ANNEX I

STATISTICS ON SCIENCE AND TECHNOLOGY

Section 1

Statistics on Research and Development

1.   The statistics are to be compiled for R & D activity performed in the whole economy. The results shall relate to the population of all R & D performing units classified in Sections A to U of the common statistical classification of economic activities as established by Regulation (EC) No 1893/2006 of the European Parliament and of the Council (1) (NACE Rev.2).

2.   The statistical units to be used in order to compile the statistics listed in paragraph 3 are: (a) enterprises for the statistics to be compiled at national level and (b) local units for the statistics to be compiled at regional level (NUTS 2). The definitions of the statistical units to be used (‘enterprise’ and ‘local unit’) are as set out in Council Regulation (EEC) No 696/93 of 15 March 1993 on the statistical units for the observation and analysis of the production system in the Community (2).

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

Code	Title	All sectors	By sector of performance
			Business enterprise sector	Higher education sector	Government sector	Private non-profit sector	Comments
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	Optional
	By principal economic activity (NACE)		1.11.3.1
	By major field of science and sex			1.11.4.2	1.11.4.3
	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 principal economic activity (NACE) and sex		1.11.7.1
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 principal economic activity (NACE) and sex		1.12.3.1
	By major field of science and sex			1.12.4.2	1.12.4.3
	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 group and sex	1.12.7.0	1.12.7.1	1.12.7.2	1.12.7.3	1.12.7.4	Optional
	By citizenship and sex	1.12.8.0	1.12.8.1	1.12.8.2	1.12.8.3	1.12.8.4	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	Optional
	By principal 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
	By principal economic activity (NACE)		1.14.3.1
	By major field of science and sex			1.14.4.2	1.14.4.3		Optional
	By region (NUTS 2)	1.14.5.0	1.14.5.1	1.14.5.2	1.14.5.3	1.14.5.4
	By region (NUTS 2) and sex	1.14.6.0	1.14.6.1	1.14.6.2	1.14.6.3	1.14.6.4	Optional
	By size class		1.14.7.1				Optional for the size classes 0 and one to nine employees
1.20	Intramural R & D expenditure
	Without breakdown	1.20.0.0	1.20.0.1	1.20.0.2	1.20.0.3	1.20.0.4	Yearly
	By source of funds	1.20.1.0	1.20.1.1	1.20.1.2	1.20.1.3	1.20.1.4
	By type of R & D	1.20.3.0	1.20.3.1	1.20.3.2	1.20.3.3	1.20.3.4	Optional for HES and for all sectors
	By type of costs	1.20.4.0	1.20.4.1	1.20.4.2	1.20.4.3	1.20.4.4
	By principal economic activity (NACE)		1.20.5.1.1
	By product field (NACE)		1.20.5.1.2				Optional
	By size class		1.20.6.1				Optional for the size classes 0 and one to nine employees
	By source of funds and size class		1.20.7.1				Optional for the size classes 0 and one to nine employees
	By major field of science			1.20.8.2	1.20.8.3
	By socioeconomic objective (SEO)				1.20.9.3		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

4.   All variables shall be provided every two years in each odd year, except those where the tables in paragraph 3 stipulate that they shall be provided annually.

5.   The first reference year for which the statistics listed in paragraph 3 are to be compiled is the calendar year 2012.

6.   The results are to be provided within 18 months of the end of the calendar year of the reference period. In addition, preliminary results for the variables with an annual frequency are to be provided within 10 months of the end of the calendar year of the reference period.

7.   Production of results

7.1.

The results of the statistics by occupation are to be broken down into ‘researchers’ and ‘other R & D personnel’.

7.2.

The results of the statistics by qualification are to be broken down into ‘PhD holders (ISCED 2011 level 8)’, ‘other university degrees and other tertiary diplomas (ISCED 2011 levels 5, 6 and 7)’ and ‘other qualifications’.

7.3.

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’.

7.4.

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’.

7.5.

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’. The category ‘abroad’ is to be further broken down into: ‘foreign business enterprises’, ‘European Commission’, ‘international organisations’ and ‘other sources’. For the business enterprise sector category ‘foreign business enterprises’ is to be further broken down into ‘foreign enterprises within the same group’ and ‘other foreign enterprises’.

7.6.

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

7.7.

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’.

7.8.

The results of the statistics by socioeconomic objective (SEO) are to be broken down in accordance with the nomenclature for the analysis and comparison of scientific programmes and budgets (NABS) at chapter level.

7.9.

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’.

7.10.

The results of the statistics by citizenship are to be broken down into the following categories: ‘national citizenship’, ‘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 citizenship’.

7.11.

The results of the statistics by principal economic activity and by product field (NACE Rev. 2) are to be broken down into the following NACE Rev. 2 divisions, groups and aggregates: ‘01, 02, 03’, ‘05, 06, 07, 08, 09’, ‘10 to 33’, ‘10, 11, 12’, ‘10, 11’, ‘12’, ‘13, 14, 15’, ‘13’, ‘14’, ‘15’, ‘16, 17, 18’, ‘16’, ‘17’, ‘18’, ‘19’, ‘20’, ‘21’, ‘22’, ‘23’, ‘24’, ‘25, 26, 27, 28, 29, 30’, ‘25’, ‘25.4’, ‘26’, ‘26.1’, ‘26.2’, ‘26.3’, ‘26.4’, ‘26.5’, ‘26.6’, ‘26.7’, ‘27’, ‘28’, ‘29’, ‘30’, ‘30.1’, ‘30.2’, ‘30.3’, ‘30.4’, ‘31’, ‘32’, ‘32.5’, ‘33’, ‘35, 36, 37, 38, 39’ ‘35, 36’, ‘37, 38, 39’, ‘41, 42, 43’, ‘45, 46, 47, 49, 50, 51, 52, 53, 55, 56, 58, 59, 60, 61, 62, 63, 64, 65, 66, 68, 69, 70, 71, 72, 73, 74, 75, 77, 78, 79, 80, 81, 82’, ‘45, 46, 47’, ‘49, 50, 51, 52, 53’, ‘55, 56’, ‘58, 59, 60, 61, 62, 63’, ‘61’, ‘62’, ‘63’, ‘64, 65, 66’, ‘68’, ‘69, 70, 71, 72, 73, 74, 75’, ‘71’, ‘72’, ‘72.1’, ‘72.2’, ‘77, 78, 79, 80, 81, 82’, ‘84, 85’, ‘86, 87, 88’, ‘86’, ‘87, 88’, ‘90, 91, 92, 93’, ‘94, 95, 96, 97, 98, 99’, ‘01 to 99’.

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

9.   On a voluntary basis, pilot studies will be undertaken by the Commission and/or Member States on additional variables and breakdowns of R & D statistics with a view to strengthening the scientific evidence base of R & D policy-making. The pilot studies are to be carried out in order to assess the relevance and feasibility of obtaining data, taking into account the benefits of the availability of the data in relation to the cost of collection and the burden on business. Topics of the pilot studies will be decided in close cooperation with the Member States.

Section 2

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

1.   The following statistics are to be compiled:

Code	Title
21.0	Government R & D appropriations in the provisional budget (as approved by the Parliament at the beginning of the budget year)
21.1	Government R & D appropriations in the final budget (revised budget approved during the budget year)
22.0	National public funding to transnationally coordinated R & D

2.   All variables shall be provided annually.

3.   The first reference year for which the statistics are to be compiled is the calendar year 2012.

4.   The results are to be provided within six months of the end of the calendar year of the reference period for variable 21.0 (including all breakdowns) and within 12 months for variables 21.1 and 22.0 (including all breakdowns).

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 with the nomenclature for the analysis and comparison of scientific programmes and budgets (NABS 2007) at chapter level.

5.2.

The results of the statistics compiled for the variable 21.1 are to be broken down: (a) in accordance with the nomenclature for the analysis and comparison of scientific programmes and budgets (NABS 2007) at subchapter level — optional; (b) into ‘project funding’ and ‘institutional funding’ — optional.

5.3.

The results of the statistics compiled for the variable 22.0 are to be broken down into ‘national contributions to transnational public R & D performers’, ‘national contributions to Europe-wide transnational public R & D programmes’ and ‘national contributions to bilateral or multilateral public R & D programmes established between Member State governments (and with candidate countries and EFTA countries)’.

6.   The concepts and definitions related to the statistics defined in this section are laid down in the Frascati Manual or other harmonised standards.

Section 3

Other statistics on science and technology

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

(a)

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

(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 exploiting existing national and international data sources more effectively (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 economy as a whole;

(d)

other statistics on science and technology: the additional development and implementation work is related, inter alia, to statistics on biotechnology, nanotechnology or other areas where science and technology is vital for meeting European Union priorities (like health, security, environment and climate change).

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).

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(1)   OJ L 393, 30.12.2006, p. 1.

(2)   OJ L 76, 30.3.1993, p. 1.

ANNEX II

INNOVATION STATISTICS

Section 1

The enterprise is the statistical unit to be used for the compilation of the statistics listed in Section 2. The definitions of the statistical units to be used (‘enterprise’) are as set out in Regulation (EEC) No 696/93.

Section 2

Member States shall compile the following innovation statistics:

Variable	Title	Comments
1	Number of innovation active enterprises	As absolute value and as a percentage of all enterprises
2	Number of innovating enterprises that introduced new or significantly improved products, new to the market/new to enterprise	As absolute value, as a percentage of all enterprises and as a percentage of all innovation active enterprises
3	Turnover from innovation, related to new or significantly improved products, new to the market	As absolute value, as a percentage of total turnover and as a percentage of total turnover from innovation active enterprises
4	Turnover from innovation, related to new or significantly improved products, new to the firm, but not new to the market	As absolute value, as a percentage of total turnover and as a percentage of total turnover from innovation active enterprises
5	Number of innovation active enterprises involved in innovation cooperation	As absolute value and as a percentage of innovation active enterprises
6	Innovation expenditure	As absolute value, as a percentage of total turnover and as a percentage of total turnover from innovation active enterprises
7	Number of innovation active enterprises that indicated highly important objectives of innovation	As absolute value and as a percentage of all innovation active enterprises — optional
8	Number of innovation active enterprises that indicated highly important sources of information for innovation	As absolute value and as a percentage of all innovation active enterprises — optional
9	Number of enterprises facing important hampering factors	As absolute value, as a percentage of all enterprises, as a percentage of all innovation active enterprises and as a percentage of non-innovation active enterprises — optional
10	Number of innovating enterprises that developed the innovations itself or together with the other enterprises/institutions	As absolute value and as a percentage of all innovation active enterprises

Beyond the statistics listed above, Members States may compile additional statistics (including their breakdowns) in accordance with the main themes listed in the Oslo Manual. Inclusion of these additional statistics will be decided in close cooperation with Member States and incorporated in the harmonised survey questionnaire.

Section 3

Market activity enterprises in the NACE Rev. 2 sections B, C, D, E, H, J, K and in the NACE Rev. 2 divisions 46 and divisions 71, 72 and 73 are to be covered. Member States have the option of further extending the coverage.

Section 4

All variables shall be provided every two years in each even year.

Section 5

The first reference year for which the statistics are to be compiled is the calendar year 2012.

Section 6

1.

All results are to be broken down by economic activity by NACE Rev. 2 sections, divisions or other aggregates and by the employment size classes as follows: NACE category/ size category 10-49 employees 50-249 employees above 249 employees total ‘B-C-D-E-46-H-J-K-71-72-73’ x x x x ‘B-C-D-E’ x x x x ‘B’ x x x x ‘C’ x x x x ‘10 to 12’       x ‘13 to 15’       x ‘16 to 18’       x ‘19 to 22’       x ‘20’       x ‘21’       x ‘23’       x ‘24’       x ‘25 to 30’       x ‘25’       x ‘26’       x ‘31 to 33’       x ‘D’ x x x x ‘E’ x x x x ‘36’       x ‘37 to 39’       x ‘46-H-J-K-71-72-73’ x x x x ‘46’ x x x x ‘H’ x x x x ‘49 to 51’       x ‘52 to 53’       x ‘J’ x x x x ‘58’       x ‘61’       x ‘62’       x ‘63’       x ‘K’ x x x x ‘64’       x ‘65’       x ‘66’       x ‘71-72-73’ x x x x ‘71’       x ‘72’       x ‘73’       x

2.

The results of variable 1 shall cover and be broken down into four types of innovations: process, product, organisational and marketing innovations. The results of variables 5 to 10 shall cover enterprises with process and/or product innovation activities. Coverage and breakdown by four types of innovations for the variables other than 1 will be decided in close cooperation with Member States and incorporated in the harmonised survey questionnaire.

3.

The results of variable 5 are to be broken down by type of innovation cooperation. The results of variable 6 are to be broken down by type of innovation expenditures. The results of variable 7 are to be broken down by type of objectives of innovation. The results of variable 8 are to be broken down by type of sources of information. The results of variable 9 are to be broken down by type of hampering factors. The results of variable 10 are to be broken down by type of developers. These breakdowns will be decided in close cooperation with Member States and incorporated in the harmonised survey questionnaire.

Section 7

1.

All results are to be provided within 18 months of the end of the calendar year of the reference period.

2.

Member States may, on a voluntary basis, provide the Commission (Eurostat) with individual data records covering all statistical units surveyed as part of the national innovation surveys.

Section 8

1.

The survey questionnaire, which is used for the innovation surveys carried out every two years and starting with the reference year 2012, shall cover the main themes listed in the Oslo Manual with regard to the measurement of innovation in enterprises.

2.

In close cooperation with the Member States, methodological recommendations for the innovation surveys shall be drawn up by the Commission (Eurostat) leading to a high level of harmonisation of the survey results. These recommendations shall cover at least the target population, the survey methodology (including regional aspects), the harmonised survey questionnaire, the collection, processing and provision of the data, and data quality requirements.

3.

Member States shall provide the Commission (Eurostat) with the necessary information concerning the national methodology used in national innovation statistics.

ANNEX III

REQUIREMENTS FOR QUALITY REPORTS

Section 1

Introduction

The quality reports shall contain both quantitative and qualitative indicators of the quality of the data, in the standard structure determined by the Commission in cooperation with the Member States. The Commission (Eurostat) shall provide the results for those quantitative indicators which can be calculated on the basis of data provided by Member States. Member States shall interpret and comment on them, in the light of their collection methodology and provide the remaining quantitative indicators as well as qualitative information.

Section 2

Timeline

Every second year, the Commission (Eurostat) shall, within 20 months after the end of the reference year (by the end of August), supply the Member States with draft standard quality reports, pre-filled with quality indicators and other information available to the Commission (Eurostat).

Every second year, Member States shall supply the Commission (Eurostat) within 22 months after the end of the reference year (by the end of October) with the completed standard quality reports.