Innovation surveys and measurement of innovation activities

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Innovation surveys and measurement of innovation
activities

• Micheline Goedhuys
• UNU-INTECH,Maastricht, the Netherlands
• Goedhuys_at_intech.unu.edu
• University of Antwerp, Belgium
• Micheline.Goedhuys_at_skynet.be

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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

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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

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Conceptual background

• linear view that science, research and discovery
  underlie innovation
• innovation measured by science indicators
• RD
• engineers
• patenting
• bibliometrics, publications, citation indices
• surveys (USA, 1960s) collecting RD, patent data

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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-RD activities
  and incremental change

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Conceptual background

• Harmonisation of survey efforts in the
• Oslo Manual, 1992, 1997,
• basis for Community Innovation Surveys
• Measurement innovation is measured as an
  activity (RD, design, acquisition of machinery,
  technology, training) and an output (introduction
  of product or process innovations)

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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

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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 innovationUncertainty,
  infrastructure, lack of awareness, lack of
  government support instruments

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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

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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

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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

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Innovation surveys

• In Southeast Asia
• Malaysia (3), Taiwan (1), Singapore (1) Thailand
  (2)
• In Africa
• South Africa (2)

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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) RD
  intramural, RD extramural, acq. machinery, acq.
  External technology, industrial design, training,
  market intro
• RD personnel, patent application
• Objectives, goals or reasons for innovating

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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

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Comparison of surveys

• Organisation national statistics agency, MOST,
  universities, consultants
• Reference period 2 or 3 years (mostly 3)
• Participation voluntary, mandatory (in Latin
  America)

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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

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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

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Use of innovation surveys

• for policy making
• Indicators for benchmarking
• Mapping innovation innovation in new sectors
• Assessing trends
• Monitoring specific policy instruments

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• 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

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A policy-relevant survey for Africa

• An innovation system oriented survey - focus on
  the firm
• use of aggregate ST 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

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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

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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.

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• Introduced new/ improved existing
  product/process
• new waste management procedures,
• maintenance routines,
• quality controls,
• training programs
• new ways of organizing production and marketing

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• Reasons
• Sources of information
• Collaboration
• Impact
• Obstacles

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Proposed questionnaire

• ST indicators
• RD employees and expenditures,
• patents granted,
• use internet
• Policy impact

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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

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