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Statistics on R&D Activities in the Private Non-Profit Institutions Sector

• 1Contact
  • 1.1Contact organisation
    National Statistics Institute of Spain
    
  • 1.5Contact mail address

    Avenida de Manoteras 50-52 - 28050 Madrid

    
    
• 2Metadata update
  • 2.1Metadata last certified
    23/11/2023
  • 2.2Metadata last posted
    27/11/2020
  • 2.3Metadata last update
    23/11/2023
• 3Statistical presentation
  • 3.1Data description

    The statistics regarding R&D activities in the PNPI sector appeared with the objective of measuring the economic and human resources (inputs) intended for these activities so as to satisfy two purposes:
    - Providing a tool for the management, planning, decision and control in terms of national science policies.
    - Providing statistical institutions with the information they request, which is obtained in accordance with the international regulations that allow comparability among several countries.

    Its methodology follows the recommendations proposed by OECD in the Frascati Manual https://www.oecd.org/sti/inno/frascati-manual.htm which is one of the bases to better understand the role of science and technology. Moreover, it provides internationally accepted definitions and classifications of R&D.

  • 3.2Classification system
    • Clasificaciones utilizadas

      Analysis units are grouped by sectors, whose content are largely based on the System of Spanish National Accounts, with the difference that the households have been grouped within the sector of Private Non-Profit Institutions.

      
      
      

      Further information may be obtained in the methodology of these statistics: http://ine.es/dyngs/INEbase/es/operacion.htm?c=Estadistica_C&cid=1254736176754&menu=metodologia&idp=1254735576669

  • 3.3Sector coverage

    It collects all PNPIs of the national territory.

  • 3.4Statistical concepts and definitions
    • Expenditures in activities of internal R&D
      Defined as internal expenditure on R&D are all the amounts earmarked for R&D activities, carried out within the research department or unit, irrespective of the source of the funds. Expenditure incurred outside the department, but related to internal support tasks of R&D (acquisition of supplies for R&D, for example) is also included as internal R&D expenditure.
    • Occupation of R&D personnel
      R&D personnel are classified according to the following categories:
      · Researchers
      These are the scientists and engineers involved in the concept or creation of new knowledge, products, processes, methods and systems in the management of the corresponding projects.
      Also included are managers and administrators dedicated to the planning and management of the scientific and technical aspects of the work of the researchers, and which normally have a category higher than or equal to that of persons employed directly as researchers, often dealing with former researchers or part-time researchers.
      It includes graduate students with a study wage/grant who carry out R&D activities as well.
      As a general rule, they possess advanced university education, but for the purposes of this study, also included as researchers are those persons who, being devoid of the aforesaid qualification, occupy positions of this nature.
      · Technicians
      Technicians and similar personnel are persons whose main tasks require knowledge and technical experience in one or more fields: engineering, biological and physical sciences, or social sciences and humanities. They participate in R&D projects, carrying out scientific and technical tasks, applying operational principles and methods, generally under the supervision of researchers. Similar personnel carry out tasks corresponding to social sciences and humanities under the supervision of researchers.
      Their tasks are mainly the following:
      - search for bibliographic material and discover appropriate information sources in archives and libraries
      - prepare computer programmes
      - prepare the material and equipment necessary for carrying out experiments, tests and analyses
      - perform experiments, tests and analyses
      - carry out measurements and calculations and prepare tables and graphs
      - carry out surveys and interviews
      - ensure logistic support to researchers.
      Normally they possess intermediate-level university education (technical engineers and university diplomas), but others do not, although they occupy positions of an comparable level. It can also include top-level personnel entrusted with the use of very sophisticated appliances, but they are distinguished from researchers in that the latter are in charge of directing or orienting the research tasks.
      · Assistants (auxiliaries)
      Auxiliary staff includes workers, whether qualified or unqualified, and secretarial and office personnel who participate in the realisation of R&D projects, or who are directly related to said projects.
      This category includes all managers and administrators mainly occupied in financial matters, personnel management and administration in general, provided that their activities are directly related to R&D tasks.
    • Personnel employed in R&D activities
      R&D personnel is defined as all personnel directly employed in R&D activities, without distinguishing their level of responsibility, as well as those who supply services directly linked to R&D work, such as managers, administrators and office personnel.
      Persons rendering indirect services, such as canteen, security, maintenance,etc. are excluded, even though their wages must be accounted for as other current expenditure on R&D.
      Personnel data may be measured in two ways: in the number of individuals and in the personnel on a full-time equivalent (the sum of the personnel working full-time, plus the sum of the fractions of time of the personnel working part-time).
    • PNPI sector
      This sector includes those private non-profit institutions that are outside of the market and serving households (that is, serving the public). It also includes individuals and households.
      Included within this sector are institutions such as professional associations or cultural societies, charity organisations, aid or assistance bodies, trade unions, consumer associations,
      By agreement, this sector covers the residual R&D activities of individuals (households). R&D tasks of individuals must solely be carried out in their free time, within their own facilities and with their own resources, or with the aid of a non-refundable subsidy.
      Excluded from this sector are the following private non-profit institutions:
      - those whose main activity is in the service of companies.
      - those that mainly serve the public administrations.
      - those which are completely or mainly financed and controlled by the public administrations.
      - those which offer tertiary education services or are controlled by tertiary education institutes.
    • Private Non-Profit Institution (PNPI)
      Private non-profit institutions are those ones that provide individual or group services to households, either free-of-charge, or at below-market prices. These institutions are financed with fees, contributions or donations from their members or sponsors, and with subsidies granted by companies and Public Administrations.
    • Purchase of R&D (external R&D)
      It includes funds paid to research services firms or other units performing R&D under contract. It excludes the internal funds to support a unit's active participation in collaborative R&D projects, these projects should be recorded as part of a unit's intramural performance.
    • Research and experimental development (R&D)
      Research and experimental development (R&D)
      
      It is defined as the set of creative work that is systematically undertaken for the purpose of increasing the volume of knowledge, including the knowledge of man, culture and society, as well as the use of this sum of knowledge to conceive new applications.
      
      For an activity to be an R&D activity, it must satisfy five core criteria.
      The activity must be: novel, creative, uncertain, systematic, transferable and/or reproducible.
      
      R&D encompasses three types of activity:
      
      a) Basic research. This consists of original, experimental or theoretical work that is mainly undertaken to obtain new knowledge on the essentials of the phenomena and observable facts, without being directed at a specific application or use.
      Basic research analyses properties, structures and relationships, for the purpose of formulating and contrasting hypothesis, theories or laws. The researcher may not know of real applications when performing the research. The results of basic research are not normally offered for sale, but rather, are generally published in scientific magazines or are directly disseminated among institutions or interested persons.
      
      b) Applied research. This also consists of original work undertaken with the objective of acquiring new knowledge. However, it is mainly directed towards a specific practical objective.
      Applied research is undertaken to determine the possible uses of the results of basic research, or to determine new methods or forms for attaining specific predetermined objectives. This type of research implies taking into consideration all existing knowledge, in depth, with the intention of solving specific problems. This research facilitates putting ideas into practice.
      
      c) Technological development. This consists of systematic work based on existing knowledge, obtained through research and/or practical experience, directed at the manufacture of new materials, products or devices; to establish new processes, systems and services; or to the significant improvement of those already existing.
    • Sex
      Sex refers to the biological sex of the person. According to the WHO, "sex" refers to biological and physiological features defining to men and women, whereas "gender" refers to the roles, behaviour, activities and attributes constructed socially that a specific culture regards as appropriate for men and women. In accordance with this description, the WHO regards "man" and "woman" as sex categories, whereas "male" and "female" are gender categories.
    • Source of R&D funds
      Total expenditure on activities of internal R&D must be disaggregated by source of the received funds for R&D, we distinguish between internal funds and external funds.
      It entails those transfers of resources that an unit, organisation or sector has received from another unit, organisation or sector for the realisation of activities of internal R&D.
      Two conditions must be met for this financial flow to be correctly identified:
      - a direct transfer of resources must exist
      - this transfer should be foreseen at the same time and truly be used for R&D activities.
      The transaction may be in the form of a contract, financial assistance or a donation, and may consist of a monetary contribution or the contribution of other resources (for example, personnel or material).
    • Staff on a full-time equivalent (FTE) dedicated to R&D
      This is all staff (working full-time, plus the sum of the fractions of time of the staff working part-time) employed in R&D activities, without distinguishing their level of responsibility, as well as those who supply services directly linked to R&D work, such as managers, administrators and office staff.
      Since the measurement criterion is in FTE, staff on a full-time equivalent (full-time) plus the sum of plus the sum of the fractions of time of the staff working part-time are taken into account.
  • 3.5Statistical unit

    The statistical unit is the Private Non-Profit Institution (PNPI).

  • 3.6Statistical population

    PNIPs that carry out activities related to research and experimental development in any scientific field and are located in the national territory.

  • 3.7Reference area

    It covers the entire national territory.

  • 3.8Time coverage

    These statistics are carried out annually.

    Results are available from reference year 1973.

  • 3.9Base period

    The Statistics regarding R&D Activities in the PNIP sector has results about R&D activities (including occasional R&D) from reference year 2002. Due to the revision of the 2002 Frascati Manual, the field covered by this sector has decreased noticeably. The year 2002 is the base period.

• 4Unit of measure
  • 4.1Unit of measure

    Economic data are provided in thousand euros.

    R&D personnel data are provided in headcount and in full-time equivalence.

• 5Reference period
  • 5.1Reference period

    The main reference period of these statistics is the year immediately prior to the year in which the data is collected. For the expenditure characteristic, the reference period is the natural year. In terms of personnel, in order to determine the number of persons who work in R&D, both the annual average and the full-time equivalent of the personnel who carry out R&D activities (persons/year) are used.

    Data referred to the period: Anual A: 2022

• 6Institutional mandate
  • 6.1Legal acts and other agreements

    The compilation and dissemination of the data are governed by the Statistical Law No. 12/1989 "Public Statistical Function" of May 9, 1989, and Law No. 4/1990 of June 29 on “National Budget of State for the year 1990" amended by Law No. 13/1996 "Fiscal, administrative and social measures" of December 30, 1996, makes compulsory all statistics included in the National Statistics Plan. The National Statistical Plan 2009-2012 was approved by the Royal Decree 1663/2008. It contains the statistics that must be developed in the four year period by the State General Administration's services or any other entity dependent on it. All statistics included in the National Statistics Plan are statistics for state purposes and are obligatory. The National Statistics Plan 2021-2024, approved by Royal Decree 1110/2020, of 15  December, is the Plan currently implemented. This statistical operation has governmental purposes, and it is included in the National Statistics Plan 2021-2024. (Statistics of the State Administration).

    
    

    "Regulation (EU) 2019/2152 of the European Parliament and of the Council of 27 November 2019 on European business statistics" https://www.ine.es/normativa/leyes/UE/minine.htm#30059

  • 6.2Data sharing
    The exchanges of information needed to elaborate statistics between the INE and the rest of the State statistical offices (Ministerial Departments, independent bodies and administrative bodies depending on the State General Administration), or between these offices and the Autonomic statistical offices, are regulated in the LFEP (Law of the Public Statistic Function). This law also regulates the mechanisms of statistical coordination, and concludes cooperation agreements between the different offices when necessary.
    

    It is carried out with the collaboration of the Autonomous Communities.

• 7Confidentiality
  • 7.1Confidentiality - policy

    The Statistical Law No. 12/1989 specifies that the INE cannot publish, or make otherwise available, individual data or statistics that would enable the identification of data for any individual person or entity. Regulation (EC) No 223/2009 on European statistics stipulates the need to establish common principles and guidelines ensuring the confidentiality of data used for the production of European statistics and the access to those confidential data with due account for technical developments and the requirements of users in a democratic society

    
    
  • 7.2Confidentiality - data treatment
    INE provides information on the protection of confidentiality at all stages of the statistical process: INE questionnaires for the operations in the national statistical plan include a legal clause protecting data under statistical confidentiality. Notices prior to data collection announcing a statistical operation notify respondents that data are subject to statistical confidentiality at all stages. For data processing, INE employees have available the INE data protection handbook, which specifies the steps that should be taken at each stage of processing to ensure reporting units' individual data are protected. The microdata files provided to users are anonymised.
    

    The questionnaire sent to the collaborating units notifies that "The personal information obtained by the statistical services, both directly from the respondents and from administrative sources, will be subject to protection and are covered by statistical secrecy (Article. 13.1 of the Law on Public Statistical Function of 9 May 1989, (LFEP)). All statistical personnel has the obligation of preserving statistical secrecy (art. 17.1 of LFEP)”

• 8Release policy
  • 8.1Release calendar

    The advance release calendar that shows the precise release dates for the coming year is disseminated in the last quarter of each year.

    
    
  • 8.2Release calendar access

    The calendar is disseminated on the INEs Internet website (Publications Calendar)

    
    
  • 8.3User access

    The data are released simultaneously according to the advance release calendar to all interested parties by issuing the press release. At the same time, the data are posted on the INE's Internet website (www.ine.es/en) almost immediately after the press release is issued. Also some predefined tailor-made requests are sent to registered users. Some users could receive partial information under embargo as it is publicly described in the European Statistics Code of Practice

    
    
• 9Frequency of dissemination
  • 9.1Frequency of dissemination

    Data is disseminated annually.

• 10Accessibility and clarity
  • 10.1News release

    The results of the statistical operations are normally disseminated by using press releases that can be accessed via both the corresponding menu and the Press Releases Section in the web

    
    
  • 10.2Publications

    The results of these statistics are disseminated through the INE website and some results are collected in publications such as the Annual Yearbook, INE Figures, etc.

  • 10.3On-line database

    INEbase is the system the INE uses to store statistical information on the Internet. It contains all the information the INE produces in electronic formats. The primary organisation of the information follows the theme-based classification of the Inventory of Statistical Operations of the State General Administration . The basic unit of INEbase is the statistical operation, defined as the set of activities that lead to obtaining statistical results on a determined sector or subject based on the individually collected data. Also included in the scope of this definition are synthesis preparation.

    
    

    The following link allows access to the online database

    https://www.ine.es/dyngs/INEbase/es/operacion.htm?c=Estadistica_C&cid=1254736176754&menu=ultiDatos&idp=1254735576669

  • 10.4Micro-data access
    A lot of statistical operations disseminate public domain anonymized files, available free of charge for downloading in the INE website Microdata Section
    

    The microdata for these statistics is not available.

  • 10.5Other

    It is possible to request customised information through the INE User Information Area. When processing these requests, confidentiality limitations are taken into account.

    See http://ine.es/ss/Satellite?L=es_ES&c=Page&cid=1254735550786&p=1254735550786&pagename=ProductosYServicios%2FPYSLayout#a1254735626789

  • 10.6Documentation on methodology

    A detailed description is available in:
    http://ine.es/dyngs/INEbase/es/operacion.htm?c=Estadistica_C&cid=1254736176754&menu=metodologia&idp=1254735576669

  • 10.7Quality documentation

    Based on Regulation n° 995/2012, the European Commission (Eurostat) assesses the quality of the transmitted data and publishes reports on the quality of European statistics. To do so, each country provides a quality report within the next 20 months after the end of the year. That report can be found here: https://ec.europa.eu/eurostat/cache/metadata/en/rd_esms.htm

    Fields 10.7 to 17 of this document are the quality report addressed to the users of this operation.

• 11Quality management
  • 11.1Quality assurance

    Quality assurance framework for the INE statistics is based on the ESSCoP, the European Statistics Code of Practice made by EUROSTAT. The ESSCoP is made up of 16 principles, gathered in three areas: Institutional Environment, Processes and Products. Each principle is associated with some indicators which make possible to measure it. In order to evaluate quality, EUROSTAT provides different tools: the indicators mentioned above, Self-assessment based on the DESAP model, peer review, user satisfaction surveys and other proceedings for evaluation.

    
    

    To guarantee good-quality information, the information received is treated following the steps listed next:

    - Manual control and filtering of the questionnaires by the unit responsible for these statistics during the information collection stage, in order to recover the possible lack of data or correct questionnaire errors before they are recorded.

    - Interactive recording with filtering and correction of errors in the information obtained by the unit responsible for these statistics.

    - Control of the information received by the unit responsible for these statistics.

    - Coverage control and treatment of identification errors.

    - Validation of information quality.

    - Imputation of the partial non-response.

    - Interactive filtering and correction of inconsistent validated information.

    - Development of the first stage of result analysis tables .

    - Macroediting of the main aggregates in order to correct the non-detected errors in the previous microfiltering stage.

    -Data analysis.

    - Creation of the final data file.

    - Obtaining final result tables in the unit responsible for these statistics, developed using the final data file

  • 11.2Quality assessment

    Among the main strengths of these statistics are the following:

    1) Collection, analysis and publishing of results in a fast way, so the latter are published within the following 11 months after the reference period. ^(*)

    ^(*) Exceptionally, the data for 2013 was published 13 months after the end of the reference period.

    2) Since these statistics are carried out since 1973, the data can be exhaustively monitored so the possible inconsistencies they may have can be detected and a temporary series consistent in time may be obtained.

    3) In the last years an effort has been made to collect the information by means of online questionnaires, which makes filling them out easier.

    4) Obtaining high response rates.

• 12Relevance
  • 12.1User needs

    Among the users of the survey are the following:
    · Ministries and other public institutions.
    · Regional Administrations (Autonomous Communities, town councils...).
    · Non-profit companies and institutions.
    · Researchers and universities.
    · Individuals.

    Each one of these users have different needs depending on the use they make of the information they require.

    One of the important uses made by the users is the "Annual Report: Technology and Innovation in Spain" published by COTEC using the data provided by the INE. At international level, OECD compiles the annual publication Main Science and Technology Indicators, which collects R&D information at international level, and Eurostat periodically publishes information at European level.

  • 12.2User satisfaction

    The INE has carried out general user satisfaction surveys in 2007, 2010, 2013,  2016 and 2019 and it plans to continue doing so every three years. The purpose of these surveys is to find out what users think about the quality of the information of the INE statistics and the extent to which their needs of information are covered. In addition, additional surveys are carried out in order to acknowledge better other fields such as dissemination of the information, quality of some publications...

    On the INE website, in its section Methods and Projects / Quality and Code of Practice / INE quality management / User surveys are available surveys conducted to date.(Click  next link)

     

    
    

    In the User Satisfaction Surveys conducted to date, it is possible to view the evaluation of the sector Sciencie and Technology in which this statistical operation is centred, which can help direct us with regard to user opinions of it.

  • 12.3Completeness

    The Statistics regarding R&D activities meets all the requirements established in the national and international regulation regarding science and technology statistics.

    Said statistics follow Regulation (EU) 2019/2152 of the European Parliament and of the Council of 27 November 2019 on European business statistics. For this reason, the statistical information rate supplied is of R1=100%.

• 13Accuracy and reliability
  • 13.1Overall accuracy

    These statistics are designed to obtain a high level of reliability and accuracy of the data obtained.

    The different processes that these statistics are subjected to, from its design to obtaining the final results (coverage, collection, error filtering, non-response imputation, etc.), are intended to obtain a greater degree of statistical reliability.
    

  • 13.2Sampling error

    Given these statisticas are a census operation in the PNPI sector, there are no sampling errors.

  • 13.3Non-sampling error

    During the entire statistical process, non-sampling errors are controlled. Two types of errors are examined:

    Errors of congruence (very high variations with respect to last year, lack of mandatory data, incorrect sums, ...)

    Errors of range (invalid valor of variables)

    There is also specific information on the non-response rate.

    Unit non-response rate: A4=2.91%

     

• 14Timeliness and punctuality
  • 14.1Timeliness

    The data on these statistics will be published at the end of the year that follows the reference year of the information.
    (time interval until the final data is published) TP2=11 months

     

  • 14.2Punctuality

    Data is disseminated following the INE statistics availability calendar, which is compiled and published each year.

• 15Coherence and Comparability
  • 15.1Comparability - geographical

    The availability of a common methodology, design and process for collection, filtering, editing and elevation in all its geographical scope, guarantees comparability of the results among the different Autonomous Communities. Moreover, methodological adaptation to Regulation (EU) 2019/2152 of the European Parliament and of the Council of 27 November 2019 on European business statistics makes it possible to compare with the rest of European Union member States.

  • 15.2Comparability - over time

    The methodology applied since the implementation of these statistics, alongside the Frascati Manual, allows its comparability throughout time.

    The number of comparable elements in the temporary series of the expenditure and personnel variables in R&D is CC2=21.

    It shall also be taken into account that due to the revision of the 2002 Frascati Manual, the field covered by this sector has decreased noticeably.

  • 15.3Coherence - cross domain

    The data collected by these statistics does not allow comparison with other domains or fields due to their absence.

    Regarding the different sectors (Companies, Autonomous Communities, Higher Education, PNPI) for which the INE collects information, the data provided by the statistical operation of the PNPI Sector is coherent with the statistics of the rest of sectors, since the standardised international regulation of the Frascati Manual, which is used at international level, is implemented in each one of them.

  • 15.4Coherence - internal

    Coherence is essential for the approach of the methodology of these statistics as well as in all of their development. Coherence among variables is compared in all the stages of the statistical process.
    These statistics are 100% coherent at internal level (for example, the arithmetic and accounting identities are observed)

• 16Cost and burden
  • 16.1Cost and burden

    The estimate for the necessary budget appropriation to finance the Statistics regarding R&D activities (companies, Public Administration, higher education and PNPI) included in the 2023 Annual Program is 412.95 thousand euros.

    The use of online questionnaires has been implemented so as to make filling them out easier and decrease the response burden.

• 17Data revision
  • 17.1Data revision - policy

    The INE of Spain has a policy which regulates the basic aspects of statistical data revision, seeking to ensure process transparency and product quality. This policy is laid out in the document approved by the INE board of directors on 13 March of 2015, which is available on the INE website, in the section "Methods and projects/Quality and Code of Practice/INE’s Quality management/INE’s Revision policy" (link).

    This general policy sets the criteria that the different type of revisions should follow:  routine revision- it is the case of statistics whose production process includes regular revisions-; more extensive revision- when methodological or basic reference source changes take place-; and exceptional revision- for instance, when an error appears in a published statistic-.

    
    

    On Statistics on R & D, there are only extraordinary revisions which are due to errors detected once the data has been published.

  • 17.2Data revision - practice

    There has been no situation which would lead to the revision of data, both methodological as extraordinary items.

• 18Statistical processing
  • 18.1Source data

    The data is obtained using the questionnaires sent by the units that are considered PNPI.

    In order to confirm that they are indeed PNPIs and they do not belong to another sector (companies, Public Administration, higher education) the decision tree of the Frascati Manual is included in the first question of the questionnaire.

  • 18.2Frequency of data collection

    Data is collected once a year, from Abril to September.

    Whereas OECD and Eurostat recommend collecting R&D data in odd reference years, some countries, like Spain, have done so annually.

  • 18.3Data collection

     

    The method to collect information is via e-mail. Firstly, an Excel questionnaire, a presentation letter and the instructions are sending to everyone from e-mail address (investigacionydesarrollo@ine.es). Statistical units sector must fill in the questionnaire and send it to the same e-mail address, and the participation of telephone interviewers. Once the questionnaire is received, the respondent may be contacted via telephone or e-mail to clarify doubts and/or correct errors in the questionnaire.

  • 18.4Data validation

    The initial stage of statistical information processing, occurs at the same time the information is being collected, and it is developed simultaneously during the time it lasts. The created system focuses on the following essential aspects: a continuous updating process; questionnaire contents filtering, which is integrated in the recording.

    Questionnaire recording and filtering are carried out continuously by the unit responsible for these statistics, following the necessary control regulations to guarantee an appropriate quality level during the entire process. This allows monitoring, already in this stage, errors that may affect the data obtained from the respondent units.

    Once the data received from the respondent units is computerised, information coverage is monitored, so as to guarantee the data is completely recorded, detect information copied more than once and coverage errors, and at the same time, carry out an initial assessment of the quality of the variables collected in the questionnaires. This stage is carried out before the complete file of these statistics is developed, that is, before the information is treated as a whole.

  • 18.5Data compilation

    During the microfiltering process, errors and inconsistencies in the variables of each register are detected and filtered, and content errors are filtered and imputed. Imputations and content errors are not carried out automatically but the parameters used for their calculation are indeed calculated automatically.

    During the macrofiltering stage, different analysis tables are obtained, which allow detecting and eliminating non-detected errors and inconsistencies in the macrofilter (sector change, type of investigation, scientific discipline).

  • 18.6Adjustment

    Given the annual nature of these statistics, no seasonal adjustments are carried out.

• 19Comment
  • 19.1Comment

    .