CELEX: 51992PC0091
Language: en
Date: 1992-04-24
Title: Proposal for a COUNCIL DECISION establishing a multiannual programme for the development of Community statistics on Research, Development and Innovation

COMMISSION OF THE EUROPEAN COMMUNITIES
                                        C0M(92) 91   final
                                        Brussels, 21 ApriI 1992
                          Proposal for a
                         COUNCIL DECISION
          establishing a multiannnual programme for the
              development of Community statistics on
              Research, Development and Innovation
                  (presented by the Commission)
 ---pagebreak---                                                               -
                                        FXPLANATORY MEMORANDUM
Introduction
For some years now, the Community has operated a policy of promoting innovation and the market
for information of telecommunication equipments and services. This policy has been aimed at
addressing the issue of the great concern at the Community level about the competitiveness of the
EC industries in the world market in general, and with its major trading partners, the United States
and Japan, in particular.
Research and technological development, forming a significant part of the innovative process has
long been realised to be a key element of that competitiveness.
Yet, many indicators of competitiveness "come too late" as they most often report what has already
happened, or at best, what is currently happening in the industrial sector. On the other hand,
indicators emanating from research, technological development and innovation statistics are "early
warning signs" of what to expect within the industry in future. To policy makers, such indicators
are indispensable.
The Commission requires statistical information on RTD for policy purposes, in particular for the
completion of the Internal Market and the achievement of a European socio-economic space.
The statistical services of Member States co-ordinated by Eurostat have a significant role to play in
meeting the Community's need for these information.
Backzround Information
In 1989, the Scientific and Technological Research Committee drew the Commission's attention to
certain weaknesses in Community R&D statistics. A group of experts met at the initiative of the
Dutch delegation and came up with a number of suggestions on how to remedy the current
shortcomings, with the emphasis on finding better ways of meeting the needs of users.
In response to these suggestions and in an attempt to improve the supply of reliable and comparable
information on research, technological development and innovation, Eurostat took action in a
number of areas in 1990. Further developments are still needed.
These developments include:
        revision of the nomenclature (NABS) used for the annual survey;
        regionalization of certain sets of statistics of particular interest to the Community;
        information on human resources;
        information on private sector R&D;
        measuring the impact of RTD and technological innovation.
 ---pagebreak---                                                         - ? -
Aim of the Decision
The aim is to present the different measures required for the development of an integrated system of
information on research, technological development and innovation, and to link these measures to
one single implementing procedure which would guarantee their usefulness, consistency and
effectiveness.
More specifically, the aims of the programme set out in the Decision are
1.       to set up a Community reference framework for statistics on research, technological
         development and innovation, and,
2.       to define the concepts and methods, within the framework provided by the international
         organisations (such as OECD and UNESCO), to be applied in preparing, monitoring and
         assessing Community policies and in meeting the demands of national regional and local
         authorities, international organisations, economic operators, professional associations and
         other interested parties.
The following work shall be carried out under the programme.
a)       analysis and evaluation of user demand for statistics on research and development and
         innovation;
b)       developing a methodology for statistics on research and development and innovation;
c)       identification of existing information on research and development and innovation;
d)       setting up the organisational and technical components of a Community statistical
         information system for research and development and innovation;
e)       carrying out pilot surveys;
f)       developing basic statistical tools.
The programme should promote the convergence of national statistical systems for RTD and
innovation and lead to the creation of a Community system of statistical information.
 ---pagebreak---                                            Proposal for a
                           establishing a multiannniMl programme for the
                               development of Community statistics on
                                Research, Development and Innovation
                     THE COUNCIL OF THE EUROPEAN COMMUNITIES,
Having regard to the Treaty establishing the European Economic Community, and in particular
Article 213 thereof,
Having regard to the proposal from the Commission,
Having regard to the opinion of the European Parliament
Having regard to the opinion of the Economic and Social Committee,
Whereas there is the need for the reinforcement of statistics on research and development and
innovation in order to compare and analyse national policies;
Whereas the Council Resolution of 19th June 1989 on the implementation of a plan of priority
actions in the field of statistical information: Statistical Programme of the European Communities
(1989-1992) , highlighted the need for a comprehensive and coherent framework that will satisfy
Community statistical information requirements by ensuring the approximation of methods and a
common basis for concepts, definitions and standards;
Whereas this development forms part of the Statistical Programme of the European Communities
 1993-1997;
Whereas the design of policies trying to encourage progress requires accurate and factual
knowledge about trends in science and technology endeavours;
Whereas statistical indicators are devised in order to support the management of science and
technology policies in the Member States and the Community as a whole;
Whereas these statistical indicators are complementary and essential to other priority areas and
programmes of the EEC e.g. the programme SPRINT                 concerning innovation and technology
transfer and the regional programme STRIDE ,
Whereas the specific programmes needed for the implementation of the Framework Programmes for
Community Research and Technological Development, and the Framework Programmes themselves
need the report of a statistical information system on RTD;
Whereas the amount of existing statistical information varies in each Member State and the data that
exist are not always comparable;
1
     OJ No C 161, 28.06.1989, p. 1
2
     OJ No L 112, 25.04.1989, p. 12
3
     OJ No C 196, 04.08.1990, p. 18
 ---pagebreak---                                                               4-
Whereas the implementation of a statistical information system for research and development and
innovation necessitates a sequence of interrelated actions starting from the assessment of the needs
up to the dissemination of information, and whereas this action should be organized in a coherent
framework;
Whereas the timely delivery of suitable comparable data can only be guaranteed by appropriate
legal provisions and these provisions have to be prepared together with the relevant Commission
services; whereas the provisions can most efficiently be met by Commission measures prepared
following consultation with Member States;
Whereas to ensure their usefulness and comparability, the details of data to be provided by the
Member States to the Commission should be set by the Commission in conformity with agreed
definitions and methods established by OECD, UNESCO, and other international organisations;
Whereas the data collection procedure for the industry and administrations should be simplified as
much as possible while still maintaining at the same time the quality of the data, which is made
possible by the development of appropriate basic statistical tools;
Whereas it is essential that developments in official research and development and innovation
statistics are coordinated to meet essential international, community, national and regional needs at
minimum public and private cost;
Whereas this coordination can most conveniently and effectively be done within the established
procedures of cooperation between the Commission, the statistical services of international
organisations and those of Member States; whereas it is therefore appropriate to adopt a 5 year
programme to ensure this coordinated development;
Whereas consultation with Member States on the carrying out of this programme can be made
through the Committee on the Statistical Programme of the European Communities set up by
Council Decision 89/382/EEC of 19 June 1989 , and whereas that Committee can also be called on
to give its opinion on the Commission's specific proposals for collection and submission of
statistical data by Member States;
Whereas the Scientific and Technological Research Committee (CREST)5 has given its opinion;
4
      OJ No L 181, 28.06.1989, p. 47
5
      OJ No C 7, 29.01.1974, p. 2
 ---pagebreak---                                                           7
                                  HAS ADOPTED THIS DECISION:
                                               Article 1
The multiannual programme (1993-1997) for the development of Community statistics on research
and development and innovation (hereinafter referred to as "the programme") is hereby established.
                                               Article 2
The objectives of the programme referred to in Article 1 are as follows:
(a)     to set out a Community reference framework for statistics on research and development and
        innovation defining the most appropriate concepts and methods for supporting the
        corresponding Community policies, and for satisfying the needs of national, regional and
        local administrations, international organisations, economic operators, professional
        associations and the general public;
(b)     to establish a Community statistical information system for research and development and
        innovation;
(c)     to promote and support harmonization of statistics on research and development and
        innovation in the Member States;
(d)     to facilitate the dissemination of comparable information.
                                               Article 3
With a view to achieving the objectives referred to in Article 2, the following work shall be carried
out by the Commission in line with the action plan set out in the Annex:
(a)     analysis and evaluation of user demand, subject to its feasibility and based on cost
        efficiency in order to define actions and priorities, for statistics on research and
        development and innovation;
(b)     improvement, where necessary, of existing methodological framework;
(c)     identification of existing statistical information on research and development and
        innovation;
(d)     setting up the organizational and technical components of a Community statistical
        information system for research and development and innovation;
(e)     carrying out pilot surveys and
(f)     developing basic statistical tools.
The Commission shall make use of existing sources of information, instruments and procedures to
carry out these tasks.
 ---pagebreak---                                                             - 6
                                               Article 4
The Member States shall ascertain and analyse the needs of the main national users for Community
data on Research, Technological Development and Innovation Statistics and transmit this
information to the Commission within eight months after the adoption of this Decision. The
Commission shall coordinate these activities.
                                               Article 5
For the work referred to in Article 3, Member States shall transmit to the Commission, existing
statistics on research and development and innovation and any information it may require
concerning the methodology used for collecting such statistics. These shall include any data which
are claimed as confidential under national legislation; these data should be clearly marked as such.
                                               Article 6
(a)       The Commission shall present an interim report to the Council in 1995, accompanied if
          necessary by proposals it considers appropriate, particularly on the methodological
          framework referred to in Article 3 (b) and on the implementation of a system based on that
          methodology, for the regular collection of harmonized statistics on research, development
          and innovation, as well as to cover the requirements of Community policy on research and
          technological development (RDT) and innovation, and the requirement for regional data to
          aid structural policies.
(b)       The Commission shall present a final report in 1997 to evaluate, in 1997, the results of the
          work referred to in Article 3.
                                               Article 7
This decision is addressed to the Member States.
Done at Brussels                                          For the Council
 ---pagebreak---                                                         -    /
                                           Anm
                                  Plan of action for the
                       development of Community Statistics on
                       Research, Development and Innovation
a) Analysis and evaluation of user demand for statistics on research, development and
   innovation.
   The aim is to collect information on, and analyse the requirements of the main users, i.e.
   the Community institutions, the CREST, the national, regional and local administrations,
   the international organisations and the economic operators.
   In order to facilitate long term planning and a convergence of statistical actions at
   international, Community, national and regional levels, the analysis will take into account
   long term requirements.
b) Improvement, where necessary, of existing methodological framework.
   The aim will be a reference framework for statistics on research and development and
   innovation, both for existing data at national level and for additional data collection at
   Community level. This reference framework will increase the comparability of data between
   the various Member States.
   Further development of the methodology will be done in close collaboration with, and
   within the framework provided by OECD, in order to take benefit of what has already been
   done by that institution in the field and in order to guarantee comparability with third
   countries. Where an adequate or adoptable methodology does not already exist, the
   Commission shall take the lead and initiative in developing the framework to cater for the
   special needs of the Community.
   The methodology will be used as the basic harmonization tool for the development of
   official Community statistics on research and development and innovation and as a
   recommended framework for non-official statistics.
   The further methodological development will be formulated in manuals which will be
   adopted at the Community level.
c) Identification of existing statistical information on research and development and
   innovation.
   In order to develop the methodology and the information system, examinations must be
   made to reveal the amount of existing information on research and development and
   innovation. This investigation is aimed at showing the extent of accessible data in the
   Member States and the differences between the Member States. This knowledge is
   necessary for the collection of identical and comparable data. It stresses and highlights
   where to make special effort to promote and support the harmonization of statistics on
   research and development and innovation.
 ---pagebreak--- d) Setting up the organizational and technical components of a European statistical
   information system for research, development and innovation.
   Priorities will be given to the following:
   Resources:
            Modes of financing research and development activities (both private and public).
            Research and development personnel by qualification.
             R&D expenditure by sector (of enterprise, the state, higher education).
   Results:
            Technological innovation in the enterprises
             Exchange of goods and services of high technology
   On a circumstantial basis, the works are also undertaken on the direct repercussions of the
    research on patents and bibliography.
   Data will be classified according to European nomenclatures (NABS, NACE Rev.l...).
   Special attention will be given to the regional dimension.
    Data are stored in data bases which will contain:
    1)       harmonised data on R&D and Innovation;
    2)       national data collected according to national practices not yet fully harmonised;
    3)       data collected by the Commission.
e)  Carrying out pilot surveys.
    Improving the availability of data on research and development and innovation requires
    sometimes the carrying out of pilot surveys in order to test the feasibility of some data
    collection exercises. The pilot surveys will prepare the way for regular data collection
    based on the methodology. These pilot surveys will be carried out in accordance with the
    concepts and methods developed in the methodology.
0   Developing the basic statistical tools.
    Basic statistical tools must be developed in order to simplify as far as possible data
    collection procedures for suppliers, whilst maintaining data quality. These statistical tools
    will include registers, EDI techniques (Electronic Data Interchange), classification systems,
    sampling, questionnaires, survey processing tools, data analysis systems.
 ---pagebreak---                                   Plan of aril— for the
                       development of Community Statistics on
                       Research, Development and Innovation
a) Analysis and evaluation of user demand for statistics on research, development and
   innovation.
   The aim is to collect information on, and analyse the requirements of the main users, i.e.
   the Community institutions, the CREST, the national, regional and local administrations,
   the international organisations and the economic operators.
   In order to facilitate long term planning and a convergence of statistical actions at
   international, Community, national and regional levels, the analysis will take into account
   long term requirements.
b) Improvement, where necessary, of existing methodological framework.
   The aim will be a reference framework for statistics on research and development and
   innovation, both for existing data at national level and for additional data collection at
   Community level. This reference framework will increase the comparability of data between
   the various Member States.
   Further development of the methodology will be done in close collaboration with, and
   within the framework provided by OECD, in order to take benefit of what has already been
   done by that institution in the field and in order to guarantee comparability with third
   countries. Where an adequate or adoptable methodology does not already exist, the
   Commission shall take the lead and initiative in developing the framework to cater for the
   special needs of the Community.
   The methodology will be used as the basic harmonization tool for the development of
   official Community statistics on research and development and innovation and as a
   recommended framework for non-official statistics.
   The further methodological development will be formulated in manuals which will be
   adopted at the Community level.
c) Identification of existing statistical information on research and development and
   innovation.
   In order to develop the methodology and the information system, examinations must be
   made to reveal the amount of existing information on research and development and
   innovation. This investigation is aimed at showing the extent of accessible data in the
   Member States and the differences between the Member States. This knowledge is
   necessary for the collection of identical and comparable data. It stresses and highlights
   where to make special effort to promote and support the harmonization of statistics on
   research and development and innovation.
 ---pagebreak---                                             -40-
d) Setting up the organizational and technical components of a European statistical
   information system for research, development and innovation.
                                      #«t * .'t m.y-i - •"•- •- -
   Priorities will be given to the following:...
   Resources:
             Modes of financing research and development activities (both private and public).
             Research and development personnel by qualification.
             R&D expenditure by sector (of enterprise, the state, higher education).
   Results:
             Technological innovation in the enterprises
             Exchange of goods and services of high technology
   On a circumstantial basis, the works are also undertaken on the direct repercussions of the
   research on patents and bibliography.
   Data will be classified according to European nomenclatures (NABS, NACE Rev.l...).
   Special attention will be given to the regional dimension.
   Data are stored in data bases which will contain:
    1)       harmonised data on R&D and Innovation;
   2)        national data collected according to national practices not yet fully harmonised;
   3)        data collected by the Commission.
e) Carrying out pilot surveys.
   Improving the availability of data on research and development and innovation requires
   sometimes the carrying out of pilot surveys in order to test the feasibility of some data
   collection exercises. The pilot surveys will prepare the way for regular data collection
   based on the methodology. These pilot surveys will be carried out in accordance with the
    concepts and methods developed in the methodology.
0   Developing the basic statistical tools.
    Basic statistical tools must be developed in order to simplify as far as possible data
    collection procedures for suppliers, whilst maintaining data quality. These statistical tools
    will include registers, EDI techniques (Electronic Data Interchange), classification systems,
    sampling, questionnaires, survey processing tools, data analysis systems.
 ---pagebreak---                                              -H-
                                      FINANCIAL STATEMENT
                               SECTION 1: FINANCIAL IMPLICATIONS
       1.     Title of operation
              Statistical Programme of the EC (1993-97)
       2. Budget headings involved
              - Financial prospects - Heading 4. Other policies.
              - Subsection B-5 - Consumers, internal market, industry and
                  innovation.
              - Chapter B5-60 - Statistical information policy connected with the
                  completion of the internal market and in support of Community
                  policies.
                  Line B5 - 6000                     (former B5-600, 10, 20, 30)
                  Line B8 - 5900                     (former B8-5900, 10, 20, 30)
        3.    Legal basis
              Article 213 of the Treaty
        4.    Description of operation
        4.1 Specific objectives of operation
               a) analysis and evaluation of the demand from users of statistics
                   on research, development and innovation;
               b) improvement, where necessary, of the existing methodological
                   framework;
               c) identification of the statistical information available on
                   research, development and innovation;
               d) establishment of the organizational and technical components of
                   a European system for statistical information on research,
                   development and innovation;
               e) pilot surveys;
               f) development of basic statistical tools.
        4.2 Duration
               One-off
Dor OS/8727EN92L00
 ---pagebreak---                                               -{%•-
        4.3 Target population
               - The beneficiaries of this operation are: the Community
                   Institutions, the governments of the Member States, the economic
                   and social decision-makers in the Member States, research
                   institutes, universities and the media.
        5.     Classification of expenditure or of revenue
        5.1 NCE
        5.2 DA/NDA
        5.3 Type of income envisaged: NONE
        6.      Type of expenditure or revenue
        6.1 100% subsidy
                NO -     the Commission's contribution represents only a small part
                         of the actual cost of collecting the data, i.e. some 1-5%,
                         since the Commission's statistical work is subsidized to a
                         very large extent. Nevertheless, the expenditure is
                         essential to provide an incentive for standardizing the
                         data collected, processing them and forwarding them data to
                         Eurostat.
         6.2 Subsidy for cofinancing with other sources in the public and/or
                private sector
                YES       - cofinancing with the public sector (budgets of the
                          national statistical services) (income from sales of
                          statistical products and financing of surveys by
                          businesses).
         6.3 Interest subsidy
                NO
         6.4 Other
                NONE
         6.5 Should the operation prove an economic success, is there provision
                 for all or part of the Community's financial contribution to be
                reimbursed?
                NO
          6.6 Will the proposed operation cause any change in the level of
                 revenue?
          7.     Financial impact on appropriations for operations (Part B of the
                 budget)
Doc. OS/8 727EN92L00
 ---pagebreak---                                               • * *
        7.1       Method of calculating total cost of operation:
                  - PDB 1993                         Total: ECU 400 000
               including
                  - Provision of services (studies, analysis, data management)
                                                              ECU 320 000
        7.2 Proportion of mini-budget in total cost of operation:
                    - B8-5900 for                            ECU 80 000
        7.3 Indicative schedule of commitment and payment appropriations
               Financial year           C.A.                 P.A. (ECU '000)
               1993                     400                  280
               1994                                          120
         8.    What anti -fraud measures are planned in the proposal for the
               operation?
               a) For the contracts and agreements entered into by the Commission
                    payment is solely on results.
               b) The statistical information is considered to be an objective
                    instrument for evaluating Community action programmes and thus
                    contributes to consolidating the anti-fraud provisions.
Doc. OS/8727EN92L00
 ---pagebreak---                                               -ih-
                              SECTION 2: ADMINISTRATIVE EXPENDITURE
                                      (Part A of the budget)
        1. Will the proposed operation involve an increase in the number of
        Commission staff?
                    DG unit mainly involved in the work (in accordance with the
                    Directory as at 1 January 1991)
                    GO (sector attached to the Director-General)
                    Staff: two persons on 1 January 1991,
                    three requested from 1993 budget
                    one requested from 1994 budget
                    two requested from 1995 budget.
        2.     Indicate the amount of staff and administrative expenditure
               involved in the proposed operation:
               proportional to the staff attached to the operation, two persons on
               1 January 1992.
Doc. OS/8727EN92L00
 ---pagebreak---                                               -4T-
                         SECTION 3: ELEMENTS OF COST/EFFICIENCY ANALYSIS
        1.    Objectives and cohesion with financial programming
        1.1 Specific objective(s) of proposed operation:
              Statistics in the context of research and development:
              Public and private statistics on research and development,
               statistics on technological innovation
        1.2 Is the operation incorporated in the financial programming of the
               D6 for t! --» years concerned?
               YES
        1.3 To which broader objective defined in the DG's financial
               programming does the objective of the proposed operation
               correspond?:
               General objective: EC statistical action 1993-1997
        2.     Grounds for the operation
         2.1 Reasons for choosing this operation rather than an alternative
               which would achieve the same objectives
               This operation will achieve four objectives:
                   - it gives the Institutions the quantitative data for drawing up,
                  monitoring and evaluating any plan of action in accordance with
                  Article 3 (2) of the Financial Regulation: "it therefore
                   contributes to the more effective and appropriate use of the
                   Community budget".
                   - it gives the national governments comparable statistics on all
                   the Member States for evaluating and monitoring the progress of
                   Community and national R&D programmes and policies.
                   - it provides political, economic and social bodies in the
                   Community with statistical information on which to make and
                   evaluate their decisions in their respective fields of action: it
                    is therefore an essential part of the European information
                   market.
                   - it makes available to the scientific community the information
                    needed to enhance its analysis and knowledge of economic and
                    social life in the Community as regards research, development and
                    innovation.
Doc. OS/8727EN92L00
 ---pagebreak---                                              -a-
                 a)     cost:
                 - The finance for this operation comes mainly from the Member
                 States (Section 1, item 6.1), which have a well-established
                 structure for collecting and processing data. If the Commission
                 had to finance the whole of this programme, the cost would be
                 extremely high for a product which would certainly be less
                  reliable.
                  b)    spin-off effect:
                  - Statistical information is collected by a highly decentralized
                  system, in which the national systems have a responsibility at
                  individual Member State level. The Community statistical
                  programme is becoming an integral part of the national
                  statistical programmes, thereby contributing to establishing a
                  European statistical area.
                  c)    multiplier effect:
                  - Effect of drawing the national statistical systems into a
                  European statistical area and thus into further integration at
                  Community level.
        3.     Monitoring and evaluation of the operation
        3.1 Performance indicators selected:
               - monitoring the operational objectives using the TBPS (Statistical
               Programme Monitoring File), interim reports and the annual report.
         3.2 Annual progress report on programme:
               The statistical programme is continuously monitored by a TBPS
                (Statistical Programme Monitoring File), which lays down for each
               general operation the operational objectives and resources required
               on the basis of the programming/execution principle. At the
               beginning of each year Eurostat produces a report on the progress
               of its programme during the preceding year. This report falls into
               three parts, as follows:
                   - the first summarizes, for each policy, the main achievements in
                   the year;
                   - the second describes, for each operation, the objectives laid
                   down and the results achieved;
                   - the third gives statistics on the utilization of human,
                   budgetary, computer and administrative resources during the
                   preceding year.
         The Council Decision provides for a report on the execution of the
         programme.
         Annexes:
         1)     Mini-budget
         2)     Timetable
Dec. OS/8727EN92L00
 ---pagebreak---                                                                                                                            1
                                                                                                                    •
                                                                                                                  *
                                                                                                                           •
                                                                                                                 Annex 1
                                                            IJUDGET LINES WITH MINI-BUDGETS
                                                                                                             ECU '000
                                                                                                            Planned number
Budget  TITLE                    Total mini-budget  ALLOCATION CODES
                                                                                                            of staff
line
                                                       Expenditure on infrastructure
                                                       20        30        40           41          50
        Operation support        (For information) Exp. on    Operating Direct     DG XX quota  Ixp. on
                                                     •taff       exp.   exp. (DGs)     (1)     information
        appropriations - B5-6000
                                                                                                   and                     m
                                                                                               publications
B8-5900 EC Statistical Programme  80                60                              20                          1
        1993
 ---pagebreak---                                           -w
                                                                       Annex 2
        The indicative schedule of commitment and payment appropriations is as
        follows:
               Art. B5-6000 - DA -
               ECU '000
                  COMMITMENTS                     PAYMENTS
                                                  1993       1994
                                                                  ;
                   4. 1993 appropriations  400    280        120
                                                           •
Doc. OS/6727EN92L00
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                                                                     ISSN 0254-147S
                                                               COM(92) 91 final
                                                      DOCUMENTS
EN                                                                              17
                                 Catalogue number: CB-CO-92-104-EN-C
                                                             ISBN 92-77-42031-6
Office for Official Publications of the European Communities
I ^2985 Luxembourg
 ---pagebreak---  ---pagebreak---  ---pagebreak---  ---pagebreak---                                                                                     J
                                                                     ISSN 0254-1475
                                                               COM(92) 91 final
                                                      DOCUMENTS
EN                                                                              17
                                 Catalogue number: CB-CO-92-104-EN-C
                                                             ISBN 92-77-42031-6
Office for Official Publications of the European Communities
L-2985 Luxembourg