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The Measurement of Scientific and Technological ActivitiesOslo ManualGUIDELINES FOR COLLECTINGAND INTERPRETING INNOVATION DATAThird editionA joint publication of OECD and EurostatORGANISATION FOR ECONOMIC CO-OPERATION AND DEVELOPMENTSTATISTICAL OFFICE OF THE EUROPEAN COMMUNITIES

ORGANISATION FOR ECONOMIC CO-OPERATIONAND DEVELOPMENTThe 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 Organisation’s statisticsgathering and research on economic, social and environmental issues, as well as theconventions, guidelines and standards agreed by its members.This manual has been endorsed by the OECD Committee for Scientificand Technological Policy (CSTP), the OECD Committee on Statistics (CSTAT)and the Eurostat Working Party on Science, Technology and InnovationStatistics (WPSTI).Publié en français sous le titre :Manuel d’Oslo 3e éditionPRINCIPES DIRECTEURS POUR LE RECUEILET L’INTERPRÉTATION DES DONNÉES SUR L’INNOVATION OECD 2005No reproduction, copy, transmission or translation of this publication may be made without written permission.Applications should be sent to OECD Publishing: [email protected] or by fax (33 1) 45 24 13 91. Permission to photocopy aportion of this work should be addressed to the Centre français d'exploitation du droit de copie, 20, rue desGrands-Augustins, 75006 Paris, France ([email protected]).

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATAForewordIt 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 landscapeof 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 analyticalframeworks 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 theEuropean 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 tothe 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 thequestion 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 theyhave 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 fromresults 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 intendedto 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 adaptationsISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 20053

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATAwere developed by each country and followed different approaches. For example, it iswidely accepted that diffusion and incremental changes to innovation account formuch 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 innovationsurveys in non OECD countries.The Oslo Manual, developed jointly by Eurostat and the OECD, is part of acontinuously 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), globalisationindicators, 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 Expertson 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 innovationdata 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 Manualconstitutes 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 theboundaries of what is understood by innovation.Many should be thanked for their valuable contributions. A specialacknowledgement 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. Thedrafting 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 the OECD and Eurostat. The annex on innovation surveys in developingcountries was drafted by the UNESCO Institute for Statistics, based on a proposal anddraft paper by the Red Iberoamericana de Indicadores de Ciencia y Tecnología(RICYT) and following a broad process of consultation with many national experts.Nobuo Tanaka,Director for Science,Technology and Industry,OECD4Michel Glaude,Fred Gault,Director, Directorate F Chair of NESTI;(Social Statistics andDirector, Science, InnovationInformation Society), and Electronic InformationEurostatDivision, Statistics CanadaISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 2005

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATATable of ContentsChapter 1. Objectives and Scope of the Manual . . . . . . . . . . . . . . . . . . . . .1.2.9Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Factors influencing the scope of the Manual . . . . . . . . . . . . . . . . . . . .2.1. What is measurable? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.2. What is it of value to measure? . . . . . . . . . . . . . . . . . . . . . . . . . . .Scope of the Manual. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.1. Sector coverage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.2. Innovation at the level of the firm . . . . . . . . . . . . . . . . . . . . . . . .3.3. Types of innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.4. Diffusion and the degree of novelty . . . . . . . . . . . . . . . . . . . . . . .Providing data on the key issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.1. Innovation activities and expenditures . . . . . . . . . . . . . . . . . . . .4.2. Factors influencing innovation . . . . . . . . . . . . . . . . . . . . . . . . . . .4.3. The innovating firm and the impact of innovation . . . . . . . . . .4.4. Linkages in the innovation process. . . . . . . . . . . . . . . . . . . . . . . .Some survey issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.1. Approach to data collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .The relationship between the Oslo Manual and other internationalstandards and related concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.1. Manuals for the measurement of science and technologyactivities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6.2. Other standards and classifications . . . . . . . . . . . . . . . . . . . . . . .6.3. Other related concepts and surveys . . . . . . . . . . . . . . . . . . . . . . .Final remark . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10141515161616161718181919202020Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .25Chapter 2. Innovation Theory and Measurement Needs . . . . . . . . . . . . .273.4.5.6.7.1.2.3.4.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Economics of innovation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A measurement framework . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Sectoral and regional aspects of innovation . . . . . . . . . . . . . . . . . . . .4.1. Innovation in services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.2. Innovation in low- and medium-technology industries . . . . . .4.3. Innovation in small and medium-sized enterprises . . . . . . . . .ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 20052222232425282833373838395

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA4.4. Regional innovation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.5. Globalisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Areas for investigation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.1. What can be measured? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.2. Inputs to innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.3. Linkages and the role of diffusion . . . . . . . . . . . . . . . . . . . . . . . . .5.4. The impact of innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.5. Incentives and obstacles to innovation . . . . . . . . . . . . . . . . . . . .5.6. Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.7. Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .39394040414142424343Chapter 3. Basic Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .455.1.2.3.4.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Main type of innovation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Distinguishing between types of innovations . . . . . . . . . . . . . . . . . . .4.1. Distinguishing between product and process innovations . . . .4.2. Distinguishing between product innovations and marketinginnovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.3. Distinguishing between service (product) innovations andmarketing innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.4. Distinguishing between process and marketing innovations. .4.5. Distinguishing between process and organisational innovations4.6. Distinguishing between marketing and organisationalinnovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Changes which are not considered innovations . . . . . . . . . . . . . . . . .5.1. Ceasing to use a process, a marketing method or an organisationmethod, or to market a product. . . . . . . . . . . . . . . . . . . . . . . . . . .5.2. Simple capital replacement or extension. . . . . . . . . . . . . . . . . . .5.3. Changes resulting purely from changes in factor prices . . . . . .5.4. Customisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.5. Regular seasonal and other cyclical changes . . . . . . . . . . . . . . .5.6. Trading of new or significantly improved products . . . . . . . . . .Novelty and diffusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .The innovative firm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Collecting data on innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .565656565757575859Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .61Chapter 4. Institutional Classifications . . . . . . . . . . . . . . . . . . . . . . . . . . . .635.6.7.8.1.2.6The approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .The units . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.1. The primary statistical unit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.2. The secondary statistical unit . . . . . . . . . . . . . . . . . . . . . . . . . . . .464647535354545555565664646568ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 2005

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA3.4.5.Classification by main economic activity . . . . . . . . . . . . . . . . . . . . . . .Classifications by size . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other classifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.1. Type of institution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5.2. Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6871727272Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .73Chapter 5. Linkages in the Innovation Process . . . . . . . . . . . . . . . . . . . . .751.2.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Inbound diffusion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.1. Types of linkages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.2. Collecting data on linkages in the innovation process . . . . . . .2.3. Other linkage indicators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Outbound diffusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Knowledge management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .76787882858687Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .88Chapter 6. Measuring Innovation Activities . . . . . . . . . . . . . . . . . . . . . . . .893.4.1.2.3.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .90The components and coverage of innovation activities. . . . . . . . . . .912.1. Research and experimental development . . . . . . . . . . . . . . . . . .922.2. Activities for product and process innovations. . . . . . . . . . . . . .932.3. Activities for marketing and organisational innovations . . . . .952.4. Design . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .962.5. The borderline between R&D and non-R&D innovation activities 962.6. The development and use of software in innovation activities97Collecting data on innovation activities . . . . . . . . . . . . . . . . . . . . . . . .973.1. Qualitative data on innovation activity . . . . . . . . . . . . . . . . . . . .993.2. Quantitative data on innovation activity . . . . . . . . . . . . . . . . . . . 1003.3. Other measurement issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1013.4. Breakdown by type of expenditure . . . . . . . . . . . . . . . . . . . . . . . . 1013.5. Breakdown by source of funds. . . . . . . . . . . . . . . . . . . . . . . . . . . . 1023.6. The subject approach versus the object approach . . . . . . . . . . . 103Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .104Chapter 7. Objectives, Obstacles and Outcomes of Innovation . . . . . . . .1051.2.3.Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Objectives and effects of innovations . . . . . . . . . . . . . . . . . . . . . . . . . .Other measures of impacts on enterprise performance . . . . . . . . . .3.1. Impact on turnover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.2. The impact of process innovations on costs and employment3.3. The impact of innovation on productivity . . . . . . . . . . . . . . . . . .ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 20051061061091091111117

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA4.5.Factors hampering innovation activities . . . . . . . . . . . . . . . . . . . . . . .Questions on the appropriability of innovations. . . . . . . . . . . . . . . . .Chapter 8. Survey Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1.2.112114117Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Populations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.1. The target population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2.2. The frame population . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Survey methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.1. Mandatory or voluntary survey . . . . . . . . . . . . . . . . . . . . . . . . . . .3.2. Census or sample survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.3. Domains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.4. Sampling techniques. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.5. Panel data surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.6. Survey methods and suitable respondents . . . . . . . . . . . . . . . . .3.7. The questionnaire . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .3.8. Innovation and R&D surveys . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Estimation of results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.1. Weighting methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .4.2. Non-response . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Presentation of results. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Frequency of data collection. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28129Notes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .130References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .131Annex A. Innovation Surveys in Developing Countries . . . . . . . . . . . . . .135Annex B. Examples of Innovations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1493.4.5.6.List of boxes1.1 Structure of the Manual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1.2 Manuals and other guidelines for the measurement of scientificand technological activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A.1 “Front office” vs. “back-office” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .23143List of figures2.1 The innovation measurement framework . . . . . . . . . . . . . . . . . . . . . .3414List of tables4.1 Industrial classification proposed for innovation surveys in the businessenterprise sector based on ISIC Rev. 3.1 and NACE Rev. 1.1 . . . . . . .695.1 Sources for transfers of knowledge and technology . . . . . . . . . . . . . .817.1 Factors relating to the objectives and effects of innovation . . . . . . . 1087.2 Factors hampering innovation activities . . . . . . . . . . . . . . . . . . . . . . . 1138ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 2005

ISBN 92-64-01308-3Oslo Manual: Guidelines for Collecting and InterpretingInnovation Data OECD/European Communities 2005Chapter 1Objectives and Scope of the ManualISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 20059

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA1. Introduction1.It is widely accepted that innovation is central to the growth of outputand productivity. However, while our understanding of innovation activitiesand their economic impact has greatly increased since the first edition of theManual, it is still deficient. For example, as the world economy evolves, sodoes the process of innovation. Globalisation has led to dramatic increases inaccess to information and new markets for firms. It has also resulted ingreater international competition and in new organisational forms in order tomanage global supply chains. Owing to advances in technologies and greaterflows of information, knowledge is more and more viewed as a central driverof economic growth and innovation. Yet, we do not fully understand howthese factors affect innovation.2.In order to develop policies that support innovation appropriately, it isnecessary to better understand several critical aspects of the innovationprocess, such as innovation activities other than R&D, the interactions amongactors and the relevant knowledge flows. Policy development also requiresfurther advances in the analysis of innovation, which in turn requiresobtaining better information.3.The first edition of the Manual, issued in 1992, and the surveysundertaken using it, including the Community Innovation Survey (CIS)organised by the EU and comparable surveys in Australia and Canada, showedthat it is possible to develop and collect data on the complex anddifferentiated process of innovation.4.The second edition, issued in 1997, updated the framework ofconcepts, definitions and methodology to incorporate survey experience andgreater understanding of the innovation process and to cover a wider range ofindustries. It improved the guidelines for developing internationallycomparable innovation indicators for OECD countries and discussed theanalytical and policy problems for which the indicators have relevance.5.Both the first and second editions used the technological product andprocess (TPP) definition of innovation. This reflected a focus on firms’technological development of new products and new production techniquesand their diffusion to other firms. Discussion of organisational innovation andnon-technological innovation was included in an annex.10ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 2005

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA6.Since 1992, the number of countries conducting innovation surveyshas grown dramatically: EU countries, other OECD countries such as Canada,Australia, New Zealand and Japan, and a large number of non-OECDeconomies, among them several Latin American countries, Russia and SouthAfrica.7.This third edition of the Manual draws on the large amount of data andexperience resulting from these surveys. It expands the innovationmeasurement framework in three important ways. First, it places greateremphasis on the role of linkages with other firms and institutions in theinnovation process. Second, it recognises the importance of innovation in lessR & D - i n t e n s iv e i n d u s t r i e s , s u ch a s s e r v i c e s a n d l ow - t e ch n o l o gymanufacturing. This edition modifies certain aspects of the framework (suchas definitions and relevant activities) to better accommodate the servicessector. Third, the definition of innovation is expanded to include twoadditional types of innovations, organisational innovation and marketinginnovation. Also new to the Manual is an annex on innovation surveys in nonOECD countries and reflects the fact that a growing number of them nowconduct innovation surveys.8.Evaluation of linkages is expanded because of the importance ofknowledge flows among firms and other organisations for the developmentand diffusion of innovations. This helps to highlight the role of organisationalstructures and practices that promote the sharing and use of knowledge andinteraction with other firms and public research institutions. These alsoinclude the forming of closer relationships with suppliers and ongoingdevelopment of marketing practices to better reach customers. Linkages arenow addressed in a separate chapter covering a variety of interactions rangingfrom arm’s-length exchanges of information to active involvement in jointinnovation projects.9.While the second edition of the Manual covered services, it primarilyfocused on manufacturing industries. However, innovation in servicesoriented sectors can differ substantially from innovation in manymanufacturing-oriented sectors. It is often less formally organised, moreincremental in nature and less technological. In order to establish aframework that better accommodates this broad range of industries, thisedition modifies a number of definitions, terms and concepts.10.To identify the full range of changes that firms make to improveperformance and their success in improving economic outcomes requires abroader framework than technological product and process innovation. Theinclusion of marketing and organisational innovations creates a morecomplete framework, one that is better able to capture the changes that affectfirm performance and contribute to the accumulation of knowledge.ISBN 92-64-01308-3 – OECD/EUROPEAN COMMUNITIES 200511

OSLO MANUAL: GUIDELINES FOR COLLECTING AND INTERPRETING INNOVATION DATA11.The role of organisational innovation is emphasised by Lam (2005):“Economists assume that organisational change is a response to technicalchange, when in fact organisational innovation could be a necessaryprecondition for technical innovation.” Organisational innovations are notonly a supporting factor for product and process innovations; they can alsohave an important impact on firm performance on their own. Organisationalinnovations can improve the quality and efficiency of work, enhance theexchange of information, and improve firms’ ability to learn and utilise newknowledge and technologies.12.Firms may also allocate large amounts of resources to market researchand the development of new marketing practices, such as targeting newmarkets or market segments and developing new ways of promoting products.New marketing practices can play a central role in firms’ performance.Marketing practices are also important for the success of new products, andmarket research and contacts with customers can play a crucial role inproduct and process development through demand-led innovation. Theinclusion of organisational and marketing innovation also allows for moreextensive analysis of the interactions between different types of innovations,in particular the importance of implementing organisational changes in orderto benefit from other types of innovations.13.Organisational innovations were discussed in the second edition of theManual, and there is now some practical experience with collection of data onorganisational changes. This experience includes specialised surveys onorganisational innovation (Wengel et al., 2000)and its inclusion in innovations u r veys (e.g. Au

based on the Oslo Manual. Although the d esign of those surveys was usually intended to comply with such standards, many of them have adapted the Oslo methodology to take into account specific user needs and the characteristics of statistical systems in these countries with differ