eurostat methodologies and practice – innovation statistics and indicators for monitoring of...
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EUROSTAT METHODOLOGIES AND PRACTICE – INNOVATION STATISTICS AND
INDICATORS FOR MONITORING OF EUROPEAN INNOVATION SYSTEM
Reni Petkova - EUROSTAT
2-3 October 2008 Belgrade
2-3 October 2008 Belgrade
INTRODUCTION
EU LEGAL BASE ON INNOVATION STATISTICS
STANDARDISED APPROACH FOR INNOVATION DATA COLLECTION: CIS - BRIEF HISTORY
HARMONISED METHODOLOGY AND QUESTIONNAIRE FOR CIS 4
INDICATORS FOR MEASUREMENT OF INNOVATION ACTIVITY AT EU LEVEL
SUMMARY RESULTS FROM CIS 3 AND CIS 4
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INTRODUCTION
BROAD-BASED INNOVATION STRATEGY FOR EU
Main objectives:
To translate investments in knowledge into economic practice in order to make effective use of it
To foster innovation as a main asset of the EU economy
To lay down a framework for promoting all types of innovation
To encourage the development of innovation- friendly lead markets
EU to become an innovation-based society
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INTRODUCTION
Sound statistical basis is needed in order to support the political efforts in the field of innovation. The Community Innovation Survey (CIS) provides this basis, being the main statistical instrument that allows monitoring the progress achieved towards the realization of EU innovation strategy
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LEGAL BASE FOR ESTABLISHMENT AND DEVELOPMENT OF HARMONISED STATISTICS ON INNOVATION AT EU LEVEL
Framework legal act: Decision № 1608/2003/EC of the EP and of the Council concerning the production and development of Community Statistics on science and technology
Legal implementation measure: Commission Regulation № 1450/2004 implementing Decision № 1608/2003/EC of the EP and of the Council concerning the production and development of Community statistics on innovation
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REQUIREMENTS OF CR № 1450/2004 ON INNOVATION STATISTICS
List of statistical variables to be compiled
Every two years:
1/ Number of innovation active enterprises
2/ Number of innovating enterprises that introduced new or significantly improved products, new to the market
3/ Turnover from innovation, related to new or significantly improved products, new to the market
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4/ Turnover from innovation, related to new or significantly improved products, new to the firm, but not new to the market
5/ Number of innovation active enterprises involved in innovation cooperation - by type of cooperation
Every four years:
6/ Innovation expenditure (optional)
7/ Number of innovation active enterprises that indicated highly important effects of innovation - by type of effects
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8/ Number of innovation active enterprises that indicated highly important sources of information for innovation - by type of source (optional)
9/ Number of enterprises facing important hampering factors - by type of hampering factors
Beyond the statistics listed above, MS shall compile additional statistics (including their breakdowns) in accordance with the main themes listed in the Oslo Manual. These additional statistics will be decided in close cooperation with MS
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Breakdowns of the variables and their measurement units (in absolute value and as a percentage)
Harmonised concepts and definitions to be implemented - the most recent version of Oslo manual
Type of variables on innovation: Obligatory Optional
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Economic activities and sectors to be covered - minimum NACE Rev.1.1 sections: C, D, E, I, J; divisions: 51, 72 and groups: 74.2 and 74.3
Breakdowns of the results:
By economic activity at division level (2-digits of NACE Rev.1.1)
By economic activity at section level (1-digit of NACE Rev.1.1.) and by size classes in terms of employees: Small (10 - 49); Medium (50 - 249); Large (above 249)
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Data sources to be used by MS - combination of different sources: sample surveys, administrative data or others of equivalent quality
Frequency of data compilation:
Four yearly (CIS) - 7 obligatory and 2 optional variables
Biannual, on each even year (CIS Light) - 5 obligatory variables
Types of data to be transmitted to Eurostat Aggregated statistics - compulsory Individual data records for all units surveyed - voluntary
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Deadlines for data transmission to Eurostat: within 18 months after the end of the calendar year of the reference period
Confidential data provision
Standard transmission format for delivery of data to Eurostat
For aggregated data - excel
For individual data - CSV file
Transmission media - eDAMIS
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Quality evaluation of innovation data by MS and Eurostat - Quality reports
Standard survey questionnaire for the CIS carried out every four years - shall cover the main themes listed in the Oslo Manual
Methodological recommendations for the CIS - shall at least cover the target population, the survey methodology (including regional aspects), the harmonised survey questionnaire, the collection, processing and transmission of the data and data quality requirements
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STANDARDISED APPROACH FOR INNOVATION DATA COLLECTION
COMMUNITY INNOVATION SURVEY - BRIEF HISTORY
Before establishment of EU legal base (under gentleman agreement with the MS)
CIS 1
Conducted in 1993 for reference period (1990 - 1992) Coverage - limited to the manufacturing sector Invalidated EU totals and averages Only separate results published for each country
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CIS 2
Conducted in 1997 for reference period (1994 - 1996)
Coverage - manufacturing sector and selected services
Questionnaire - two different questionnaires used for manufacturing and services
Methodology based on the 1997 revision of the Oslo manual (2nd edition)
Calculation of EU averages
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CIS 3
Conducted in 2001 for reference period (1998 - 2000)
Coverage - manufacturing sector and entire service sector
Questionnaire - common standard questionnaire for both manufacturing and service sector
Harmonised methodological recommendations
Transmission of aggregated and micro data to Eurostat
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CIS light
Conducted in 2003 for reference period (2000 - 2002)
Limited to the main indicators on innovation
Carried out in several countries
Transmission of aggregated and micro data to Eurostat
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After establishment of EU legal base
CIS 4
Conducted in 2005 for reference period (2002 - 2004)
Compulsory for the MS - in line with CR № 1450/2004
Went beyond 1997 Oslo manual (2nd edition) including organizational and marketing innovations
Transmission of aggregated data (compulsory) and micro data (voluntary) to Eurostat
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CIS 2006 (light)
Conducted in 2006 for reference period (2004 - 2006)
Compulsory for the MS - in line with CR № 1450/2004
Methodology based on 2005 Oslo manual (3rd edition)
Included on voluntary basis pilot modules on organizational and marketing innovations and knowledge management
Transmission of aggregated data (compulsory) and micro data (voluntary) to Eurostat
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CIS 2008 Currently at final preparatory stage
Will be conducted in 2009 for reference period (2006 - 2008)
Questionnaire will include:
‘One-off’ module on eco-innovation
Industrial design as a separate innovation activity
Revised and expanded versions of questions on organisational and marketing innovation
Innovation objectives instead innovation effects
Questions on hampering factors and intellectual property will be dropped
Implementation of NACE Rev. 2
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HARMONISED METHODOLOGICAL RECOMMENDATIONS FOR CIS4
TARGET POPULATION
Core coverage (obligatory):
Mining and quarrying (NACE 10-14)
Manufacturing (NACE 15-37)
Electricity, gas and water supply (NACE 40-41)
Wholesale trade (NACE 51)
Transport, storage and communication (NACE 60-64)
Financial intermediation (NACE 65-67)
Computer and related activities (NACE 72)
Architectural and engineering activities (NACE 74.2)
Technical testing and analysis (NACE 74.3)
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Additional (non-core) coverage (voluntary)in descending priority order:
Research and development (NACE 73)
Construction (NACE 45) Motor trade (NACE 50) Retail trade (NACE 52) Legal, accounting, market research, consultancy and management services (NACE 74.1) Advertising (NACE 74.4) Labour recruitment and provision of personnel (NACE 74.5)
Investigation and security activities (NACE 74.6) Industrial cleaning services (NACE 74.7)
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TARGET POPULATION
Size-classes - minimum all enterprises with 10 employees or more Statistical unit - the enterprise
Observation period - 2002-2004 inclusive; the reference period - year 2004
SURVEY METHODOLOGY
Sampling frame - official, up-to-date, statistical business register
Type of survey - census, sample survey or a combination of both
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SURVEY METHODOLOGY
Stratification variables: - Economic activities (NACE Rev.1.1 at 2-digits; NACE 74 at 3-digits) - Enterprise size (number of employees) - Regional aspects
Sample size - to meet the precision levels requiredfor 5 basic indicators (listed below)
Sample selection and allocation - random sampling techniques, optimum allocation
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COLLECTING AND PROCESSING OF DATA
SAS programs for processing the data - provided by Eurostat
Survey questionnaire - harmonised survey questionnaire for all NACE Rev.1.1 sectors
Data collection - mainly by mail, might be combined with other surveys
Data editing - data quality checks at micro- and macro-level, checking routines of the SAS programs
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DATA QUALITY
Response rates - efforts to minimise unit (and item) non-response; at least two reminder letters
Unit non-response and non-response survey - If non-respondents exceed 30%, non-response survey in at least 10% of the non-respondents should be carriedout aiming to determine if the non-respondents are innovators or not
Item non-response - should be kept at a minimum by asking the enterprises for the additional information needed
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Imputation - by SAS application
For metric variables - weighted mean within the stratum is applied
For ordinal, nominal and percentage variables – nearest-neighbour imputation technique is used
Weighting and calibration - software packages to derive calibrated weights (CLAN, CALMAR, CALJACK)
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Precision of results - determined 95% confidence intervals for 5 indicators
1/ Percentage of innovation active enterprises
2/ Percentage of innovators that introduced new or improved products to the market
3/ New or improved products, as a percentage of total turnover
4/ Percentage of innovation active enterprises involved in innovation cooperation
5/ Total turnover per employees
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TRANSMISSION OF DATA
Types of data to be transmitted - aggregated data (compulsory); micro data (voluntary)
Output tabulation scheme - developed by Eurostat in cooperation with MS
Transmission tools - eDamis
Deadlines - 18 months after the end of the reference period
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CIS 4 HARMONISED QUESTIONNAIRE
CIS 4 harmonised questionnaire includes all variables defined in CR № 1450/2004 (obligatory and optional) plus some additional highly required variables (voluntary)
CIS 4 questionnaire comprises 11 sections:
1/ General information about the enterprise
2/ Product innovation
3/ Process innovation
4/ Ongoing or abandoned innovation activities
5/ Innovation activities and expenditures
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CIS 4 HARMONISED QUESTIONNAIRE
6/ Sources of information and co-operation for innovation activities
7/ Effects of innovation
8/ Factors hampering innovation activity
9/ Intellectual property right
10/ Organisational and marketing innovations
11/ Basic economic information on the enterprise (turnover, employees)
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INDICATORS FOR MEASUREMENT OF INNOVATION ACTIVITY AT EU LEVEL PRODUCT AND PROCESS INNOVATION INDICATORS
By type of innovation activity
Product innovators only
Process innovators only
Product and process
Enterprises with only ongoing and/or abandoned innovation activity
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PRODUCT AND PROCESS INNOVATION INDICATORS
By location of innovation development
Enterprises with product innovation activity developed
Mainly by the enterprise or enterprise group By the enterprise together with other enterprises or institution Mainly by other enterprises or institutions
Enterprises with process innovation activity developed
Mainly by the enterprise or enterprise group By the enterprise together with other enterprises or institution Mainly by other enterprises or institutions
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PRODUCT AND PROCESS INNOVATION INDICATORS
By type of product innovation
Enterprises that have new or significantly improved products Only new to the firm New to the market
Turnover of: Unchanged or marginally modified products New or significantly improved products only new to the firm New or significantly improved products new to the market
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS Enterprises, engaged in:
Intramural (in-house) R&D - (Continuous R&D / Occasional R&D)
Extramural R&D
Acquisition of machinery, equipment and software
Acquisition of other external knowledge
Training
Market introduction of innovations
Other preparations
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS
Total innovation expenditure in 2004:
Intramural (in-house) R&D - (Continuous R&D / Occasional R&D)
Extramural R&D
Acquisition of machinery, equipment and software
Acquisition of other external knowledge
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INNOVATION ACTIVITY AND EXPENDITURE INDICATORS
Enterprises that received public funding from:
Local or regional authorities
Central government
The European Union (EU)
From the 5th or 6th Framework Programme
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OTHER INDICATORS COMPILED FOR ENTERPRISES WITH INNOVATION ACTIVITY
Enterprises indicating high importance of selected sources of information for innovation activities (Internal sources, Market sources, Institutional sources, Other sources)
Enterprises with innovation co-operation by the type of partner and its location
Enterprises indicating the most valuable type of co-operation partners
Enterprises indicating high (observed) effect of selected effects of innovation activities (Product oriented effects, Process oriented effects, Other effects)
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INDICATORS COMPILED FOR BOTH ENTERPRISES WITH AND WITHOUT INNOVATION ACTIVITY
Enterprises with abandoned or seriously delayed innovation activity
Enterprises indicating the high importance of selected factors hampering innovation activity (Cost factors, Knowledge factors, Market factors)
Enterprises indicating the high importance of selected reasons for not innovating (Due to prior innovations, Because of no demand for innovations)
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INDICATORS COMPILED FOR BOTH ENTERPRISES WITH AND WITHOUT INNOVATION ACTIVITY
Enterprises used selected protection methods of intellectual property rights (Applied for a patent, Registered a trademark, Registered an industrial design, Claimed copyright)
Enterprises which introduced organisational and/or marketing innovations
Enterprises indicating highly important effects of organisational innovation
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INDICATORS FOR MEASUREMENT OF INNOVATION ACTIVITY AT EU LEVEL
All indicators compiled on innovation are broken down by economic activities (NACE Rev.1.1) and size classes (by number of employees)
National aggregated CIS 4 data are sent to Eurostat in standard output tabulation scheme, containing 18 Tables in Excel workbook. Data validation rules are in place within the tables
CIS 4 aggregated and micro data are received electronically via eDAMIS from 29 countries: 25 MS;2 CC (BG, RO) and 2 Others (IS, NO)
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QUALITY EVALUATION OF INNOVATION DATA
Quality Reports produced by MS cover six quality criteria and cost/burden issue:
Relevance
Accuracy
Timelines and Punctuality
Accessibility and Clarity
Comparability
Coherence
Cost and Burden
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QUALITY INDICATORS
Data availability rate; Coefficient of variance; Coverage errors; Measurement errors; Processing errors; Non-response (unit, item); Imputation rate; Coherence with Structural business statistics (SBS); Time spent for production of innovation data (response burden); Cost of innovation statistics
Example for quality indicator on coherence of data originating from SBS and CIS 4: Differences between data on turnover for all enterprises in NACE C ‘Mining and quarrying’
SBS turnover as a % of CIS 4 turnover, NACE C ‘Mining and quarrying’ - reference year 2004
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INNOVATION DATA DISSEMINATION AND PUBLICATIONS
Eurostat data base NewCronos
Aggregated data for CIS 2, CIS 3, CIS 4 and CIS light are stored into NewCronos
Data availability for 29 countries: 25 MS; 2 CC (BG, RO)and 2 Others (IS, NO)
All data are available free of charge on the Eurostat webpage, theme Science and technology
http://epp.eurostat.cec.eu.int/portal/page?_pageid=1090,30070682,1090_30298591&_dad=portal&_schema=PORTAL
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INNOVATION DATA DISSEMINATION AND PUBLICATIONS
Anonymised micro data on innovation are available on CD for further scientific research
It is also possible to access the non-anonymised micro data via the SAFE Centre at the premises of Eurostat in Luxembourg
The description of the micro data and ways to access these one are available on our website at the following link:
http://epp.eurostat.ec.europa.eu/portal/page?_pageid
=1913,47567825,1913_57936852&_dad=portal&_schema=PORTAL
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EUROSTAT PUBLICATIONS
News release
Statistics in Focus
Pocket books
Statistical books
All R&D data and publications can be downloaded in electronic from without charges, through the Eurostat homepage http://epp.eurostat.ec.europa.eu
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SUMMARY RESULTS FROM CIS 3 AND CIS 4
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INDUSTRY SERVICES
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