Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL concerning the production and development of Community statistics on science and technology

(presented by the Commission)

EXPLANATORY MEMORANDUM

1. The need for a legal basis.

For the formulation and assessment of S&T policies in the increasingly knowledge-based economies there is need for reliable and relevant statistical indicators. Existing statistical indicators are useful, but also limited in terms of their measurement of the output of S&T activities, the diffusion of knowledge and, more generally, the performance of innovation systems. There is a need then to develop a new generation of statistical variables which can monitor these aspects

There is for the moment no specific legal base for statistics on science and technology in the European Statistical System. The former Council Decision was specified for the period 1993 to 1997 (94/78/EC, Eurotom of 24 January 1994). A new legal act is needed as a framework for development of new indicators and for production of existing indicators, harmonised in methodology and definitions

A legal act gives a framework for harmonised statistics. In a legal act the statistical variables to be produced and transmitted are specified, also the methodology, definitions, frequency, timeliness and pilot studies for improvement etc

The beneficiaries of this decision are the Community institutions in supporting the Community policies on science, technology and innovation, in particular the importance of strenghtening the scientific and technological basis of the European businesses to be more innovative and competitive on the international and regional level, realising the benefits of the information society and promoting the transfer of technology, improving activities in the domain of intellectual property rights and the development of mobility of human resources, and promoting equality between men and women in science.

In addition the needs of national, regional and local administrations, international organisations, economic operators, professional associations, research institutes, media and the general public are taken into account

2. The new draft European Parliament and Council Decision

The new draft European Parliament and Council Decision is based on the former Decision and on the work that has been done in this period. In addition, the opinion expressed by SPC, other comments from the Member States and users have been taken into account.

2.1. General objective

The general objective of this draft European Parliament and Council Decision is to maintain and to improve the Community statistical information system on science, technology and innovation in order to support and monitor Community policies.

To fulfil this general objective specific individual statistical actions shall be implemented:

Firstly, to continue the production of existing Community statistics based on delivery of data by the Member States and from other sources.

Secondly, to develop new statistical variables to be produced on a permanent basis. Priority will be given to statistics on innovation (new and improved products and processes introduced by enterprises in the market), human resources devoted to science and technology, patents statistics (to be derived from the databases of the national and European patent offices) and high-technology statistics (identification and classification of products and services, measurement of economic performance and contribution to economic growth). In addition, there is a specific need to develop in general gender statistics on science and technology.

Thirdly, to improve and update existing standards and manuals on concepts and methods and to improve data quality, in specific comparability and timeliness.

2.2. Specific objectives

The general objective of the programme can be specified in the following objectives:

- to consolidate and improve the Community reference framework for statistics on science and technology defining the most appropriate concepts and methods. There is a specific need to revise the existing manuals for statistics on R&D (Frascati), Innovation (Oslo), Human resources devoted to science and technology (Canberra) and the regionalisation of statistics on science and technology.

- to consolidate and extend the Community statistical information system for science and technology of regular delivery and dissemination of existing and new indicators. There is a specific need to extend the statistical information in the service sector and in general to improve the gender statistics on science and technology.

- to promote and support comparability and coherence of statistics on science and technology in the Member States. There is a specific need for coordinated methods for measurement of R&D activity.

- to improve the timeliness of data and to facilitate the accessibility of the statistical information.

The operations covered by this proposed Decision are drawn up with a view to:

- meeting the needs of a wide range of users, while taking care to ensure that any burden on the national statistical authorities should be limited and that any additional cost should be kept to a minimum;

- limiting the response burden of the units surveyed, especially enterprises which have to answer statistical questionnaires, by also using administrative registers and other sources with the necessary qualitity and accuracy;

- harmonising questionnaires and survey methods between the Member States, and where possible in co-operation with other supranational bodies

2001/0197 (COD)

Proposal for a DECISION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL concerning the production and development of Community statistics on science and technology (Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 285 thereof,

Having regard to the proposal from the Commission,

Acting in accordance with the procedure laid down in Article 251 of theTreaty,

Whereas :

(1) There is a need for comparable statistics on research and development, technological innovation and science and technology in general in order to support Community policies;

(2) Council Decision (94/78/CE, Euratom) of 24 January 1994 establishing a multiannual programme from 1994 to 1997 for the development of Community statistics on research, development and innovation [1], highlighted the objectives to set out a Community reference framework for statistics and to establish a harmonised Community statistical information system in this field;

[1] OJ L 38, 9.2.1994, p. 30

(3) The final report for the programme period 1994 to 1997 [2] emphasises that the work should be continued and that data should be made available more rapidly, that the regional coverage should be extended and that the comparability of the data must increase;

[2] OJ

(4) In accordance with Council Decision 1999/126/EC of 22 December 1998 establishing the Community statistical programme 1998-2002 [3], the statistical information system shall support the management of science and technology policies in the Community and assess R&D and innovation capability of regions for administration of structural funds;

[3] OJ L 42, 16.6.1999, p. 1

(5) In order to ensure their usefulness and comparability, the details of data to be provided by the Member States should be established by the Commission taking into account work carried out by OECD and other international organisations;

(6) Community policy on science, technology and innovation places particular importance on strenghtening the scientific and technological basis of the European businesses to be more innovative and competitive on the international and regional level, realising the benefits of the information society and promoting the transfer of technology, improving activities in the domain of intellectual property rights and the development of mobility of human resources, and promoting equality between men and women in science;

(7) The principle of cost-effectiveness shall apply for the data collection procedures for industry and administrations, while still maintaining the necessary quality of the data;

(8) It is essential that developments in official statistics on science and technology are coordinated to also meet the essential needs of national, regional and local administrations, international organisations, economic operators, professional associations and the general public;

(9) Council Decision 1999/173/EC of 25 January 1999 adopting a specific programme for research, technological development and demonstration on improving the human research potential and the socio-economic knowledge base (1999 to 2002) [4] will be taken into account to avoid overlap of work;

[4] OJ L 64, 12.3.1999, p. 105

(10) Council Resolution 1999/C 201/01 of 20 May 1999 on women and science underlines the need for information on the participation of women in the development of science and technology;

(11) The measures necessary for the implementation of this Decision, being management measures within the meaning of Article 2 of Council Decision 1999/468/EC of 28 June laying down the procedures for the exercise of implementing powers conferred on the Commission [5], should be adopted by use of the management procedure provided for in Article 4 of that Decision;

[5] OJ L 184, 17.7.1999, p. 23

(12) the Statistical Programme Committee established by Decision 89/382/EEC, Euratom [6] has been consulted in accordance with Article 3 of the aforesaid Decision;

[6] OJ L 181, 28.6.1989, p. 47

(13) the Scientific and Technological Research Committee (Crest) has given its opinion,

HAVE ADOPTED THIS DECISION:

Article 1

The objective of this Decision is to establish a Community statistical information system on science, technology and innovation to support and monitor Community policies.

Article 2

The objective described in Article 1 shall be implemented by individual statistical actions as follows:

- Delivery of statistics by the Member States on a regular basis and within specified deadlines, in particular statistics on R&D activity in all sectors of performance, taking into account the regional dimension, and on the funding of R&D activity, including the government budget appropriations for R&D.

- Development of new statistical variables to be produced on a permanent basis for the measurement of the output of science and technology activities, the diffusion of knowledge and more generally the performance of innovation needed for the formulation and assessment of science and technology policies in the increasingly knowledge-based economies. Priority will be given, in particular, to the following domains :

- innovation (new and improved products and processes introduced by enterprises in the market),

- human resources devoted to science and technology,

- patents (patents statistics to be derived from the databases of the national and European patent offices),

- high-technology statistics (identification and classification of products and services, measurement of economic performance and contribution to economic growth),

- gender statistics on science and technology,

- Improvement and updating of existing standards and manuals on concepts and methods, with particular regard to concepts in the service sector and coordinated methods for measurement of R&D activity

- Improvement to data quality, specifically comparability, accuracy and timeliness

- Improvement to the dissemination, accessibility and documentation of statistical information

Available capacities within the Member States for data collection and processing will be taken into account.

Article 3

The measures necessary for the implementation of this Decision shall be decided in accordance with the procedure referred to in Article 4.

Article 4

1. The Commission shall be assisted by the Statistical Programme Committee instituted by Article 1 of Decision 89/382/EEC/Euratom,

2. Where reference is made to this paragraph, the management procedure laid down in Article 4 of Decision 1999/468/EC shall apply, in compliance with Articles 7(3) and 8 thereof.

3. The period provided for in Article 4 (3) of Decision 1999/468/EC shall be three months

Article 5

The Commission shall, within five years of the entry into force of this Decision, and again every five years thereafter, present a report to the European Parliament and the Council to evaluate the implementation of the measures provided for in Article 2.

This report shall consider, inter alia, the costs of the actions and the burden on the respondents in relation to the benefits of the availability of the data and user satisfaction.

Following this report, the Commission may propose any measures to improve the operation of this Decision.

Article6

This Decision is addressed to the Member States.

Article 7

This Decision shall enter into force on the 20th day following its publication in the Official Journal of the European Communities

Done at Brussels,

For the European Parliament For the Council

The President The President

FINANCIAL STATEMENT

1. Title of operation

Proposal for an European Parliament and Council Decision concerning the production and development of Community Statistics on science and technology.

2. Budget heading(s) involved

Section III (Commission), Part B

B5-60, B6 (DG ENTR), B6 (DG RTD) and B2 (DG REGIO).

3. Legal basis

Article 285 of the Treaty establishing the European Parliament and Council Decision concerning the production and development of Community Statistics on science and technology.

4. Description of operation

4.1 General objective

The general objective of this draft European Parliament and Council Decision is to maintain and to improve the Community statistical information system on science, technology and innovation in order to support and monitor Community policies.

To fulfil this general objective specific individual statistical actions shall be implemented:

Firstly, to continue the production of existing Community statistics based on delivery of data by the Member States and from other sources.

Secondly, to develop new statistical variables to be produced on a permanent basis. Priority will be given to statistics on innovation (new and improved products and processes introduced by enterprises in the market), human resources devoted to science and technology, patents statistics (to be derived from the databases of the national and European patent offices) and high-technology statistics (identification and classification of products and services, measurement of economic performance and contribution to economic growth). In addition, there is a specific need to develop in general gender statistics on science and technology.

Thirdly, to improve and update existing standards and manuals on concepts and methods and to improve data quality, in specific comparability and timeliness

4.2 Period covered and arrangements for renewal

Ongoing development and production of statistics.

Evaluation after a period of five years, 2001-2005

5. Classification of expenditure or revenue

5.1 Non-compulsory expenditure

5.2 Differentiated

5.3 Type of revenue involved

Sales of the statistics (database, publications) will partly cover production costs.

6. Type of expenditure or revenue

The contribution from the Community budget with respect to the work by the national statistical institutes or other national authorities responsible for Community statistics represents only part of the total cost of the statistical work undertaken by the national authorities. In principle production and transmission of regular statistics, which form an integral part of the statistical programme, will be based on the subsidiarity principle, and the operational and administrative costs are borne by the national authorities.

Additional costs for harmonisation of data at Community level, development of new statistical indicators and improvement of methodology may partly be covered by a contribution from the Community budget.

Purchase of services through the award of service contracts. This includes activities involving work by Eurostat regarding the improvement of a Community methodology, development of new statistical indicators, management of statistical databases, publication, dissemination and analysis of the statistical data.

7. Financial impact

7.1 Method of calculating total cost of operation (relation between individual and total costs)

The estimates are based on Eurostat's experience from the former multiannual programme 1993-1997 for the development of Community statistics on research, development and innovation and on comparable other statistical programmes.

- With respect to the financial contribution to the work by the national authorities, estimates are based on similar studies in the Member States in the former programme period. The costs relate primarily to activities by national statistical authorities in launching pilot surveys, drafting project reports and additional costs for full-scale surveys.

- With respect to the work by Eurostat, estimates are also based on similar activities in the former programme period as regards the requisite resources (consultants, experts, database manager, office staff) and on the scheduled duration of the measure.

7.2 Itemised breakdown of cost

This draft Decision may entail a total expenditure of EUR 7 500 000 over five years. This is allocated to research and innovation policy and comes mainly from budget heading B5-60, B6 (DG ENTR), B6 (DG RTD) and B2 (DG REGIO).

The main tasks to be funded are Production and dissemination of statistics, Development of new indicators and Improvement of methodology. More than half of the costs forseen for the item 2) Development of new indicators, will go to Member States' funding for the Community Innovation Survey. The reason for this is the plan to launch full scale surveys every four years (2001 and 2005), and small scale surveys the years in between.

Commitment appropriations EUR million (at current prices)

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7.4 Schedule of commitment and payment appropriations

EUR million (at current prices)

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8. Fraud prevention measures

The information supplied is checked by Commission departments before payment, in the light of contractual commitments, and the principles of economy and sound financial management. Fraud prevention measures (control, report etc.) are included in all agreements or contracts concluded between the Commission and recipients of payments.

9. Elements of cost-effectiveness analysis

9.1 Specific and quantified objectives; target population

The general objective of the programme defined in point 4.1 can be specified in the following objectives:

- to consolidate and improve the Community reference framework for statistics on science, technology and innovation defining the most appropriate concepts and methods. There is a specific need to revise the existing manuals for statistics on R&D (Frascati), Innovation (Oslo), Human resources devoted to science and technology (Canberra) and the regionalisation of statistics on science and technology (Regional Manual).

- to consolidate and extend the Community statistical information system for science, technology and innovation of regular delivery and dissemination of existing and new indicators. There is a specific need to extend the statistical information in the service sector and in general to improve the gender statistics on science and technology.

- to promote and support comparability and coherence of statistics on science, technology and innovation in the Member States. There is a specific need for coordinated methods for measurement of R&D activity.

- to improve the timeliness of data and to facilitate the accessibility of the statistical information.

The operations covered by this proposed Decision were drawn up with a view to:

- meeting the needs of a wide range of users, while taking care to ensure that any burden on the national statistical authorities should be limited and that any additional cost should be kept to a minimum;

- limiting the response burden of the units surveyed, especially enterprises which have to answer statistical questionnaires, by also using administrative registers and other sources with the necessary quality and accuracy;

- harmonising questionnaires and survey methods between the Member States, and where possible in co-operation with other supranational bodies;

The beneficiaries of this operation are the Community institutions in supporting the Community policies on science, technology and innovation, in particular the importance of strenghtening the scientific and technological basis of the European businesses to be more innovative and competitive on the international and regional level, realising the benefits of the information society and promoting the transfer of technology, improving activities in the domain of intellectual property rights and the development of mobility of human resources, and promoting equality between men and women in science.

In addition the needs of national, regional and local administrations, international organisations, economic operators, professional associations, research institutes, media and the general public will be taken into account.

9.2 Grounds for the operation

For the formulation and assessment of S&T policies in the increasingly knowledge-based economies there is need for reliable and relevant statistical indicators. Existing statistical indicators are useful, but also limited in terms of their measurement of the output of S&T activities, the diffusion of knowledge and, more generally, the performance of innovation systems. There is a need then to develop a new generation of statistical variables which can monitor these aspects.

A legal act gives a framework for harmonised statistics. In a legal act the statistical variables to be produced and transmitted are specified, also the methodology, definitions, frequency, timeliness and pilot studies for improvement etc.

Without a legal act the work must be based on gentlemen's agreement. A gentlemen's agreement can also be specified in line with the above mentioned issues, but will not be legally binding for the Member states. Gentlemen's agreement is a weaker tool for production of harmonised statistics and development of new indicators.

A large part of the financing for this operation is covered by the Member States. They have already data collection systems for R&D activity and the government budget appropriations for R&D and report information to Eurostat. Several Member States have also production systems for innovation surveys, but in some Member States these systems are incomplete.There is a need for further improvement of the methods and the systems to have more harmonised results between Member States.

In addition, development of new statistical indicators will require human resources, both in the Member States and in Eurostat. This is related both to the development of concepts and methods and to the establishment of production system for these new indicators.

The spin-off and multiplier effects expected of the operations provided for in the proposed Decision will contribute to improve statistical information on science and technology in the European Union and where possible in greater Europe. Reliable and up-to-date information is essential for monitoring, evaluating and formulating Community programmes. The structure of the proposed system is designed to make the best use of results and optimise the synergy effects.

The main difficulties that might arise and might affect the results of this measure would be if the Member States or the Commission did not release the necessary resources needed for the actions.

The actions provided for by this Decision are not feasible without Commission funding.

9.3 Monitoring and evaluation of the operation

The statistical actions provided for by the proposed Decision will be monitored in the context of the Community statistical programme, which is monitored by the Community Statistical Programme Committee established by Decision 89/382/EEC.

Each year Eurostat will report on progress, summing up for each action the main objectives and the main achievements of the year, and providing statistics on the use of human, budgetary, data-processing, technical and administrative resources during the report period.

The Commission is to present a report to the European Parliament and the Council within five years of the entry into force of this proposed Decision on the implementation of the measures provided for in Article 2 of the Decision and again every five years thereafter.

10. Administrative expenditure (Section III, Part A of the budget)

Requirements in terms of human and administrative resources are covered within the allocation granted to the managing services.

10.1 Effect on the number of posts

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10.2 Overall financial impact of human resources

Indicator: annual personnel expenditure, 1998

EUR

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10.3 Increase in other administrative expenditure as a result of the operation

None

EUR

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The credits will be found within the existing envelopes of Eurostat.