Commission Regulation (EC) No 753/2004 of 22 April 2004 implementing Decision No 1608/2003/EC of the European Parliament and of the Council as regards statistics on science and technology (Text with EEA relevance)
Date: 2004-04-22
Institutions: European Commission
Subjects: EU statistics, applied sciences, technology

23.4.2004

EN

Official Journal of the European Union

L 118/23

COMMISSION REGULATION (EC) No 753/2004

of 22 April 2004

implementing Decision No 1608/2003/EC of the European Parliament and of the Council as
regards statistics on science and technology

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

Article 2

Having regard to the Treaty establishing the European
Community,

Having regard to Decision No 1608/2003/EC of the European
Parliament and of the Council of 22 July 2003 concerning the
production and development of Community statistics on
science and technology (1) and in particular Article 3 thereof,

Whereas:

(1)

(2)

(3)

(4)

(5)

It is necessary to adopt measures for the implementation
of individual statistical actions as determined in Article 2
of Decision No 1608/2003/EC; those actions are neces-
to establish Community statistics on
sary in order
science, technology and innovation.

The Community statistical programme constitutes the
framework for the production of all Community statis-
tics, and Decision No 2367/2002/EC of the European
Parliament and of the Council of 16 December 2002 on
the Community statistical programme 2003 to 2007 (2)
has specifically determined the work programme for the
production and improvement of statistics on science and
technology for the period 2003 to 2007.

It is necessary to ensure the consistency of Community
statistics on science and technology with other interna-
tional standards, which entails taking into account the
work carried out by the Organisation for Economic Co-
operation and Development (OECD) and other interna-
tional organisations.

In implementing Decision No 1608/2003/EC, regard
should be had to the framework provided by Council
Regulation (EC) No 322/97 of 17 February 1997 on
Community Statistics (3) when laying down provisions to
cover access to administrative sources and statistical
confidentiality.

The measures provided for in this Regulation are in
accordance with
Statistical
the
Programme Committee,

opinion

the

of

1.

This Regulation shall cover the following domains:

(a) statistics on research and development;

(b) statistics on government budget appropriations or outlays

on research and development (GBAORD);

(c) statistics on human resources in science and technology,
including gender and mobility statistics (HRST), statistics on
patents, statistics on high-technology industries and know-
ledge-based services and other statistics on science and
technology.

For the domains cited in points (a) and (b), the lists of statistical
variables, the activities and sectors covered, the breakdowns of
the results, the frequency, the deadlines for data transmission,
inter alia, new variables and
the pilot studies for developing,
other particular activities to be undertaken and the transitional
period shall be as specified in sections 1 and 2 of the Annex.

For the domains cited in point (c), the necessary data shall
mostly be acquired from existing statistical or other data
sources, in accordance with section 3 of the Annex.

2.
On the basis of the conclusions in the reports presented
to the European Parliament and to the Council pursuant to
Article 5 of Decision No 1608/2003/EC, the lists of statistical
variables, the activities and sectors covered, the breakdowns of
the results, the frequency, the deadlines for data transmission,
the list of pilot studies and other characteristics laid down in
the Annex to this Regulation shall, where appropriate, be
revised at regular intervals in accordance with the procedure
referred to in Article 4 of that Decision.

HAS ADOPTED THIS REGULATION:

Article 1

The measures for implementing Decision No 1608/2003/EC
with regard to Community statistics on science and technology
shall be as set out in this Regulation.

(1) OJ L 230, 16.9.2003, p. 1.
(2) OJ L 358, 31.12.2002, p. 1.
(3) OJ L 52, 22.2.1997, p. 1. Regulation amended by Regulation (EC)
No 1882/2003 of the European Parliament and of the Council (OJ L
284, 31.10.2003, p. 1).

Article 3

Member States shall acquire the necessary data using a combi-
nation of different sources such as sample surveys, administra-
tive data sources or other data sources. In terms of quality or
statistical estimation procedures, the other data sources shall be
at least equivalent to sample surveys or administrative data
sources.

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Official Journal of the European Union

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Article 4

Article 6

The statistical domains listed in the Annex shall be based on
harmonised concepts and definitions, contained in the most
recent versions of the Frascati Manual, the Canberra Manual or
other harmonised standards.

Member States shall apply these harmonised concepts and defi-
nitions to the statistics to be compiled.

The reports presented to the European Parliament and to the
Council pursuant to Article 5 of Decision No 1608/2003/EC
shall make reference to concepts and definitions and their
applications.

Quality evaluation shall be carried out by Member States and
the Commission (Eurostat).

Member States shall transmit to the Commission (Eurostat), at
its request, the information necessary for the evaluation of the
quality of the statistics laid down in the Annex which are
needed for the fulfilment of the reporting requirements laid
down in Article 5 of Decision No 1608/2003/EC.

Article 5

Article 7

Member States shall transmit the variables listed in sections 1
and 2 of the Annex to the Commission (Eurostat), using a
standard transmission format to be determined by the Commis-
sion (Eurostat) in cooperation with them.

This Regulation shall enter into force on the twentieth day
following that of its publication in the Official Journal of the
European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 22 April 2004.

For the Commission

Pedro SOLBES MIRA

Member of the Commission

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ANNEX

STATISTICS ON SCIENCE AND TECHNOLOGY

Section 1

Statistics on Research and Development

1. The list of statistics (including their breakdowns) to be compiled is set out below.

Code

All sectors

Business enterprise
sector

Higher education
sector

Government sector

Private non-profit
sector

Comments

By sector of performance

1.11

Number of R & D personnel in head count (HC)

Without breakdown

1.11.0.0

1.11.0.1

1.11.0.2

1.11.0.3

1.11.0.4

By occupation and sex

1.11.1.0

1.11.1.1

1.11.1.2

1.11.1.3

1.11.1.4

By qualification and sex

1.11.2.0

1.11.2.1

1.11.2.2

1.11.2.3

1.11.2.4

Alternatively
the breakdown by
qualification and sex can be deliv-
ered

Alternatively
the breakdown by
occupation and sex can be delivered

By economic activity (NACE)

1.11.3.1

By major field of science and sex

1.11.4.2

1.11.4.3

Four yearly

By region (NUTS 2)

1.11.5.0

1.11.5.1

1.11.5.2

1.11.5.3

1.11.5.4

By region (NUTS 2) and sex

1.11.6.0

1.11.6.1

1.11.6.2

1.11.6.3

1.11.6.4

optional

By economic activity (NACE) and sex

1.11.7.1

Four yearly

1.12

Number of researchers in head Count (HC)

Without breakdown

1.12.0.0

1.12.0.1

1.12.0.2

1.12.0.3

1.12.0.4

By sex

1.12.1.0

1.12.1.1

1.12.1.2

1.12.1.3

1.12.1.4

By qualification and sex

1.12.2.0

1.12.2.1

1.12.2.2

1.12.2.3

1.12.2.4

optional

By economic activity (NACE) and sex

1.12.3.1

By major field of science and sex

1.12.4.2

1.12.4.3

Four yearly

Four yearly

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Code

All sectors

Business enterprise
sector

Higher education
sector

Government sector

Private non-profit
sector

Comments

By sector of performance

By region (NUTS 2)

1.12.5.0

1.12.5.1

1.12.5.2

1.12.5.3

1.12.5.4

By region (NUTS 2) and sex

1.12.6.0

1.12.6.1

1.12.6.2

1.12.6.3

1.12.6.4

optional

By age groups and sex

By citizenship and sex

1.12.7.2

1.12.7.3

1.12.8.2

1.12.8.3

optional

optional

1.13

Number of R & D personnel in full-time equivalent (FTE)

Without breakdown

1.13.0.0

1.13.0.1

1.13.0.2

1.13.0.3

1.13.0.4

Yearly

By occupation

1.13.1.0

1.13.1.1

1.13.1.2

1.13.1.3

1.13.1.4

By qualification

1.13.2.0

1.13.2.1

1.13.2.2

1.13.2.3

1.13.2.4

Alternatively
qualification can be delivered

the breakdown by

Alternatively
occupation can be delivered

the breakdown by

By economic activity (NACE)

1.13.3.1

By major field of science and sex

1.13.4.2

1.13.4.3

Optional

By region (NUTS 2)

1.13.5.0

1.13.5.1

1.13.5.2

1.13.5.3

1.13.5.4

By size class

1.13.6.1

Optional for the size classes 0 and
one to nine employees

1.14

Number of researchers in full-time equivalent (FTE)

Without breakdown

1.14.0.0

1.14.0.1

1.14.0.2

1.14.0.3

1.14.0.4

Yearly

By sex

1.14.1.0

1.14.1.1

1.14.1.2

1.14.1.3

1.14.1.4

Optional

By qualification

1.14.2.0

1.14.2.1

1.14.2.2

1.14.2.3

1.14.2.4

Optional

.

.

2
3
4
2
0
0
4

E
N

O

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8
/
2
7

Code

All sectors

Business enterprise
sector

Higher education
sector

Government sector

Private non-profit
sector

Comments

By sector of performance

By economic activity (NACE)

By major field of science and sex

By region (NUTS 2)

By region (NUTS 2) and sex

By size class

1.20

Intramural R & D expenditure

Without breakdown

By source of funds

By civil/military

By type of R & D

By type of costs

By economic activity (NACE)

By size class

By source of funds and size class

By major field of science

By socio-economic objective (SEO)

1.14.5.0

1.14.6.0

1.20.0.0

1.20.1.0

1. 20.2.0

1.20.3.0

1.20.4.0

1.14.3.1

1.14.5.1

1.14.6.1

1.14.7.1

1.20.0.1

1.20.1.1

1.20.3.1

1.20.4.1

1.20.5.1

1.20.6.1

1.20.7.1

1.14.4.2

1.14.5.2

1.14.6.2

1.20.0.2

1.20.1.2

1.20.3.2

1.20.4.2

1.14.4.3

1.14.5.3

1.14.6.3

1.20.0.3

1.20.1.3

1.20.3.3

1.20.4.3

Optional

1.14.5.4

1.14.6.4

Optional

Optional for the size classes 0 and
one to nine employees

1. 20.0.4

Yearly

1.20.1.4

Optional

1.20.3.4

Optional

1.20.4.4

Optional for the size classes 0 and
one to nine employees

1.20.8.2

1.20.8.3

1.20.9.3

Optional

Optional

By region (NUTS 2)

1.20.10.0

1.20.10.1

1.20.10.2

1.20.10.3

1.20.10.4

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2
3
4
2
0
0
4

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2. All variables shall be reported every second year, except those where a different frequency (yearly or four yearly) is

stated in the tables of paragraph 1.

3. The first reference year for which the statistics listed in paragraph 1 are to be compiled is the calendar year 2003.

In so far as national statistical systems require major adaptations, the Commission may grant derogations to Member
States with respect to the statistics compiled for the first reference year. In very exceptional cases, this derogation
period may be extended for the regional breakdowns of the variables 1.11, 1.12, 1.13, 1.14 and 1.20.

4. The results are to be transmitted within 18 months of the end of the calendar year of the reference period. In addi-
tion, preliminary results for the variables with an annual frequency are to be transmitted within 10 months of the
end of the calendar year of the reference period.

5. Production of results

5.1. The results of the statistics by occupation are to be broken down into ‘researchers’, ‘technicians/equivalent staff’

and ‘other supporting staff’.

5.2. The results of the statistics by qualification are to be broken down into ‘PhD holders (ISCED 6)’, ‘other Univer-

sity degrees and other tertiary diplomas (ISCED 5A and 5B)’ and ‘other qualifications’.

5.3. The results of the statistics by major field of science are to be broken down into ‘natural sciences’, ‘engineering

and technology’, ‘medical sciences’, ‘agricultural sciences’, ‘social sciences’ and ‘humanities’.

5.4. The results of the statistics by size class are to be broken down into the following size classes: ‘0 employees’,
‘one to nine employees’, ‘10 to 49 employees’, ‘50 to 249 employees’, ‘250 to 499 employees’, ‘500 and more
employees’.

5.5. The results of the statistics by source of funds are to be broken down into the ‘business enterprise sector’,

‘government sector’, ‘private non-profit sector’, ‘higher education sector’ and ‘abroad’.

5.6. The results of the statistics by type of R & D are to be broken down into ‘basic research’, ‘applied research’ and

‘experimental development’.

5.7. The results of the statistics by type of costs are to be broken down into ‘current costs (labour costs and other

costs)’ and ‘capital expenditure’.

5.8. The results of the statistics by socio-economic objective (SEO) are to be broken down in accordance to the

nomenclature for the analysis and comparison of scientific programmes and budgets (NABS) at chapter level.

5.9. The results of the statistics by age group are to be broken down into the following age classes (in years): ‘up to

25’, ‘25 to 34’, ‘35 to 44’, ‘45 to 54’, ‘55 to 64’, ‘65 and more’.

5.10. The results of the statistics by citizenship are to be broken down into the following categories: ‘national citizen-
ship’, ‘citizenship of other EU Member States’, ‘citizenship of other European countries’, ‘citizenship of North
America’, ‘citizenship of Central and South America’; ‘citizenship of Asia’, ‘citizenship of Africa’, ‘other citizen-
ship’.

5.11. The results of the statistics by economic activity (NACE Rev. 1.1) are to be broken down into the following

NACE Rev. 1.1 divisions, groups, classes and aggregates (as listed in the Frascati manual):

‘23’,

‘22’,

‘21’,

‘23 + 24 + 25’,

‘01, 02, 05’, ‘10, 11, 12, 13, 14’, ‘15 to 37’, ‘15 + 16’, ‘15’, ‘16’, ‘17 + 18 + 19’, ‘17’, ‘18’, ‘19’, ‘20 + 21 + 22’,
‘20’,
‘27.1 to
‘23.2’,
27.3 + 27.51 + 27.52’, ‘27.4 + 27.53 + 27.54’, ‘28 to 35’, ‘28’, ‘29’, ‘29.11’, ‘29.3 + 29.4 + 29.5 + 29.6’, ‘29.4’,
29.6‘,
‘33.3’,
’31.6‘,
‘33.4’, ‘33.5’, ‘34’, ‘35’, ‘35.1’, ‘35.2’, ‘35.3’, ‘35.4 + 35.5’, ‘36’, ‘36.1’, ‘36.2 to 36.5’, ‘37’, ‘40, 41’, ‘45’, ‘50 to
99’, ‘50, 51, 52’, ‘55’, ‘60, 61, 62, 63, 64’, ‘64.2’, ‘60 to 64 less 64.2’, ‘65, 66, 67’, ‘70, 71, 72, 73, 74’, ‘72’,
‘72.2’, ‘73’, ‘74’, ‘74.2 + 74.3’, ‘75 to 99’, ‘01 to 99’.

‘24 less 24.4’,

‘23 less 23.2’,

‘24.4’,

’31.1‘,

‘33.2’,

’31.2‘,

’31.3‘,

’31.4‘,

’31.5‘,

‘32.2’,

‘32.3’,

‘33,1’,

’32.1,

’31‘,

’30‘,

’32‘,

‘25’,

‘26’,

‘27’,

‘33’,

‘24’,

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6. The concepts and definitions related to the statistics defined in this section are laid down in the Frascati manual.

7. On a voluntary basis, pilot studies will be undertaken by the Commission and/or Member States, in particular on the

following topics:

(a) further breakdowns of researchers in head count in the business enterprise sector;

(b) number of spin-offs or similar output indicators generated by researchers in the higher education sector;

(c) further breakdown of the category ‘source of funds abroad’ (listed under paragraph 5.5) into ‘foreign business
enterprise’, ‘other national governments’, ‘private non-profit organisations’, ‘higher education’, ‘European Commis-
sion’, ‘international organisations’, ‘others’;

(d) indicators on R & D globalisation.

Section 2

Statistics on government budget appropriations or outlays on research and development (GBAORD)

1. The following statistics are to be compiled:

Code

21.0

21.1

Title

Government R & D appropriations in the provisional budget (as approved by the Parliament at the
beginning of the budget year)

Government R & D appropriations in the final budget (revised budget approved during the budget
year)

2. All variables shall be reported annually.

3. The first reference year for which the statistics are to be compiled is the calendar year 2004. In so far as national
statistical systems require major adaptations, the Commission may grant derogations to Member States in respect of
the statistics compiled for the first reference year.

4. The results are to be transmitted within six months of the end of the calendar year of the reference period for vari-
able 21.0 (including all breakdowns) and within 12 months for variable 21.1 (including all breakdowns). The trans-
mission of results for the variable 21.1 in accordance with the nomenclature for the analysis and comparison of
scientific programmes and budgets (NABS) at subchapter level is optional.

5. Production of results

5.1. The results of the statistics compiled for the variables 21.0 and 21.1 are to be broken down in accordance to
the nomenclature for the analysis and comparison of scientific programmes and budgets (NABS) at chapter
level.

5.2. The results of the statistics compiled for the variables 21.1 are to be broken down in accordance to the nomen-
clature for the analysis and comparison of scientific programmes and budgets (NABS) at subchapter level.

6. The concepts and definitions related to the statistics defined in this section are laid down in the Frascati manual.

Section 3

Other statistics on science and technology

The work related to the other areas of statistics on science and technology shall in particular refer to the following
domains:

(a) statistics on human resources in science and technology (including gender and mobility statistics) (HRST): develop-
ment and implementation of a comprehensive framework for statistics on HRST principally by better exploiting
existing national and international data sources (also within the European statistical system). Particular attention is to
be given to gender aspects;

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(b) statistics on patents: development and implementation of a comprehensive framework for statistics on patents by
regularly producing international and national patent statistics and indicators based on the information available at
national and international patent offices;

(c) statistics on high-technology industries and knowledge-based services: Development and implementation of a
comprehensive framework for statistics on high-technology industries and knowledge-based services, principally by
better exploiting existing national and international data sources (also within the European statistical system). This
work also comprises the identification and classification of activities and products, the measurement of economic
performance of these activities and their contribution to performance of the whole economy;

(d) other statistics on science and technology: The additional development and implementation work is related, inter alia,
to Statistics on biotechnology, nanotechnology, technological balance of payments, further breakdowns of existing
statistics into size classes or other areas.

For the domains listed in this section, the necessary data will mostly be acquired through existing statistical or other
data sources (e.g. in the area of social or economic statistics).