Transcript Slide 1

EUROSTAT METHODOLOGIES AND
PRACTICE – INNOVATION STATISTICS AND
INDICATORS FOR MONITORING OF
EUROPEAN INNOVATION SYSTEM
Reni Petkova - EUROSTAT
2-3 October 2008 Belgrade
 INTRODUCTION
 EU LEGAL BASE ON INNOVATION STATISTICS
 STANDARDISED APPROACH FOR INNOVATION
DATA COLLECTION: CIS - BRIEF HISTORY
 HARMONISED METHODOLOGY AND
QUESTIONNAIRE FOR CIS 4
 INDICATORS FOR MEASUREMENT OF
INNOVATION ACTIVITY AT EU LEVEL
 SUMMARY RESULTS FROM CIS 3 AND CIS 4
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INTRODUCTION
BROAD-BASED INNOVATION STRATEGY FOR EU
Main objectives:
 To translate investments in knowledge into
economic practice in order to make effective
use of it
 To foster innovation as a main asset of the
EU economy
 To lay down a framework for promoting all
types of innovation
 To encourage the development of innovationfriendly lead markets
 EU to become an innovation-based society
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INTRODUCTION
Sound statistical basis is needed in order to
support the political efforts in the field of
innovation. The Community Innovation Survey
(CIS) provides this basis, being the main
statistical instrument that allows monitoring
the progress achieved towards the realization
of EU innovation strategy
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LEGAL BASE
FOR ESTABLISHMENT AND DEVELOPMENT OF
HARMONISED STATISTICS ON INNOVATION
AT EU LEVEL
Framework legal act: Decision № 1608/2003/EC of
the EP and of the Council concerning the production
and development of Community Statistics on
science and technology
Legal implementation measure:
Commission Regulation № 1450/2004 implementing
Decision № 1608/2003/EC of the EP and of the
Council concerning the production and development
of Community statistics on innovation
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REQUIREMENTS OF CR № 1450/2004 ON INNOVATION
STATISTICS
 List of statistical variables to be compiled
Every two years:
1/ Number of innovation active enterprises
2/ Number of innovating enterprises that
introduced new or significantly improved
products, new to the market
3/ Turnover from innovation, related to new
or significantly improved products, new
to the market
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4/ Turnover from innovation, related to new
or significantly improved products, new
to the firm, but not new to the market
5/ Number of innovation active enterprises
involved in innovation cooperation - by
type of cooperation
Every four years:
6/ Innovation expenditure (optional)
7/ Number of innovation active enterprises
that indicated highly important effects of
innovation - by type of effects
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8/ Number of innovation active enterprises
that indicated highly important sources
of information for innovation - by type of
source (optional)
9/ Number of enterprises facing important
hampering factors - by type of hampering
factors
Beyond the statistics listed above, MS shall compile
additional statistics (including their breakdowns) in
accordance with the main themes listed in the Oslo
Manual. These additional statistics will be decided
in close cooperation with MS
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 Breakdowns of the variables and their
measurement units (in absolute value and
as a percentage)
 Harmonised concepts and definitions to be
implemented - the most recent version of
Oslo manual
 Type of variables on innovation:
Obligatory
Optional
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 Economic activities and sectors to be covered minimum NACE Rev.1.1 sections: C, D, E, I, J;
divisions: 51, 72 and groups: 74.2 and 74.3
 Breakdowns of the results:
By economic activity at division level
(2-digits of NACE Rev.1.1)
By economic activity at section level (1-digit
of NACE Rev.1.1.) and by size classes in
terms of employees: Small (10 - 49);
Medium (50 - 249); Large (above 249)
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 Data sources to be used by MS - combination
of different sources: sample surveys,
administrative data or others of equivalent
quality
 Frequency of data compilation:
Four yearly (CIS) - 7 obligatory and
2 optional variables
Biannual, on each even year (CIS Light) 5 obligatory variables
 Types of data to be transmitted to Eurostat
Aggregated statistics - compulsory
Individual data records for all units surveyed voluntary
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 Deadlines for data transmission to Eurostat:
within 18 months after the end of the calendar
year of the reference period
 Confidential data provision
 Standard transmission format for delivery of
data to Eurostat
For aggregated data - excel
For individual data - CSV file
 Transmission media - eDAMIS
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 Quality evaluation of innovation data by MS
and Eurostat - Quality reports
 Standard survey questionnaire for the CIS
carried out every four years - shall cover the
main themes listed in the Oslo Manual
 Methodological recommendations for the CIS shall at least cover the target population, the
survey methodology (including regional
aspects), the harmonised survey questionnaire,
the collection, processing and transmission of
the data and data quality requirements
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STANDARDISED APPROACH FOR INNOVATION
DATA COLLECTION
COMMUNITY INNOVATION SURVEY - BRIEF HISTORY
Before establishment of EU legal base
(under gentleman agreement with the MS)
CIS 1
Conducted in 1993 for reference period (1990 - 1992)
Coverage - limited to the manufacturing sector
Invalidated EU totals and averages
Only separate results published for each country
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CIS 2
Conducted in 1997 for reference period (1994 - 1996)
Coverage - manufacturing sector and selected
services
Questionnaire - two different questionnaires used
for manufacturing and services
Methodology based on the 1997 revision of the
Oslo manual (2nd edition)
Calculation of EU averages
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CIS 3
Conducted in 2001 for reference period (1998 - 2000)
Coverage - manufacturing sector and entire service
sector
Questionnaire - common standard questionnaire
for both manufacturing and service sector
Harmonised methodological recommendations
Transmission of aggregated and micro data to
Eurostat
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CIS light
Conducted in 2003 for reference period (2000 - 2002)
Limited to the main indicators on innovation
Carried out in several countries
Transmission of aggregated and micro data to
Eurostat
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After establishment of EU legal base
CIS 4
Conducted in 2005 for reference period (2002 - 2004)
Compulsory for the MS - in line with CR № 1450/2004
Went beyond 1997 Oslo manual (2nd edition)
including organizational and marketing innovations
Transmission of aggregated data (compulsory) and
micro data (voluntary) to Eurostat
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CIS 2006 (light)
Conducted in 2006 for reference period (2004 - 2006)
Compulsory for the MS - in line with CR № 1450/2004
Methodology based on 2005 Oslo manual (3rd edition)
Included on voluntary basis pilot modules on
organizational and marketing innovations and
knowledge management
Transmission of aggregated data (compulsory) and
micro data (voluntary) to Eurostat
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CIS 2008
Currently at final preparatory stage
Will be conducted in 2009 for reference period
(2006 - 2008)
Questionnaire will include:
 ‘One-off’ module on eco-innovation
 Industrial design as a separate innovation activity
 Revised and expanded versions of questions on
organisational and marketing innovation
 Innovation objectives instead innovation effects
Questions on hampering factors and intellectual
property will be dropped
Implementation of NACE Rev. 2
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HARMONISED METHODOLOGICAL RECOMMENDATIONS
FOR CIS4
TARGET POPULATION
Core coverage (obligatory):
 Mining and quarrying (NACE 10-14)
 Manufacturing (NACE 15-37)
 Electricity, gas and water supply (NACE 40-41)
 Wholesale trade (NACE 51)
 Transport, storage and communication (NACE 60-64)
 Financial intermediation (NACE 65-67)
 Computer and related activities (NACE 72)
 Architectural and engineering activities (NACE 74.2)
 Technical testing and analysis (NACE 74.3)
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Additional (non-core) coverage (voluntary)
in descending priority order:
 Research and development (NACE 73)
 Construction (NACE 45)
 Motor trade (NACE 50)
 Retail trade (NACE 52)
 Legal, accounting, market research, consultancy
and management services (NACE 74.1)
 Advertising (NACE 74.4)
 Labour recruitment and provision of personnel
(NACE 74.5)
 Investigation and security activities (NACE 74.6)
 Industrial cleaning services (NACE 74.7)
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TARGET POPULATION
Size-classes - minimum all enterprises with 10
employees or more
Statistical unit - the enterprise
Observation period - 2002-2004 inclusive; the reference
period - year 2004
SURVEY METHODOLOGY
Sampling frame - official, up-to-date, statistical
business register
Type of survey - census, sample survey or a
combination of both
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SURVEY METHODOLOGY
Stratification variables:
- Economic activities (NACE Rev.1.1 at 2-digits;
NACE 74 at 3-digits)
- Enterprise size (number of employees)
- Regional aspects
Sample size - to meet the precision levels required
for 5 basic indicators (listed below)
Sample selection and allocation - random sampling
techniques, optimum allocation
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COLLECTING AND PROCESSING OF DATA
SAS programs for processing the data - provided by
Eurostat
Survey questionnaire - harmonised survey
questionnaire for all NACE Rev.1.1 sectors
Data collection - mainly by mail, might be combined
with other surveys
Data editing - data quality checks at micro- and macrolevel, checking routines of the SAS programs
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DATA QUALITY
Response rates - efforts to minimise unit (and item)
non-response; at least two reminder letters
Unit non-response and non-response survey - If nonrespondents exceed 30%, non-response survey in at
least 10% of the non-respondents should be carried
out aiming to determine if the non-respondents are
innovators or not
Item non-response - should be kept at a minimum by
asking the enterprises for the additional information
needed
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Imputation - by SAS application
For metric variables - weighted mean within
the stratum is applied
For ordinal, nominal and percentage variables –
nearest-neighbour imputation technique is used
Weighting and calibration - software packages to
derive calibrated weights (CLAN, CALMAR, CALJACK)
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Precision of results - determined 95% confidence
intervals for 5 indicators
1/ Percentage of innovation active enterprises
2/ Percentage of innovators that introduced new
or improved products to the market
3/ New or improved products, as a percentage of
total turnover
4/ Percentage of innovation active enterprises
involved in innovation cooperation
5/ Total turnover per employees
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TRANSMISSION OF DATA
Types of data to be transmitted - aggregated data
(compulsory); micro data (voluntary)
Output tabulation scheme - developed by Eurostat in
cooperation with MS
Transmission tools - eDamis
Deadlines - 18 months after the end of the reference
period
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CIS 4 HARMONISED QUESTIONNAIRE
CIS 4 harmonised questionnaire includes all variables
defined in CR № 1450/2004 (obligatory and optional)
plus some additional highly required variables
(voluntary)
CIS 4 questionnaire comprises 11 sections:
1/ General information about the enterprise
2/ Product innovation
3/ Process innovation
4/ Ongoing or abandoned innovation activities
5/ Innovation activities and expenditures
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CIS 4 HARMONISED QUESTIONNAIRE
6/ Sources of information and co-operation
for innovation activities
7/ Effects of innovation
8/ Factors hampering innovation activity
9/ Intellectual property right
10/ Organisational and marketing innovations
11/ Basic economic information on the enterprise
(turnover, employees)
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INDICATORS FOR MEASUREMENT OF
INNOVATION ACTIVITY AT EU LEVEL
PRODUCT AND PROCESS INNOVATION INDICATORS
By type of innovation activity




Product innovators only
Process innovators only
Product and process
Enterprises with only ongoing and/or
abandoned innovation activity
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Product innovators
only
Enterprises with
innovation activity
All enterprises
Product and
process innovators
Non-innovative
enterprises
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Process innovators
only
Enterprises with
only ongoing and/or
abandoned
innovation activities
Product innovators
only
Product and/or process
innovators
(successful innovators)
Process innovators
only
Product and
process innovators
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Product
innovators only
Product
innovators
Product and
process
innovators
Process
innovators only
Process
innovators
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Product and
process
innovators
PRODUCT AND PROCESS INNOVATION INDICATORS
By location of innovation development
Enterprises with product innovation activity developed
 Mainly by the enterprise or enterprise group
 By the enterprise together with other enterprises
or institution
 Mainly by other enterprises or institutions
Enterprises with process innovation activity developed
 Mainly by the enterprise or enterprise group
 By the enterprise together with other enterprises
or institution
 Mainly by other enterprises or institutions
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PRODUCT AND PROCESS INNOVATION INDICATORS
By type of product innovation
Enterprises that have new or significantly improved
products
 Only new to the firm
 New to the market
Turnover of:
 Unchanged or marginally modified products
 New or significantly improved products only
new to the firm
 New or significantly improved products new
to the market
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS
Enterprises, engaged in:
 Intramural (in-house) R&D - (Continuous R&D /
Occasional R&D)
 Extramural R&D
 Acquisition of machinery, equipment and software
 Acquisition of other external knowledge
 Training
 Market introduction of innovations
 Other preparations
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS
Total innovation expenditure in 2004:
 Intramural (in-house) R&D - (Continuous R&D /
Occasional R&D)
 Extramural R&D
 Acquisition of machinery, equipment and software
 Acquisition of other external knowledge
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS
Enterprises that received public funding from:
 Local or regional authorities
 Central government
 The European Union (EU)
From the 5th or 6th Framework Programme
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OTHER INDICATORS COMPILED FOR
ENTERPRISES WITH INNOVATION ACTIVITY
Enterprises indicating high importance of selected
sources of information for innovation activities (Internal
sources, Market sources, Institutional sources, Other sources)
Enterprises with innovation co-operation by the type of
partner and its location
Enterprises indicating the most valuable type of cooperation partners
Enterprises indicating high (observed) effect of
selected effects of innovation activities (Product oriented
effects, Process oriented effects, Other effects)
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INDICATORS COMPILED FOR BOTH ENTERPRISES
WITH AND WITHOUT INNOVATION ACTIVITY
Enterprises with abandoned or seriously delayed
innovation activity
Enterprises indicating the high importance of selected
factors hampering innovation activity (Cost factors,
Knowledge factors, Market factors)
Enterprises indicating the high importance of selected
reasons for not innovating (Due to prior innovations, Because of
no demand for innovations)
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INDICATORS COMPILED FOR BOTH ENTERPRISES
WITH AND WITHOUT INNOVATION ACTIVITY
Enterprises used selected protection methods of
intellectual property rights (Applied for a patent, Registered a
trademark, Registered an industrial design, Claimed copyright)
Enterprises which introduced organisational and/or
marketing innovations
Enterprises indicating highly important effects of
organisational innovation
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INDICATORS FOR MEASUREMENT OF
INNOVATION ACTIVITY AT EU LEVEL
All indicators compiled on innovation are broken
down by economic activities (NACE Rev.1.1) and
size classes (by number of employees)
National aggregated CIS 4 data are sent to Eurostat
in standard output tabulation scheme, containing 18
Tables in Excel workbook. Data validation rules are
in place within the tables
CIS 4 aggregated and micro data are received
electronically via eDAMIS from 29 countries: 25 MS;
2 CC (BG, RO) and 2 Others (IS, NO)
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QUALITY EVALUATION OF INNOVATION DATA
Quality Reports produced by MS cover six quality
criteria and cost/burden issue:
 Relevance
 Accuracy
 Timelines and Punctuality
 Accessibility and Clarity
 Comparability
 Coherence
 Cost and Burden
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QUALITY INDICATORS
Data availability rate; Coefficient of variance;
Coverage errors; Measurement errors; Processing
errors; Non-response (unit, item); Imputation rate;
Coherence with Structural business statistics (SBS);
Time spent for production of innovation data
(response burden); Cost of innovation statistics
Example for quality indicator on coherence of data
originating from SBS and CIS 4: Differences between
data on turnover for all enterprises in NACE C ‘Mining
and quarrying’
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SBS turnover as a % of CIS 4 turnover, NACE C ‘Mining and
quarrying’ - reference year 2004
200
180
160
140
120
100
80
60
40
20
100% = perfect match between SBS and CIS 4 data on turnover
0
bg cz
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de
ee
gr
es
fr
cy
lv
lt
hu
pl
ro
se
uk
no
INNOVATION DATA DISSEMINATION AND PUBLICATIONS
Eurostat data base NewCronos
Aggregated data for CIS 2, CIS 3, CIS 4 and CIS light are
stored into NewCronos
Data availability for 29 countries: 25 MS; 2 CC (BG, RO)
and 2 Others (IS, NO)
All data are available free of charge on the Eurostat
webpage, theme Science and technology
http://epp.eurostat.cec.eu.int/portal/page?_pageid=1090,30070682,1
090_30298591&_dad=portal&_schema=PORTAL
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INNOVATION DATA DISSEMINATION AND PUBLICATIONS
Anonymised micro data on innovation are available on
CD for further scientific research
It is also possible to access the non-anonymised micro
data via the SAFE Centre at the premises of Eurostat in
Luxembourg
The description of the micro data and ways to access
these one are available on our website at the following
link:
http://epp.eurostat.ec.europa.eu/portal/page?_pageid=1913,4756782
5,1913_57936852&_dad=portal&_schema=PORTAL
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EUROSTAT PUBLICATIONS
News release
Statistics in Focus
Pocket books
Statistical books
All R&D data and publications can be downloaded in
electronic from without charges, through the Eurostat
homepage http://epp.eurostat.ec.europa.eu
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SUMMARY RESULTS FROM CIS 3 AND CIS 4
INNOVATIVE ENTERPRISES BY ECONOMIC SECTORS,
AS A % OF ALL ENTERPRISES (CIS 3 and CIS 4)
50
45
40
35
30
25
20
15
10
5
0
CIS3
CIS4
TOTAL
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INDUSTRY
SERVICES
INNOVATIVE ENTERPRISES BY SELECTED ECONOMIC ACTIVITIES,
AS A % OF ALL ENTERPRISES (CIS 3 and CIS 4)
70
60
50
40
30
CIS 3
20
10
CIS 4
0
TOTAL
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MANUFACTORING
TRANPORT AND
COMMUNICATION
FINANCIAL
INTERMEDIATION
BUSINESS
SERVICES
INNOVATIVE ENTERPRISES BY SIZE CLASESS,
AS A % OF ALL ENTERPRISES (CIS 3 and CIS 4)
80
60
40
20
CIS 3
CIS 4
0
TOTAL
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SMALL
MEDIUM
LARGE
INNOVATIVE ENTERPRISES BY ECONOMIC SECTORS AND SIZE CLASESS,
AS A % OF ALL ENTERPRISES (CIS 3 and CIS 4)
80
60
40
CIS 3
20
CIS 4
0
SMALL
MEDIUM
INDUSTRY
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LARGE
SMALL
MEDIUM
LARGE
SERVICES
INNOVATIVE ENTERPRISES BY TYPE OF INNOVATOR, IN % - CIS 4
NOT COMPLETED
OR ABANDONED
BOTH PRODUCT
AND PROCESS
ONLY PRODUCT
ONLY PROCESS
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INNOVATION EXPENDITURE BY TYPE OF INNOVATION ACTIVITY,
AS A % OF TOTAL INNOVATION EXPENDITURE - CIS 4
INTRAMURAL R&D
ACQUISITION OF
OTHER EXTERNAL
KNOWLEDGE
EXTRAMURAL R&D
ACQUISITION OF
MACHINERY AND
EQUIPMENT
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INNOVATIVE ENTERPRISES INDECATING HIGLY IMPORTANT EFFECTS
OF INNOVATION ACTIVITY, IN % (CIS 3 and CIS 4)
Met regulatory requirements
Reduced environmental impacts or improved health and safety
Reduced materials and energy per unit output
Reduced labour costs per unit output
Increased capacity of production or service provision
Improved flexibility of production or service provision
Improved quality of goods or services
Entered new markets or increased market share
Increased range of goods or services
0
5
10
15
CIS3
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20
25
CIS4
30
35
40