1. Innovation surveys and measurement of innovation activities Micheline Goedhuys UNU-INTECH,Maastricht, the Netherlands Goedhuys@intech.unu.edu University of Antwerp, Belgium Micheline.Goedhuys@skynet.be

2. May 30, 2005Globelics Academy 2005, Lisbon2 Relevance of innovation surveys Scarcity of data in general, on innovation in particular Stimulate research on innovative behaviour of firms monitoring and evaluation of policies Systemic nature of innovation calls for firm level information

3. May 30, 2005Globelics Academy 2005, Lisbon3 Overview of session Measuring innovation: conceptual background Overview of innovation surveys worldwide Use of innovation surveys Designing a survey for Africa: choices made Survey instrument and its use

4. May 30, 2005Globelics Academy 2005, Lisbon4 Conceptual background linear view that science, research and discovery underlie innovation innovation measured by science indicators: –R&D –engineers –patenting –bibliometrics, publications, citation indices surveys (USA, 1960s) collecting R&D, patent data;

5. May 30, 2005Globelics Academy 2005, Lisbon5 Conceptual background End 1980s, 1990s ‘activity approach’: investigating the ‘black box’ innovation results from interaction firm- market, learning, feedback (chain-link model of Kline and Rosenberg 1986) need for indicators capturing non-R&D activities and incremental change

6. May 30, 2005Globelics Academy 2005, Lisbon6 Conceptual background Harmonisation of survey efforts in the ‘Oslo Manual’, 1992, 1997, … basis for Community Innovation Surveys Measurement: innovation is measured as an activity (R&D, design, acquisition of machinery, technology, training) and an output (introduction of product or process innovations)

7. May 30, 2005Globelics Academy 2005, Lisbon7 Conceptual background Characteristics of innovation in developing countries: Importance of incremental innovation; Organisational and marketing innovation; Importance of innovation embodied in machinery and equipment (dissemination) Importance of agriculture; increased knowledge intensity in resource based sectors

8. May 30, 2005Globelics Academy 2005, Lisbon8 Conceptual background Characteristics of innovation in developing countries: Less private and more informal RD Fragmented flows of information Market structure : Small firm size and informality, foreign and state ownership Barriers to innovation:Uncertainty, infrastructure, lack of awareness, lack of government support instruments

9. May 30, 2005Globelics Academy 2005, Lisbon9 Conceptual background Towards an ‘innovation system approach’: innovation takes place in firm and system role of governments inclusion of services and resource based sectors broader concept of innovation Ongoing work for NEPAD; Expertise in Asia, Africa and Latin America, resulting in Annex to the Oslo Manual and TPB

10. May 30, 2005Globelics Academy 2005, Lisbon10 CIS First regional effort to collect innovation data: CIS-1; 13 European countries, 1990-2 CIS-2; 1994-1996; +4 countries, services CIS-3; 1998-2000; more firms, more questions CIS-4: 2002-04

11. May 30, 2005Globelics Academy 2005, Lisbon11 IS in Latin America Chile (4), Brazil (2), Mexico (2), Panama (1), Peru (1), Venezuela (1) Argentina (2), Colombia (3), Uruguay (2) Paraguay (1), Cuba (1), Ecuador (1) Bogotà Manual 2000

12. May 30, 2005Globelics Academy 2005, Lisbon12 Innovation surveys In Southeast Asia: Malaysia (3), Taiwan (1), Singapore (1) Thailand (2) In Africa: South Africa (2)

13. May 30, 2005Globelics Academy 2005, Lisbon13 Questionnaire Content (Oslo) Basic information on the firm: turnover, employment, activity, linkage with foreign firms Did your firm introduce any new or improved products/processes (and sales from them) Innovation activities (expenditures): R&D intramural, R&D extramural, acq. machinery, acq. External technology, industrial design, training, market intro R&D personnel, patent application Objectives, goals or reasons for innovating

14. May 30, 2005Globelics Academy 2005, Lisbon14 Questionnaire content (2) Sources of information for innovation Cooperation or collaboration for innovation (with competitors, customers, universities, government) Impact of innovations on firm performance Obstacles to innovation Government policy or incentives affecting innovation

15. May 30, 2005Globelics Academy 2005, Lisbon15 Comparison of surveys Organisation: national statistics agency, MOST, universities, consultants Reference period: 2 or 3 years (mostly 3) Participation: voluntary, mandatory (in Latin America)

16. May 30, 2005Globelics Academy 2005, Lisbon16 Comparison of surveys (2) Survey modalities: postal, PTEF follow up, personal interview, telephone interview, online questionnaire, CATI Sectoral coverage Firm size: cutoff points: 5, 10, 20 or 50 workers

17. May 30, 2005Globelics Academy 2005, Lisbon17 Use of innovation surveys by academics and researchers –Identify determinants to innovate –Identify constraints –Innovation and firm performance –Innovation strategies –Regional and country studies –Sector studies –Innovation patterns over time –Developing innovation indicators: measurement issues

18. May 30, 2005Globelics Academy 2005, Lisbon18 Use of innovation surveys for policy making: –Indicators for benchmarking –Mapping innovation ; innovation in new sectors –Assessing trends –Monitoring specific policy instruments

19. May 30, 2005Globelics Academy 2005, Lisbon19 Example – European innovation scoreboard : uses 20 indicators Cross-country comparisons, sectoral comparisons changes over time consensus in policy action –uses CIS based indicators % SMEs with in-house innovative activities % SMEs that collaborate on innovation total innovation expenditures as % sales % new-to-market products/sales % new-to-firm products/sales

20. May 30, 2005Globelics Academy 2005, Lisbon20 A policy-relevant survey for Africa An innovation system oriented survey - focus on the firm use of aggregate S&T indicators to complement firm- level innovation data use of panel data: trends, adaptive policy making length of questionnaire scope stratified random sample questions easy to understand, respond and code

21. May 30, 2005Globelics Academy 2005, Lisbon21 Proposed questionnaire General information questions: name, year started, address, education and global exposure of owner, # scientists engineers employed, ownership, sector, evolution of size and exports

22. May 30, 2005Globelics Academy 2005, Lisbon22 Proposed questionnaire Innovation questions: Licensing; licence contract, year obtained, from a local or foreign firm or research institute Linkages (subcontracting & outsourcing); New machinery and equipment, expend.;

23. May 30, 2005Globelics Academy 2005, Lisbon23 Introduced new/ improved existing product/process; new waste management procedures, maintenance routines, quality controls, training programs; new ways of organizing production and marketing

24. May 30, 2005Globelics Academy 2005, Lisbon24 Reasons Sources of information Collaboration Impact Obstacles

25. May 30, 2005Globelics Academy 2005, Lisbon25 Proposed questionnaire S&T indicators: # R&D employees and expenditures, patents granted, use internet Policy impact

26. May 30, 2005Globelics Academy 2005, Lisbon26 Suggested reading or sources for further consultation Smith, Keith, 2004, Measuring innovation, in: Oxford handbook of innovation, chapter 6, p.149-175 UNU-INTECH, Designing a policy relevant innovation survey for NEPAD, forthcoming The OSLO Manual, downloadable from the internet The Bogota Manual, downloadable from the internet

27. May 30, 2005Globelics Academy 2005, Lisbon27