13 indicators. Performance improved in new-to-market innovation, but slipped on non-tech innovation and collaboration. Performance improved on HRST, with more science and engineering degrees, and remains solid in HRST employment. 1. 97% of GDP (OECD=2. 33%) 35. 8% (OECD = 27. 8%) 1. 2% of GDP (OECD=1. 63%) 20. 4% (OECD = 20. 9%) 0. 13% of GDP (OECD=0. 1%) 8. 48 (OECD = 7. 6) 14. 6 (OECD = 40. 2) 2. 4% (OECD = 5. 4%) 1448 (OECD = 777) 9. 6% (OECD = 13. 6%) 15. 6% (OECD = 7. 78%) 12% (OECD = 9. 7%) 43% (OECD = 48. 03%)

Concluding remarks n n n Australia’s profile has improved. Strong inputs, but weaker outputs, Concluding remarks n n n Australia’s profile has improved. Strong inputs, but weaker outputs, linkages and overall innovation performance Sometimes strong innovation performances, despite average and below average inputs. Innovation profiles often reflect actual economic performances in a country. Some notable trends: Emergence of BRIICS countries: e. g. China comprise 13% of OECD GERD n Strong growth in environmental technologies (PCT applications) n On policy front, there is a ‘greening’ of research n Health and quality of life are high on policy agendas. n Strong focus on science and engineering degrees n Impact of the global recession: The sharp falls of GDP in many countries may change the shapes of many of the radar charts and adjustments may be necessary to correct GDP ratios. n More research is required to determine transmission mechanisms of innovation through to GDP and GDP per capita that could provide clearer policy direction for best value/maximum impact. n The focus of new sources of growth are crucial going forward.

A case study in innovation & R&D: Nespresso A case study in innovation & R&D: Nespresso

A case study in innovation & R&D: Nespresso Key statistics n n 25% annual A case study in innovation & R&D: Nespresso Key statistics n n 25% annual growth since 1988 24 different models 9 machine partners in over 35 countries. Research Continued expansion n Coffee bean – 9 th century n 1987 – launched internationally n Coffee beverage– 15 th century 1995 – system introduced in Australia n 1970 – invented the capsule n 1976 – lodged patent n 1986 – launch Nespresso in Switzerland n n n 2003 – new automatic machine launched after 5 years of R&D n 2004 – new compact line of machines introduced n 2010 – aggressive advertising in Australia (George Clooney) 1997 – formed international partnerships 1998 – first major advertising campaign 2002 – new production facility to meet demand

DEPARTMENT OF INNOVATION, INDUSTRY, SCIENCE AND RESEARCH email: Nils. de. Jager@innovation. gov. au Industry DEPARTMENT OF INNOVATION, INDUSTRY, SCIENCE AND RESEARCH email: Nils. de. [email protected] gov. au Industry House 10 Binara Street Canberra, ACT 2601, Australia Telephone +61. 2. 6213 7267