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Measuring innovation
South Asian Regional Workshop on Science, Technology and Innovation StatisticsKathmandu, Nepal
6-9 December 2010
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Measuring Innovation
Oslo Manual: Guidelines for collecting
and interpreting innovation data
UIS - Annex (OM, 2005): Innovation Surveys in Developing Countries
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What is innovation?
Innovation and economic development;
Innovation is more than R&D;
Innovation is the implementation of:
(Technological innovation)
• New or significantly improved product (good/service) or process;
(Non-tech. innovation)
• New marketing or organisational method.
Types of innovation:
Product;
Process;
Marketing;
Organisational.
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Why measure innovation?
Innovation policy should be evidence-based;
Innovation data...
• to better understand innovation and its relation to economic growth;
• to provide indicators for benchmarking national performance.
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The innovation measurement framework
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Diffusion and degree of novelty
Diffusion… • How innovations spread;
• Economic impact;
New to the Firm / Market / World;
Disruptive innovations;• Significant impact on a market;
• Impact of innovations (as opposed to their novelty);
• May become apparent only long after introduction.
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Innovation activities
Innovation activities:
All scientific, technological, organisational, financial and commercial steps which (intended to) lead to the implementation of innovations;
Some innovation activities are themselves innovative, others are not novel activities but are necessary;
R&D that is not directly related to the development of a specific innovation.
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Innovation activities
For product and process innovations:
• Intramural (in-house) R&D;
• Acquisition of R&D (extramural R&D);
• Acquisition of other external knowledge;
• Acquisition of machinery, equipment and other capital goods;
• Other preparations for product and process innovations;
• Market preparations for product innovations;
• Training.
Preparations for marketing innovations:
• Activities related to the development and implementation of new marketing methods.
Preparations for organisational innovations:
• Activities undertaken for the planning and implementation of new organisation methods.
* Expenditures
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Kinds of innovation activities
Successful - in having resulted in the implementation of a new innovation (though not necessarily commercially successful);
Ongoing - work in progress, which has not yet resulted in the implementation of an innovation;
Abandoned - before the implementation of an innovation.
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Classifying firms by degree of innovativeness
Innovative firm: • The innovations need not have been a commercial
success;
Innovation-active firm:• Regardless of whether the activity resulted in the
implementation of an innovation;
Potentially innovative firm:• Innovation efforts but no achieved results (period);
• Key element for innovation policy;
• (Annex).
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Factors influencing innovation
Objectives: Motives for innovating;
Effects: Outcomes of innovations;• Competition, demand and markets; Production and
delivery; Workplace organisation; Other (Table 9);
Hampering factors:• Reasons for not starting innovation activities at all, or
factors that slow innovation activity or have a negative effect on expected results;
• Cost, Knowledge, Market and Institutional factors + Reasons not to innovate.
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Linkages
Linkages connections with other agents;
Source, cost, level of interaction;
Types of external linkages:
• Open information sources;
• Acquisition of knowledge and technology;
• Innovation co-operation.
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Sources for transfers of knowledge and technology
Open information
sources
Sources for purchases of knowledge
& technology
Co-operation partners
Internal sources within the enterprise: R&D / Production / Marketing / Distribution Other enterprises within the enterprise group
** * *
External market and commercial sources:Competitors Other enterprises in the industry Clients or customersConsultants / consultancy firms SuppliersCommercial laboratories
***
**
**
***
******
Public sector sources:Universities and other higher education institutionsGovernment / public research institutesPrivate non profit research institutesSpecialised public innovation support services
****
****
****
General information sources:Patent disclosures / Professional conferences, meetings, literature and journals / Fairs and exhibitions / Professional associations, trade unions / Other local associations / Informal contacts or networks / Standards or standardisation agencies / Public regulations
*
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Data collection
The “subject” approach
• Innovative behaviour and activities of the firm as a whole
Should R&D and innovations surveys be combined?
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Example - pdt innov/degree of novelty
(Product innovations) Yes No
New or significantly improved goods? ( ) ( )
New or significantly improved services? ( ) ( )
(Degree of novelty) Yes No
New to your market? ( ) ( )
Only new to your firm? ( ) ( )
During the three years 200X to 200Y, did yourenterprise introduce:
Were any of your product innovations during the threeyears 200X to 200Y:
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Example - innovation activities and expenditures for pdt and pcs innov
(Innovation activities and expenditures forprocess and product innovations)
Yes NoAmount of
expenditureIn-house R&D ( ) ( ) $
External R&D ( ) ( ) $
Acquisition of machinery, equipment and software ( ) ( ) $
Acquisition of external knowledge ( ) ( ) $
Training for innovative activities ( ) ( ) $
Market introduction of innovations ( ) ( ) $
Other (preparations) ( ) ( ) $
During the three years 200X to 200Y, did your enterprise engage in thefollowing innovation activities:
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Example - organisational innovation
(Organisational innovations) Yes NoNew business practices for organisingprocedures
( ) ( )
New methods of organising workresponsibilities and decision making
( ) ( )
New methods of organising external relationswith other firms or public institutions
( ) ( )
During the three years 200X to 200Y, did your enterpriseintroduce:
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Example - co-operation
Within country
Abroad
A. Other enterprises within your enterprise group ( ) ( )
B. Suppliers of equipment, materials, components, or software ( ) ( )
C. Clients or customers ( ) ( )
D. Competitors or other enterprises in your sector ( ) ( )
E. Consultants, commercial labs, or private R&D institutes ( ) ( )
F. Universities or other higher education institutions ( ) ( )
G. Government or public research institutes ( ) ( )
LocationType of innovation co-operation partner
During the three years 200X to 200Y, did your enterprise co-operate on anyof your innovation activities with other enterprises or institutions?( ) Yes ( ) No
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Example - hampering factors
High Medium LowNot
relevantExcessive perceived economic risks ( ) ( ) ( ) ( )
Innovation costs too high ( ) ( ) ( ) ( )
Lack of appropriate sources of finance ( ) ( ) ( ) ( )
Organisational rigidities within the enterprise ( ) ( ) ( ) ( )
Lack of qualified personnel ( ) ( ) ( ) ( )
Lack of information on technology ( ) ( ) ( ) ( )
Lack of information on markets ( ) ( ) ( ) ( )
Insufficient flexibility of regulations or standards ( ) ( ) ( ) ( )
Lack of customer responsiveness to new goods or services ( ) ( ) ( ) ( )
Economic factors
Internal factors
Other factors
Degree of importanceHampering Factors
If your enterprise experienced any hampering factors during the period 200X-200Y, please gradethe importance of the relevant factors.
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Example - hampering factors (cont.)
Source: Eurostat, NewCronos (theme9/innovat/inn_cis3), 2004
Proportion of enterprises that regarded selected hampering factors that they had experienced as highly important, EU, 1998-2000 (%)
10
21 22 20
8 68 10
34
12151511
15
31
169
17
30
131615
4
15
24
1013137
13 138
1216
8
0
25
50
75
100
Industry Mining and quarrying(C)
Manufacturing (D) Electricity, gas andwater supply (E)
Services Wholesale andcommission trade
(51)
Computer activities;R&D; engineeringand consultancy;
technical testing andanalysis (72, 73,
74.2, 74.3)
Excessive perceived economic risks Innovation costs too high Lack of appropriate sources of finance
Lack of qualified personnel Insufficient flexibility of regulations or standards
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Developing countries
Developing countries 3rd OM standards, but
adaptations;
LA: the Bogotá Manual (RICYT, 2001);
UIS: Annex to 3rd OM…
Innovation Surveys in Developing Countries.
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Characteristics of innovation in developing countries
Size and structure of markets and firms;
Instability;
Informality;
Particular economic and innovation environments;
Reduced innovation decision-making powers;
Weak innovation systems;
Elements of innovation.
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Innovation measurement in developing countries
Incorporation of the concept of potentially innovative firm;
Measurement priorities - why / what / how:
• Innovation capabilities (HR, Linkages, Quality assurance systems, ICTs);
• Expenditure on innovation activities;
• Organisational innovation.
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Adaptations
ICTs in innovation surveys• Strategic use of new technologies (“Front office” vs. “Back office”);
Linkages• Agents + Types + Location;
Innovation Activities• Hardware purchase and Software purchase (split);• Industrial design and Engineering activities (split);• Lease or rental of machinery, equipment and other capital goods;• In-house software system development;• Reverse engineering.
Human resources and training
Quality and environmental management
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Methodological issues for developing country contexts
Weakness of statistical systems;
Questionnaire design;
Survey application;
Frequency;
Publication;
Difficulties…• Lack of appreciation of the importance of innovation;• Managers are secretive about finance;• Lack of adequate legislative base.
(to be addressed)
