Oslo Manual 2018. Guidelines for collecting, reporting and using data on innovation

Description

What is innovation and how should it be measured? Understanding the scale of innovation activities, the characteristics of innovative firms and the internal and systemic factors that can influence innovation is a prerequisite for the pursuit and analysis of policies aimed at fostering innovation. First published in 1992, the Oslo Manual is the international reference guide for collecting and using data on innovation. In this fourth edition, the manual has been updated to take into account a broader range of innovation-related phenomena as well as the experience gained from recent rounds of innovation surveys in OECD countries and partner economies and organisations. Foreword Acknowledgements Abbreviations and acronyms Executive summary What is the Oslo Manual? Why a manual for measuring innovation? What is innovation? Why and how was the manual revised? What are the main novelties of this edition? How are the guidelines intended to be used? Where to find additional relevant resources? Part I. Introduction to the measurement of innovation Chapter 1. Introduction to innovation statistics and the Oslo Manual 1.1. Objectives and background of the Oslo Manual 1.1.1. The origins of the Oslo Manual 1.1.2. Main objectives of the fourth edition 1.1.3. Scope and approach of the fourth edition 1.1.4. The Oslo Manual and other statistical standards STI measurement standards Links to general statistical standards and statistics Links to other standards 1.2. Structure and contents of the Oslo Manual 2018 1.2.1. Introduction to the measurement of innovation (Part I) Concepts for measuring innovation (Chapter 2) 1.2.2. Framework and guidelines for measuring business innovation (Part II) Concepts and definitions for measuring business innovation (Chapter 3) Business innovation activities (Chapter 4) Business innovation capabilities (Chapter 5) Business innovation and knowledge flows (Chapter 6) External factors influencing business innovation (Chapter 7) Objectives and outcomes of business innovation (Chapter 8) 1.2.3. Methods for collecting, analysing and reporting statistics on business innovation (Part III) Methods for collecting data on business innovation (Chapter 9) Object-based approaches for measuring and analysing business innovation (Chapter 10) Using innovation data: statistical indicators and analysis (Chapter 11) 1.2.4. Cross-cutting issues covered within this manual 1.2.5. Digitalisation and innovation 1.2.6. Globalisation and innovation 1.3. Implementing the guidance in this manual 1.3.1. Nature of the guidance in this manual Glossary of terms and online annex material 1.3.2. Transition and implementation References Chapter 2. Concepts for measuring innovation 2.1. Introduction 2.2. The concept of innovation 2.2.1. Conceptual foundations 2.2.2. Knowledge 2.2.3. Novelty with respect to potential uses 2.2.4. Implementation and actual use 2.2.5. Value creation 2.3. User needs and relevance of statistical evidence on innovation 2.3.1. Research academics 2.3.2. Business managers 2.3.3. Innovation and other public policy makers 2.4. Elements of an innovation measurement framework 2.4.1. Scope of innovation measurement: SNA sectors and jurisdictions The jurisdiction for data collection SNA sectors and this manual’s focus on business enterprises 2.4.2. Innovation phenomena for measurement The object of innovations Activities leading to and following from innovations Transactions and assets of relevance to innovation Knowledge flows Innovation policies, laws and regulations Innovation outcomes 2.5. General strategies for measuring innovation 2.5.1. Subject- versus object-based approaches 2.5.2. Qualitative and quantitative data 2.5.3. Sources of innovation data Census and sample statistical surveys Administrative and commercially generated data 2.5.4. Responsibility for primary source data collection National statistical organisations Other organisations 2.5.5. Summary of the measurement approach in this manual 2.6. Measuring innovation beyond the Business sector 2.6.1. Innovation in the General government sector 2.6.2. Innovation and non-profit institutions 2.6.3. Innovation, households and individuals References Part II. Framework and guidelines for measuring business innovation Chapter 3. Concepts and definitions for measuring business innovation 3.1. Introduction 3.2. Innovation in the Business enterprise sector 3.2.1. Definition of innovation activities and innovation 3.2.2. Division of innovation effort and responsibilities 3.3. Taxonomies of innovation 3.3.1. Innovation types by object: Product and business process innovations Product innovation Types of products Business process innovation Types of business processes Comparison of innovation types with the previous edition of the Oslo Manual Combinations of several innovation types by object Business model innovations 3.3.2. Types of innovation according to novelty and impacts 3.4. Changes that are not innovations 3.5. Innovation and business profiling 3.5.1. Innovative and innovation-active firms 3.6. Use of innovation definitions in data collection 3.6.1. Use of the term “innovation” in surveys 3.6.2. Innovation profiles 3.6.3. Priorities for data collection about innovations References Chapter 4. Measuring business innovation activities 4.1. Introduction and main features of innovation activities 4.2. Types of activities of relevance to innovation 4.2.1. Research and experimental development activities 4.2.2. Engineering, design and other creative work activities 4.2.3. Marketing and brand equity activities 4.2.4. Intellectual property related activities 4.2.5. Employee training activities 4.2.6. Software development and database activities 4.2.7. Activities related to the acquisition or lease of tangible assets 4.2.8. Innovation management 4.3. Collecting qualitative data on the incidence of innovation activities 4.3.1. Internal and externally sourced activities 4.3.2. Qualitative data on specific activities related to innovation 4.4. Collecting expenditure data on innovation activities 4.4.1. Conceptual issues in measuring innovation expenditures Reference period Challenges 4.4.2. Expenditures for specific innovation activities 4.4.3. Expenditures by accounting categories for innovation-active firms 4.4.4. Sources of funds for innovation activities 4.5. Other data on innovation activities 4.5.1. Collecting data on human resources for innovation activities 4.5.2. Data on innovation projects 4.5.3. Follow-on activities 4.5.4. Planned innovation activities and expenditures 4.6. Summary of recommendations References Chapter 5. Measuring business capabilities for innovation 5.1. Introduction 5.2. General resources of the firm 5.2.1. Firm size 5.2.2. Business assets 5.2.3. Age 5.2.4. Financing and ownership 5.3. Management capabilities 5.3.1. Business strategy 5.3.2. Organisational and managerial capabilities 5.3.3. Characteristics of the business owner and top management 5.3.4. Innovation management capabilities 5.3.5. Intellectual property management and appropriation 5.4. Workforce skills and human resource management 5.4.1. Workforce qualifications, occupational structure and competences 5.4.2. Human resource management 5.5. Technological capabilities 5.5.1. Technical expertise Expertise with emerging and enabling technologies 5.5.2. Design capabilities Design thinking 5.5.3. Capabilities related to digital technologies and data analytics 5.6. Summary of recommendations References Chapter 6. Business innovation and knowledge flows 6.1. Introduction 6.2. Knowledge flows and innovation: Key concepts and definitions 6.2.1. Diffusion of innovation 6.2.2. Knowledge flows Type of knowledge Actors engaged in knowledge flows Types of knowledge flows 6.2.3. Open innovation Co-operation, collaboration and co-innovation 6.3. Collecting data on knowledge flows and their relationship to innovation 6.3.1. General issues 6.3.2. Data on knowledge flows from innovation activities Inbound knowledge for innovation Sources of inbound knowledge Outbound knowledge flows Collaboration for innovation and co-innovation 6.3.3. Sources of ideas or information for innovation 6.3.4. Interactions with higher education and public research institutions 6.3.5. IP rights and knowledge flows 6.3.6. Barriers and undesirable consequences of knowledge flows 6.4. Summary of recommendations References Chapter 7. Measuring external factors influencing innovation in firms 7.1. Introduction 7.2. Main elements of the external environment for business innovation 7.3. Location of business activities 7.4. Markets and the environment for business innovation 7.4.1. Markets for the firm’s products Industry and products Main product market Geographical markets Types of customers Main customer Influence of customers on innovation 7.4.2. Competition and collaboration in markets Competition Co-ordination and standards in markets 7.4.3. The market for inputs Suppliers Human resources and the labour market Markets for finance 7.4.4. Intermediaries and digital platforms 7.5. The public policy environment for business innovation 7.5.1. Regulations 7.5.2. Government support programmes International comparisons 7.5.3. Innovation and public infrastructure 7.5.4. Macroeconomic policy environment 7.6. The social and natural environment for innovation 7.6.1. The social context for innovation 7.6.2. The natural environment 7.7. External factors as drivers and obstacles to business innovation 7.7.1. External factors as drivers of innovation 7.7.2. External factors as barriers or obstacles to innovation 7.8. Summary of recommendations References Chapter 8. Objectives and outcomes of business innovation 8.1. Introduction 8.2. Qualitative measures of business innovation objectives and outcomes 8.2.1. Types of innovation objectives and outcomes 8.2.2. Innovation objectives and outcomes in relation to business strategies 8.3. Quantitative measures of innovation outcomes 8.3.1. Quantitative measures for product innovation Share of sales accounted for by product innovations Other quantitative measures of product innovation 8.3.2. Quantitative outcome data for business process innovations 8.4. Issues for measurement 8.5. Summary of recommendations References Part III. Methods for collecting, analysing and reporting statistics on business innovation Chapter 9. Methods for collecting data on business innovation 9.1. Introduction 9.2. Population and other basic characteristics for a survey 9.2.1. Target population 9.2.2. Statistical units and reporting units Statistical unit Reporting units Main economic activity Unit size 9.2.3. Data linkage 9.2.4. Frequency of data collection 9.2.5. Observation and reference periods 9.3. Question and questionnaire design 9.3.1. Question design Question adaptation and translation Question comprehension and quality Nominal and ordinal response categories 9.3.2. Questionnaire design Filters Question order 9.3.3. Short-form questionnaires 9.3.4. Combining innovation and other business surveys 9.3.5. Questionnaire testing 9.4. Sampling 9.4.1. The survey frame 9.4.2. Census versus sample Stratified sampling Domains (sub-populations of high interest) 9.4.3. Longitudinal panel data and cross-sectional surveys 9.5. Data collection methods 9.5.1. Postal surveys 9.5.2. Online surveys Collecting paradata in online surveys 9.5.3. Telephone and face-to-face interviews 9.5.4. Combined survey methods 9.6. Survey protocol 9.6.1. Respondent identification 9.6.2. Support for respondents 9.6.3. Mandatory and voluntary surveys 9.6.4. Non-response Improving response rates Managing low unit response rates 9.6.5. Conducting non-response surveys 9.7. Post-survey data processing 9.7.1. Error checks Out of scope units Data validation checks Relational checks Routing error checks 9.7.2. Imputation of missing data 9.7.3. Calculating weights 9.8. Publication and dissemination of results 9.8.1. Metadata and quality reports 9.8.2. Data access References Chapter 10. The object method for innovation measurement 10.1. Introduction 10.2. Including an “object module” in an innovation survey 10.2.1. Identifying a focal innovation within surveys 10.2.2. Non-innovative firms 10.3. Questions on a focal innovation 10.3.1. Characteristics of the focal, most important innovation 10.3.2. Innovation activities contributing to the focal innovation 10.3.3. Business capabilities contributing to the focal innovation 10.3.4. Knowledge flows contributing to and generated by the focal innovation 10.3.5. External factors influencing the focal innovation 10.3.6. Objectives and outcomes of the focal innovation 10.4. Summary of recommendations References Chapter 11. Use of innovation data for statistical indicators and analysis 11.1. Introduction 11.2. Data and indicators on business innovation 11.2.1. What are innovation indicators and what are they for? 11.2.2. Desirable properties of innovation indicators 11.2.3. Recommendations and resources for innovation indicators Basic principles International comparisons International resources 11.3. Methodologies for constructing business innovation indicators 11.3.1. Aggregation of statistical indicators Micro and macro indicators Dimensionality reduction for indicators 11.3.2. Indicator development and presentation for international comparisons 11.3.3. Firm-level innovation rankings 11.4. A blueprint for indicators on business innovation 11.4.1. Choice of innovation indicators 11.4.2. Breakdown categories, scaling, and typologies Typologies of innovative/innovation-active firms 11.4.3. Choice of statistical data for innovation indicators Official versus non-official sources Suitability of innovation survey data for constructing statistical indicators Change versus current capabilities 11.5. Using data on innovation to analyse innovation performance, policies and their impacts 11.5.1. Modelling dependencies and associations 11.5.2. Inference of causal effects in innovation analysis Impact analysis and evaluation terminology Direct and indirect measurement of outcomes Challenges for indirect measurement of outcomes Matching estimators Structural analysis of innovation data: The CDM model 11.5.3. Analysing the impact of public innovation policies The policy evaluation problem Data requirements and randomisation Policy evaluation without randomisation Procedures 11.5.4. Co-ordinated analysis of innovation microdata across countries Analysis with pooled microdata Distributed, multi-country microdata analysis 11.6. Conclusions References Glossary of terms