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Organisation for Economic Co-operation and Development THE MEASUREMENT OF SCIENTIFIC AND TECHNOLOGICAL ACTIVITIES PROPOSED GUIDELINES FOR COLLECTING AND INTERPRETING TECHNOLOGICAL INNOVATION DATA OSLO MANUAL European Commission Eurostat TABLE OF CONTENTS Chapter 1 OBJECTIVES AND SCOPE OF THE MANUAL...................................................................... 5 1. INTRODUCTION.................................................................................................................................. 5 2. FACTORS INFLUENCING THE SCOPE OF THE MANUAL........................................................... 5 2.1 Understanding the innovation process and the implications for innovation policy......................... 6 2.2 Experience on the supply side.......................................................................................................... 7 3. SCOPE OF THE MANUAL.................................................................................................................. 7 3.1 Sectoral coverage ............................................................................................................................. 7 3.2 Innovation at the level of the firm.................................................................................................... 8 3.3 Technological product and process innovation................................................................................8 3.4 Diffusion of innovation.................................................................................................................... 9 4. PROVIDING DATA ON THE KEY ISSUES..................................................................................... 10 4.1 Factors influencing TPP innovation............................................................................................... 10 4.2 TPP innovation activities and expenditures................................................................................... 10 4.3 The TPP innovating firm and the impact of TPP innovation......................................................... 11 5. SOME SURVEY ISSUES.................................................................................................................... 11 5.1 Approach to data collection............................................................................................................ 11 5.2 Survey methods.............................................................................................................................. 12 6. THE RELATIONSHIP BETWEEN THE OSLO MANUAL AND OTHER INTERNATIONAL STANDARDS AND RELATED CONCEPTS........................................................................................ 12 6.1 S&T activities: the Frascati family of manuals.............................................................................12 6.2 Other economic norms and classifications..................................................................................... 13 6.3 Other related concepts and surveys................................................................................................ 14 7. FINAL REMARK................................................................................................................................ 14 Chapter 2 NEEDS FOR THE MEASUREMENT OF INNOVATION...................................................... 15 1. INTRODUCTION................................................................................................................................ 15 2. ECONOMICS OF INNOVATION......................................................................................................16 3. TOWARDS A CONCEPTUAL FRAMEWORK................................................................................ 18 3.1 Framework conditions.................................................................................................................... 20 3.2 Science and engineering base......................................................................................................... 20 3.3 Transfer factors............................................................................................................................... 21 3.4 Innovation dynamo......................................................................................................................... 22 4. DECIDING PRIORITIES.................................................................................................................... 25 4.1. Six areas for investigation............................................................................................................. 25 4.1.1 Corporate strategies................................................................................................................. 25 4.1.2 The role of diffusion................................................................................................................ 25 4.1.3 Sources of information for innovation and obstacles to innovation ....................................... 26 4.1.4 Inputs to innovation................................................................................................................. 26 4.1.5 The role of public policy in industrial innovation................................................................... 27 1 4.1.6 Innovation outputs................................................................................................................... 27 4.2 How to measure and scope for measurement................................................................................. 28 4.2.1 “What do we want to measure?”: Technological product & process – TPP – innovations... 28 4.2.2 “How should it be measured?”: Choice of the survey approach............................................ 29 4.2.3 “Where should it be measured ?”: Sectoral coverage............................................................ 29 Chapter 3 BASIC DEFINITIONS..............................................................................................................31 INTRODUCTION.................................................................................................................................... 31 1. TPP INNOVATION............................................................................................................................. 31 2. MAIN COMPONENTS OF TPP INNOVATION............................................................................... 31 2.1 Technological product innovation.................................................................................................. 31 2.2 Technological process innovation.................................................................................................. 32 3. DIFFUSION OF TPP INNOVATIONS: INSTITUTIONAL NOVELTY.......................................... 34 3.1 Minimum coverage......................................................................................................................... 34 3.2 Coverage within the firm................................................................................................................ 35 4. DISTINGUISHING BETWEEN TPP INNOVATION AND OTHER CHANGES IN THE FIRM OR INDUSTRY.............................................................................................................................................. 36 4.1 Organisational innovation.............................................................................................................. 36 4.1.1 Coverage.................................................................................................................................. 36 4.1.2 Borderline cases: organisational change in manufacturing and service processes................ 37 4.2 Other changes in products and processes....................................................................................... 37 4.2.1 Excluding insignificant or non-novel changes........................................................................ 37 (a) Ceasing to use a process or to market a product..................................................................... 37 (b) Simple capital replacement or extension................................................................................ 37 (c) Changes resulting purely from changes in factor prices......................................................... 38 (d) Custom production.................................................................................................................. 38 (e) Seasonal and other cyclical changes....................................................................................... 38 (f) Product differentiation............................................................................................................. 38 4.2.2 TPP innovation and other creative product improvements..................................................... 39 5. TPP INNOVATION ACTIVITIES...................................................................................................... 39 5.1 Relation with implementation of TPP innovations........................................................................ 39 5.2 The components and coverage of TPP innovation activities......................................................... 40 5.2.1 Acquisition and generation of relevant knowledge new to the firm....................................... 40 (a) Research and experimental development ............................................................................... 40 (b) Acquisition of disembodied technology and know-how........................................................ 40 (c) Acquisition of embodied technology...................................................................................... 40 5.2.2 Other preparations for production........................................................................................... 41 (a) Tooling up and industrial engineering.................................................................................... 41 (b) Industrial design n.e.c............................................................................................................. 41 (c) Other capital acquisition......................................................................................................... 41 (d) Production start-up.................................................................................................................. 41 5.2.3 Marketing for new or improved products................................................................................ 41 5.3 Borderline cases ............................................................................................................................. 41 5.3.1 Design...................................................................................................................................... 41 5.3.2 Training ................................................................................................................................... 42 5.3.3 Marketing ................................................................................................................................ 42 5.3.4 Software................................................................................................................................... 42 6. THE TPP INNOVATING FIRM.......................................................................................................... 42 7. THEORY AND PRACTICE................................................................................................................ 43 2 Chapter 4 INSTITUTIONAL CLASSIFICATIONS.................................................................................. 44 1. THE APPROACH................................................................................................................................ 44 2. THE UNITS.......................................................................................................................................... 44 3. CLASSIFICATION BY MAIN ECONOMIC ACTIVITY.................................................................. 45 4. CLASSIFICATION BY SIZE.............................................................................................................. 45 5. OTHER CLASSIFICATIONS............................................................................................................. 47 5.1 Type of institution.......................................................................................................................... 47 5.2 Other............................................................................................................................................... 47 Chapter 5 MEASURING ASPECTS OF THE INNOVATION PROCESS............................................... 49 1. OBJECTIVES OF INNOVATION...................................................................................................... 49 2. FACTORS ASSISTING OR HAMPERING INNOVATION............................................................. 50 2.1 Sources of information for innovation........................................................................................... 51 2.2 Factors hampering innovation activities ........................................................................................ 52 3. IDENTIFYING TPP INNOVATING FIRMS...................................................................................... 53 4. THE IMPACT OF INNOVATIONS ON THE PERFORMANCE OF THE ENTERPRISE..............53 4.1 Proportion of sales due to technologically new or improved products.......................................... 53 4.2 Results of innovation effort............................................................................................................ 55 4.3 Impact of TPP innovation on the use of factors of production...................................................... 55 4.3.1 Average cost reductions due to technological process innovations........................................ 55 5. DIFFUSION OF INNOVATION......................................................................................................... 56 5.1 User sectors .................................................................................................................................... 56 5.2 Surveys of use of advanced technologies in the manufacturing process....................................... 56 6. SPECIAL QUESTIONS....................................................................................................................... 57 6.1 Special questions on R&D ............................................................................................................. 57 6.2 Questions on patents and the appropriability of innovations......................................................... 58 6.3 Questions on the acquisition/diffusion of technology.................................................................... 58 Chapter 6 MEASURING THE EXPENDITURE ON INNOVATION...................................................... 60 1. THE METHOD OF MEASUREMENT............................................................................................... 60 2. SUGGESTED BREAKDOWNS.......................................................................................................... 62 2.1 Bottom-up or top-down method..................................................................................................... 62 2.2 Breakdown by type of expenditure ................................................................................................ 62 2.2.1 The relation between intangible investment and TPP innovation expenditure....................... 64 2.3 Breakdown by type of innovation activity..................................................................................... 64 2.3.1 R&D expenditure..................................................................................................................... 65 2.3.2 Expenditure for the acquisition of disembodied technology and know-how.......................... 65 2.3.3 Expenditure for the acquisition of embodied technology....................................................... 65 2.3.4 Expenditure for tooling up, industrial engineering, industrial design and production start-up (including other expenditure for pilot plants and prototypes not already included in R&D).......... 65 2.3.5 Expenditure for training linked to TPP innovation activities.................................................. 66 2.3.6 Marketing for technologically new or improved products...................................................... 66 2.4 Measurement problems.................................................................................................................. 66 2.4.1 The borderline between R&D and non-R&D innovation expenditure.................................... 66 2.4.2 Other difficulties...................................................................................................................... 67 2.5 Breakdown by source of funds....................................................................................................... 68 Chapter 7 SURVEY PROCEDURES......................................................................................................... 69 1. POPULATIONS................................................................................................................................... 69 3
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