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  • Oslo Manual

    ISBN 92-64-01308-3 92 2005 11 1 P

    Oslo Manual

    GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA

    The Measurement of Scientific and Technological Activities

    The ability to determine the scale of innovation activities, the characteristics of innovating 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. The Oslo Manual is the foremost international source of guidelines for the collection and use of data on innovation activities in industry. This third edition has been updated to take account of the progress made in understanding the innovation process and its economic impact, and the experience gained from recent rounds of innovation surveys in OECD and non-member countries. For the first time, the Manual investigates the field of non-technological innovation and the linkages between different innovation types. It also includes an annex on the implementation of innovation surveys in developing countries.

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    www.oecd.org

    The full text of this book is available on line via these links:http://www.sourceoecd.org/scienceIT/9264013083http://www.sourceoecd.org/statisticssourcesmethods/9264013083

    Those with access to all OECD books on line should use this link:http://www.sourceoecd.org/9264013083

    SourceOECD is the OECDs online library of books, periodicals and statistical databases. For more information about this award-winning service and free trials ask your librarian, or write to us at

    3rd

    Ed

    ition

    O

    slo

    Manual

    GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA

    E U R O P E A N C O M M I S S I O N

    E U R O P E A N C O M M I S S I O N

    3rd Edition3rd Edition

  • The Measurement of Scientific and Technological Activities

    Oslo Manual

    GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA

    Third edition

    A joint publication of OECD and Eurostat

    ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENTSTATISTICAL OFFICE OF THE EUROPEAN COMMUNITIES

  • ORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENT

    The OECD is a unique forum where the governments of 30 democracies worktogether to address the economic, social and environmental challenges of globalisation.The OECD is also at the forefront of efforts to understand and to help governmentsrespond to new developments and concerns, such as corporate governance, theinformation economy and the challenges of an ageing population. The Organisationprovides a setting where governments can compare policy experiences, seek answers tocommon problems, identify good practice and work to co-ordinate domestic andinternational policies.

    The OECD member countries are: Australia, Austria, Belgium, Canada, theCzech Republic, Denmark, Finland, France, Germany, Greece, Hungary, Iceland,Ireland, Italy, Japan, Korea, Luxembourg, Mexico, the Netherlands, New Zealand,Norway, Poland, Portugal, the Slovak Republic, Spain, Sweden, Switzerland, Turkey,the United Kingdom and the United States. The Commission of the EuropeanCommunities takes part in the work of the OECD.

    OECD Publishing disseminates widely the results of the Organisations statisticsgathering and research on economic, social and environmental issues, as well as theconventions, guidelines and standards agreed by its members.

    Publi en franais sous le titre :

    Manuel dOslo 3e dition

    PRINCIPES DIRECTEURS POUR LE RECUEIL

    ET LINTERPRTATION DES DONNES SUR LINNOVATION

    OECD 2005

    No reproduction, copy, transmission or translation of this publication may be made without written permission.

    Applications should be sent to OECD Publishing: rights@oecd.org or by fax (33 1) 45 24 13 91. Permission to photocopy a

    portion of this work should be addressed to the Centre franais d'exploitation du droit de copie, 20, rue des

    Grands-Augustins, 75006 Paris, France (contact@cfcopies.com).

    This manual has been endorsed by the OECD Committee for Scientific

    and Technological Policy (CSTP), the OECD Committee on Statistics (CSTAT)

    and the Eurostat Working Party on Science, Technology and Innovation

    Statistics (WPSTI).

  • OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA

    Foreword

    It has been long understood that the generation, exploitation and diffusion of knowledgeare fundamental to economic growth, development and the well being of nations. Centralto this is the need for better measures of innovation. Over time the nature and landscape

    of innovation have changed, and so has the need for indicators to capture those changesand provide policy makers with appropriate tools of analysis. A considerable body of workwas undertaken during the 1980s and 1990s to develop models and analytical

    frameworks for the study of innovation. Experimentation with early surveys and theirresults, along with the need for a coherent set of concepts and tools led to the first editionof the Oslo Manual in 1992, which focused on technological product and process (TPP)

    innovation in manufacturing. This became the reference for various large scale surveysexamining the nature and impacts of innovation in the business sector, such as the

    European Community Innovation Survey (CIS), currently in its fourth round. Results fromsuch surveys have driven further refinements in the Oslo Manual framework in terms ofconcepts, definitions and methodology leading to a second edition published in 1997 which,

    among other things, expanded coverage to service sectors.

    Since then, the analysis of results from surveys and changing policy needs led to

    the launching of another revision of the manual, the result of which can be found inthis third edition. As there has been a growing sense that much of innovation in servicesectors is not adequately captured by the TPP concept, it was decided to address the

    question of non technological innovation in this revision. As a result, the scope of whatis considered an innovation has now been expanded to include two new types:marketing and organisational innovation. These are certainly new concepts, but they

    have already been tested in several OECD countries, with promising results.

    New to this edition is also an effort to address the systemic dimension ofinnovation, through a chapter focusing on innovation linkages. Lessons drawn from

    results of previous surveys have also been incorporated in order to refine existingconcepts and methodological issues, such as the measurement of innovation inputsand outcomes, as well as the improvement of data collection methods.

    Innovation also occurs outside the OECD region: a growing number of countriesin Latin America, Eastern Europe, Asia and Africa have begun undertaking surveysbased on the Oslo Manual. Although the design of those surveys was usually intended

    to comply with such standards, many of them have adapted the Oslo methodology totake into account specific user needs and the characteristics of statistical systems inthese countries with different economic and social backgrounds. National adaptations

    ISBN 92-64-01308-3 OECD/EUROPEAN COMMUNITIES 2005 3

  • OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA

    were developed by each country and followed different approaches. For example, it iswidely accepted that diffusion and incremental changes to innovation account for

    much of the innovation occurring in non OECD countries. Using these rich and diverseexperiences, an annex has been added to this edition of the Oslo Manual that draws onsome of the lessons learned, and provides further guidance for future innovation

    surveys in non OECD countries.

    The Oslo Manual, developed jointly by Eurostat and the OECD, is part of a

    continuously evolving family of manuals devoted to the measurement andinterpretation of data relating to science, technology and innovation. This includesmanuals, guidelines and handbooks covering R&D (Frascati Manual), globalisation

    indicators, patents, the information society, human resources in S&T (CanberraManual), and biotechnology statistics.

    Prepared under the joint aegis of the OECD and the European Commission(Eurostat), this third edition of the Oslo Manual is the result of a three yearcollaborative process that has involved the OECD Working Party of National Experts

    on Science and Technology Indicators (NESTI) and the Eurostat Working Party onScience, Technology and Innovation Statistics (WPSTI) as well as a number of outsideexperts. This manual provides guidelines for collecting and interpreting innovation

    data in an internationally comparable manner. Finding consensus has sometimesmeant reaching compromises and agreeing to conventions. As with other suchguidelines, there are known limitations, but each edition of the Oslo Manual

    constitutes a step forward in our understanding of the innovation process. While thisongoing, incremental learning incorporates the lessons of earlier studies, the Manual isalso an ambitious tool in which experimentation and testing are used to challenge the

    boundaries of what is understood by innovation.

    Many should be thanked for their valuable contributions. A special

    acknowledgement goes to experts from Canada, France, Germany, Italy, Japan, theNetherlands, Norway and the United Kingdom who led the work of six focus groups whichexamined a variety of topics and expressed valuable recommendations for the revision. The

    drafting of the revised Oslo Manual was undertaken by Dr. Peter Mortensen and Dr. CarterBloch from the Danish Centre for Studies in Research and Research Policy, under theguidance of

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