Transcript Measuring Research and Experimental Development

Introduction to the Oslo Manual:
main definitions (Part II)
ECO - UIS Regional Workshop on
Science, Technology and Innovation (STI) Indicators
Tehran, Iran
8-10 December 2013
Luciana Marins, UIS
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Innovation activities (1)
 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 but necessary;
 R&D not directly related to the development of a
specific innovation.
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Innovation activities (2)
 For product and process innovations:
• Intramural (in-house) R&D;
• Acquisition of (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.
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Innovation activities (3)
 Preparations for marketing innovations:
• Activities
related
to
the
development
implementation of new marketing methods;
and
• It includes acquisition of other external knowledge and
of machinery, equipment, and other capital goods and
training;
• Expenditures for using these methods in daily business
are NOT included.
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Innovation activities (4)
 Preparations for organisational innovations:
• Activities
undertaken
for
the
planning
implementation of new organisation methods;
and
• It includes acquisition of other external knowledge and
of machinery, equipment, and other capital goods and
training.
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Kinds of innovation activities
 Successful - resulted in the implementation of a new
innovation (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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Example - innovation activities and
expenditures for product and process
innovations
During the three years 200X to 200Y, did your enterprise engage in the
following innovation activities:
(Innovation activities and expenditures for
process and product innovations)
In-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)
Yes
No
()
()
()
()
()
()
()
()
()
()
()
()
()
()
Amount of
expenditure
$
$
$
$
$
$
$
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Classifying firms by degree of
innovativeness
 Innovative firm:
• Implemented an innovation;
• Not necessarily a commercial success;
• Innovators;
 Innovation-active firm:
• Had
innovation activities, including
abandoned;
• Regardless of implementation;
ongoing
or
 Potentially innovative firm:
• Innovation efforts but no achieved results;
• Key element for innovation policy;
• (Annex).
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Innovators & innovation-active firms
- Product innovators: Firms 1, 3 & 4;
- Process innovators: Firms 2, 3 & 4;
- Both product and process innovators: Firms 3 & 4;
- Firms with abandoned or ongoing activities: Firms 4 & 5;
- Firms with abandoned or ongoing activities only: Firm 5;
- Product and process innovation-active firms: Firms 1, 2, 3, 4 & 5;
- Product or process non-innovative firms: Firm 6.
Innovation
Firm 1
Product
innovation
X
Process
innovation
Abandoned
or
ongoing
activities
Firm 2
X
Firm 3
Firm 4
X
X
X
X
X
Firm 5
Firm 6
X
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Factors influencing innovation
 Objectives: Motives for innovating;
 Effects: Observed outcomes of innovations (Table 9);
• Impacts on firm performance;
• Time lag;
 Hampering factors:
• Reasons for not starting innovation activities at all;
• Factors that slow innovation activity or have a negative
effect on expected results.
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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
Sources for
information purchases of
sources
knowledge
&
technology
Cooperation
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 customers
Consultants / consultancy firms
Suppliers
Commercial laboratories
Public sector sources:
Universities and other higher education institutions
Government / public research institutes
Private non profit research institutes
Specialised (semi) 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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Example - co-operation
During the three years 200X to 200Y, did your enterprise co-operate on any
of your innovation activities with other enterprises or institutions?
( ) Yes ( ) No
Type of innovation co-operation partner
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
Location
Within
Abroad
country
()
()
()
()
()
()
()
()
()
()
()
()
()
()
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Example - hampering factors
If your enterprise experienced any hampering factors during the period 200X-200Y, please grade
the importance of the relevant factors.
Degree of importance
Hampering Factors
Excessive perceived economic risks
Economic
Innovation costs too high
factors
Lack of appropriate sources of finance
Organisational rigidities within the enterprise
Lack of qualified personnel
Internal
factors
Lack of information on technology
Lack of information on markets
Insufficient flexibility of regulations or standards
Other
factors
Lack of customer responsiveness to new goods or services
High
Medium
Low
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
()
Not
relevant
()
()
()
()
()
()
()
()
()
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Appropriability
 Ability of enterprises to appropriate gains from
innovation activities:
• Formal
methods: patents, registration of design,
trademarks, copyrights, confidentiality agreements,
trade secrecy;
• Informal methods: secrecy that is not covered by legal
agreements, complexity of product design, lead time
advantage over competitors.
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Developing countries
 Developing countries  3rd ed. OM standards,
adaptations;
 LA: the Bogota Manual (RICYT, 2001);
 UIS: Annex (A) to 3rd ed. OM;
 Innovation Surveys in Developing Countries.
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Characteristics of innovation in
developing countries
 Size and structure;
 Instability;
 Informality;
 Particular economic and innovation environments;
 Reduced innovation decision-making powers;
 Weak innovation systems;
 Characteristics of innovation.
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Characteristics of innovation in
developing countries
 Potentially innovative firm;
 Measurement priorities - why / what / how:
• Innovation capabilities (HR, Linkages, ICTs);
• Expenditure on innovation activities;
• Organisational innovation.
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Adaptations
 ICTs in innovation surveys;
 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.
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Methodological issues for developing
country contexts
 Weakness of statistical systems;
 Questionnaire design;
 Survey application;
Will be discussed
later
 Frequency;
 Publication;
 Difficulties…
• Lack of appreciation of the importance of innovation;
• Managers are secretive about finance;
• Lack of adequate legislative base.
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Thank you!
http://www.uis.unesco.org
[email protected]
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