innovation statistics in russia: methodology and results
DESCRIPTION
STATE UNIVERSITY – HIGHER SCHOOL OF ECONOMICS Institute for Statistical Studies and Economics of Knowledge. Innovation Statistics in Russia: Methodology and Results. Prof. Leonid Gokhberg. Outline. Policy demand for data on innovation The measurement of inovation: international standards - PowerPoint PPT PresentationTRANSCRIPT
Innovation Statistics in Russia: Methodology and
Results
Innovation Statistics in Russia: Methodology and
Results
Prof. Leonid GokhbergProf. Leonid Gokhberg
STATE UNIVERSITY – HIGHER SCHOOL OF ECONOMICS
Institute for Statistical Studies and Economics of Knowledge
STATE UNIVERSITY – HIGHER SCHOOL OF ECONOMICS
Institute for Statistical Studies and Economics of Knowledge
2
OutlineOutline
Policy demand for data on innovation The measurement of inovation:
international standards Innovation statistics in Russia:
methodology and organisation Results from the Russian innovation
survey Conclusions and perspectives
Policy demand for data on innovation The measurement of inovation:
international standards Innovation statistics in Russia:
methodology and organisation Results from the Russian innovation
survey Conclusions and perspectives
3
Technology and innovation are key drivers of increased growth performance
Technology and innovation are key drivers of increased growth performance
Correlation between
expenditure on R&D / innovation and GDP growth
1% 0.05-0.15%
Correlation between
expenditure on R&D / innovation and GDP growth
1% 0.05-0.15%
(OECD, 2000)(OECD, 2000)
Increasing R&D intensity and innovation activities of all economy sectors
Technology & innovation cycles shortened Stronger orientation of R&D to market demand
Increasing R&D intensity and innovation activities of all economy sectors
Technology & innovation cycles shortened Stronger orientation of R&D to market demand Networked economy
– Nonlinear innovation model – Overcoming institutional barriers – Networks & linkages
Networked economy– Nonlinear innovation model – Overcoming institutional barriers – Networks & linkages
4
Innovation Companies /
universities Small firms Private
capital / ventures
Innovation Companies /
universities Small firms Private
capital / ventures
R&D Research
Institutes Large
enterprises Government
financing
R&D Research
Institutes Large
enterprises Government
financing
Nations - leaders of the new economy Nations - leaders
of the new economy RussiaRussia
5
The Oslo Manual and the Community Inovation Survey (CIS)The Oslo Manual and the Community Inovation Survey (CIS)
Oslo Manual (2005)
A single broader definition of innovation
Oslo Manual (2005)
A single broader definition of innovation
CIS1 (1993). Period 1990-92Manufacturing
CIS2 (1997). Period 1996-96Manufacturing + selected services
CIS1 (1993). Period 1990-92Manufacturing
CIS2 (1997). Period 1996-96Manufacturing + selected services
Oslo Manual (1992)
Technological innovation
Oslo Manual (1992)
Technological innovation
Oslo Manual (1997)
Technological innovation+ Organizational innovation
Oslo Manual (1997)
Technological innovation+ Organizational innovation
CIS3 (2001). Period 1998-2000Manufacturing + services
CIS4 (2005). Period 2002-2004Manufacturing + services
CIS3 (2001). Period 1998-2000Manufacturing + services
CIS4 (2005). Period 2002-2004Manufacturing + services
6
An innovation is the implementation of a new or significantly improved product (good or service), or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations.
Types of innovation: product process marketing organisational (strategy) (management) (aesthetic)
An innovation is the implementation of a new or significantly improved product (good or service), or process, a new marketing method, or a new organisational method in business practices, workplace organisation or external relations.
Types of innovation: product process marketing organisational (strategy) (management) (aesthetic)
The Oslo Manual – 2005The Oslo Manual – 2005
7
Non-technological innovationNon-technological innovation
Strategy– implementation of new or significantly
changed corporate strategies
Management– implementation of advanced management
techniques
Organisation– implementation of new organisational
structures
Marketing– changing significantly firm’s marketing
concepts
Aesthetic– changing aesthetic appearance or design or
other subjective changes in products
Strategy– implementation of new or significantly
changed corporate strategies
Management– implementation of advanced management
techniques
Organisation– implementation of new organisational
structures
Marketing– changing significantly firm’s marketing
concepts
Aesthetic– changing aesthetic appearance or design or
other subjective changes in products
8
Issues addressed by the CISIssues addressed by the CIS
General information about the firm Type of innovation (product,
process) Sources of information for
innovation Objectives of innovation Factors hampering innovation Cost of innovation Impact of innovation R&D Cooperation in innovation
General information about the firm Type of innovation (product,
process) Sources of information for
innovation Objectives of innovation Factors hampering innovation Cost of innovation Impact of innovation R&D Cooperation in innovation
9
Key indicators from the innovation surveyKey indicators from the innovation survey
Percentage of innovating firms Innovation expenditure Percentage of sales due to innovative
products
Percentage of innovating firms Innovation expenditure Percentage of sales due to innovative
products
ImplicationsImplications
external: markets & competitiveness
external: markets & competitiveness
internal: employment, technology, organisation
internal: employment, technology, organisation
Public policies for innovation
Company strategies
Public policies for innovation
Company strategies
10
Innovation Surveys in Russia Innovation Surveys in Russia
Since 1994 Compatible with international
standards (OECD / Eurostat Oslo Manual, EU CIS)
Key methodological principles:– Initial focus on technological innovations;
now – organisational and marketing innovations also
– Considering enterprises as statistical units– Classification of innovation activities– Distinguishing product and process
innovations new for a surveyed enterprise
Annual mandatory survey
Since 1994 Compatible with international
standards (OECD / Eurostat Oslo Manual, EU CIS)
Key methodological principles:– Initial focus on technological innovations;
now – organisational and marketing innovations also
– Considering enterprises as statistical units– Classification of innovation activities– Distinguishing product and process
innovations new for a surveyed enterprise
Annual mandatory survey
11
Identification of innovating enterprisesIdentification of innovating enterprises
= participation in innovative activities (during the period under review)
Research and development Acquisition of embodied technology
(machinery & equipment) for the implementation of innovations
Acquisition of disembodied technology – patents, licenses, industrial prototypes, utility models, know-how, engineering services
Acquisition of software for the implementation of innovations
Industrial design Tooling up and industrial engineering Training and retraining of personnel Marketing of new or improved products
= participation in innovative activities (during the period under review)
Research and development Acquisition of embodied technology
(machinery & equipment) for the implementation of innovations
Acquisition of disembodied technology – patents, licenses, industrial prototypes, utility models, know-how, engineering services
Acquisition of software for the implementation of innovations
Industrial design Tooling up and industrial engineering Training and retraining of personnel Marketing of new or improved products
12
Russian Innovation Surveys in ProgressRussian Innovation Surveys in Progress
Annual innovation surveys in industry (extracting & manufacturing, large & medium enterprises)
+ services
+ small enterprises
Revision (CIS-3)+ organisational
innovation
Revision (CIS-4)+ marketing
innovation
1994 1998 1999 2000 2006
13
Major IssuesMajor Issues
Innovative vs. non-innovative enterprises Expenditure on technological innovation (by innovative
activity, source of funds, type of innovation) Intramural R&D units Sales of innovative products & services
(by novelty, e.g. exports) Effects of innovation Hampering factors Sources of information for innovation Innovation co-operation Technology acquisition & transfer IPR protection methods Organisational innovations Marketing innovations (since 2006) Expenditure on organisational and marketing innovation
(since 2006)
Innovative vs. non-innovative enterprises Expenditure on technological innovation (by innovative
activity, source of funds, type of innovation) Intramural R&D units Sales of innovative products & services
(by novelty, e.g. exports) Effects of innovation Hampering factors Sources of information for innovation Innovation co-operation Technology acquisition & transfer IPR protection methods Organisational innovations Marketing innovations (since 2006) Expenditure on organisational and marketing innovation
(since 2006)
14
Statistical Surveying of Innovative Activity of Small CompaniesStatistical Surveying of Innovative Activity of Small Companies
Coverage – industry Focus – technological innovation only Frequency – biennially Abridged questionnaire
– Expenditure on technological innovation (by innovative activity & source of funds)
– Sales of innovative products– R&D expenditure & personnel
Coverage – industry Focus – technological innovation only Frequency – biennially Abridged questionnaire
– Expenditure on technological innovation (by innovative activity & source of funds)
– Sales of innovative products– R&D expenditure & personnel
15
ScopeScope
2005: large & medium enterprises – 27.8 thousand
e.g. industry – 25.8
services (telecom, IT, etc.) – 2.0
Small enterprises – 62.6 thousand
2005: large & medium enterprises – 27.8 thousand
e.g. industry – 25.8
services (telecom, IT, etc.) – 2.0
Small enterprises – 62.6 thousand
16
Innovation Activity in IndustryInnovation Activity in Industry
16.317.3
19.5
5.6 5.24.7 5.0
6.2
10.69.6 9.8 10.3 10.5
9.3
0
2
4
6
8
10
12
14
16
18
20
1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
Percentage
17
Innovation Activity in Russia and the EUInnovation Activity in Russia and the EU
27
37 39 39 4045 46 47 49 49
52 53 54 5559
66
75
9.3
0
10
20
30
40
50
60
70
80
Russ
ia
Gre
ece
Spain
Gre
at
Bri
tain
Norw
ay
Italy
Port
ugal
France
Sw
eden
Luxem
bourg
Finla
nd
Denm
ark
Aust
ria
Icela
nd
Neth
erl
ands
Belg
ium
Germ
any
Irela
nd
Percentage
18
Innovating Enterprises in Industry by Economic Activity: 2005Innovating Enterprises in Industry by Economic Activity: 2005
1. Total2. Mining3. Food, beverages & tobacco 4. Textiles & wearing5. Leather & shoes6. Wood 7. Paper & printing8. Coke & petrol9. Chemicals
10. Rubber & plastic products11. Other non-metallic mineral products12. Basic metals, fabricated metal products13. Machinery & equipment14. Electrical equipment, electronics,
instruments15. Transport equipment16. Furniture, manufacturing n.e.c.17. Recycling18. Electricity, gas & water
9.3
5.68.0
4.36.1
4.63.3
31.4
23.5
10.79.3
11.913.5
26.8
23.8
8.2
3.4 4.2
0
4
8
12
16
20
24
28
32
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
Percentage
19
Organisational Innovation by Economic Activity: 2005Organisational Innovation by Economic Activity: 2005
Major innovations: Quality control MarketingICT-based management systems
Major innovations: Quality control MarketingICT-based management systems
25.720.7
28.9
19.9 21.418.7
11.5
57.0
49.4
38.5
29.935.8 33.4
47.8 48.9
28.8
21.0
11.9
0
10
20
30
40
50
60
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
Percentage
1. Total2. Mining3. Food, beverages & tobacco 4. Textiles & wearing5. Leather & shoes6. Wood 7. Paper & printing8. Coke & petrol9. Chemicals
10. Rubber & plastic products11. Other non-metallic mineral products12. Basic metals, fabricated metal products13. Machinery & equipment14. Electrical equipment, electronics,
instruments15. Transport equipment16. Furniture, manufacturing n.e.c.17. Recycling18. Electricity, gas & water
20
Percentage of Industrial Enterprises Implementing Organisational Innovation
Percentage of Industrial Enterprises Implementing Organisational Innovation
50.0
44.9
40.1 38.435.4
33.3 33.0 32.1 31.827.4 25.8 25.7
20.3
8.1
57.4
0
10
20
30
40
50
60
70
Luxem
bourg
Germ
any
Aust
ria
Belg
ium
Sw
eden
Port
ugal
Gre
at
Bri
tain
Italy
Spain
Finla
nd
Gre
ece
Neth
erl
ands
Russ
ia
Denm
ark
France
Percentage
21
Innovating Enterprises by Type of Innovation ActivityInnovating Enterprises by Type of Innovation Activity
Types of Innovation Activity:1 – R&D2 – Acquisition of machinery & equipment3 – Acquisition of technology4 – of which patent rights & licenses
5 – Acquisition of software6 – Industrial design7 – Personnel training 8 – Market research
57.9
49.1
18.9
11.4
25.5
21.3
16.1
42.7
62.2
18.3
10.5
26.2
37.8
25.4
19.5
35.5
61.0
16.0
8.6
25.0
39.7
22.9
20.1
33.6
61.6
16.6
9.4
23.9
37.2
23.6
20.1
30.2
63.8
16.7
9.4
25.0
36.9
23.6
19.5
33.0
63.0
16.8
10.3
27.4
35.5
24.8
21.1
31.6
63.5
14.9
27.2 3
2.3
22.5
18.7 2
3.4
0
10
20
30
40
50
60
70
1 2 3 4 5 6 7 8
1995 2000 2001 2002 2003 2004 2005
Percentage
22
Expenditure on Technological InnovationExpenditure on Technological Innovation
2005: 1.2% of total sales in industry2005: 1.2% of total sales in industry
12124
125678122851
105445
86394
61313
49428
2445113864
90029150725414186
5364
145511359111140104637122696662760
20000
40000
60000
80000
100000
120000
140000
1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
At current prices At fixed 1995 prices
Million roubles
23
Expenditure on Technological Innovation by Type of Innovation Activity (per cent)
Expenditure on Technological Innovation by Type of Innovation Activity (per cent)
26.9
1.0
1.4
19.3
43.5
6.9
0.60.4
19951995 20052005
15.7
10.7
60.3
8.9
0.60.8
2.1
0.60.4
24
Distribution of Expenditure on Technological Innovation by Type of Innovation Activity
Distribution of Expenditure on Technological Innovation by Type of Innovation Activity
11.5
51.6
37.5 38.9
51.3 51.0 50.0
30.7 29.224.0
60.4 55.7
10.8
57.0
4.2
5.5
7.6 4.4
3.7 6.7 6.9
9.66.1
2.5
14.0 20.5
6.9
11.5
60.3
27.9
30.6 31.9
28.1
7.6
21.4
41.3 50.158.4
13.714.9
68.9
17.9
2.7
3.8 3.0
4.0 4.16.3 2.2
2.722.612.3
20.6 21.915.1
34.2
20.512.2 10.6 11.1
5.6 6.7 10.65.8
8.0
1.4
1.7 1.2
0.4
6.2
0
10
20
30
40
50
60
70
80
90
100
Aust
ria
Belg
ium
Gre
at Bri
tain
Germ
any
Denm
ark
Icela
nd
Spain
Italy
Luxem
bourg
Neth
erl
ans
Norw
ay
Port
ugal
Fin
land
Russ
ia
Percentage
25
Sources of Information for Innovation by Rate of Importance: 2005Sources of Information for Innovation by Rate of Importance: 2005
Internal sources:
1 – within an enterprise
2 – within a group
of enterprises
External commercial sources:
3 – suppliers of materials, equipment, and components
4 – consumers of products
5 – competitors in the same sector
6 – consulting and information firms
R&D institutions:
7 – academy
8 – industry
9 – higher education
Generally accessible information:
10 – invention descriptions, official
publications by Rospatent, etc.
11 – conferences, workshops, symposia
12 – S&T literature
13 – exhibitions, fairs, and other advertising events
1.7 1.7 1.61.9
1.7
1.3 1.31.6
1.3 1.41.6
1.8 1.9
0.0
1.0
2.0
3.0
1 2 3 4 5 6 7 8 9 10 11 12 13
26
Ranking of Innovation Objectives (Effects): 2005Ranking of Innovation Objectives (Effects): 2005
1 – Replacing products being phased out
2 – Quality improvement
3 – Enlargement of product range
4 – Preservation of traditional markets
Creation of new markets:
5 – Russia
6 – CIS countries
7 – EU/EFTA countries
8 – US and Canada
9 – Southeast Asia
10 – elsewhere
11 – Concordance with modern standards
12 – Production flexibility
13 – Increase in production capacities
14 – Reduction of labour costs
15 – Reduction of material costs
16 – Reduction of energy costs
17 – Reduction of environment pollution
18 – Improvement of labour conditions
2.02.3 2.4 2.3
2.11.8
1.6 1.61.4 1.5
2.21.9 1.9
1.51.7 1.7 1.7
1.9
0.0
1.0
2.0
3.0
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18
27
Innovative Products as a % of Sales in Industry by R&D IntensityInnovative Products as a % of Sales in Industry by R&D Intensity
1.82.7 2.4
1.6
0.8
1.41.0
0.7
1.6
3.3
1.0
1.6
0
1
2
3
4
5
6
7
8
9
10
11
12
13
1 2 3 4
Per cent
4.2
7.4
4.43.9
1.93.1
2.1 2.0
0.5
1.3
0.3 0.9
1.9
3.8
1.01.0
1 2 3 4
4.3
8.2
3.43.9
1.82.6 2.5
1.4
0.7
2.0
0.21.1
2.2
4.3
1.0 1.0
1 2 3 4
4.7
8.9
3.7 3.5
2.2
5.2
1.92.6
0.5
1.6
0.1
0.4
2.7
5.4
1.1
1.7
1 2 3 4
5.4
12.2
3.1
4.7
2.6
8.0
2.91.9
0.5
1.4
0.2
0.3
1.9
2.9
1.6
1.4
1 2 3 4
5.0
12.3
4.73.6
20012001 20022002 20032003 20042004 20052005
1 – Total2 – High-tech and medium-high-tech3 – Medium-high-tech4 – Low-tech
1 – Total2 – High-tech and medium-high-tech3 – Medium-high-tech4 – Low-tech
28
Percentage of New Products in IndustryPercentage of New Products in Industry
New for a marketNew for a market New for a companyNew for a company
8.9
13.6
15.8
17.5
18.4
18.4
20.7
21.6
23.1
23.8
24.2
25.8
30.1
31.1
32.1
40.3
1.9
0 10 20 30 40 50
Russia
Iceland
luxemburg
Belgium
France
Greece
Norway
Switzerland
Portugal
Austria
Netherlands
Denmark
Spain
Italy
Finland
Sweden
Germany
Per cent1.8
3.5
4.4
4.6
6.9
7.1
8.4
9.5
9.5
11.9
14.3
16
18.7
27.2
0.5
01020304050
Russia
Iceland
Sweden
Greece
Norway
Belgium
Germany
Austria
France
Great Britain
Spain
Denmark
Portugal
Italy
Finland
Per cent
29
Prerequisites for GrowthPrerequisites for Growth
Innovating enterprises
Non-innovating enterprises
Number 9.3 90.7
Employment 35.5 64.5
Sales 41.3 58.7
Investment 41.2 58.8
% of personnel with university degrees 20.2 17.4
Markets: regional 51.8 76.3
national 69.9 34.3
foreign 18.7 4.5
% of enterprises integrated into industrial groups 41.3 15.3
Innovating vs. Non-innovating Enterprises: 2005
(per cent)
Innovating vs. Non-innovating Enterprises: 2005
(per cent)
30
Services vs. Industry: 2005(per cent)Services vs. Industry: 2005(per cent)
Service sector Industry
Share of innovating enterprises for which innovations were developed:
mainly by other enterprises or organisations 28.1 14.7
at enterprises in co-operation with other enterprises or organizations 50.3 36.4
mainly by themselves 29.7 57.7
Share of innovating enterprises which
acquired new technologies and software 35.9 32.8
transferred new technologies and software 9.2 2.8
Share of innovating enterprises which performed R&D 13.7 31.6
Intensity of innovation expenditure 3.5 1.2
31
Innovative Activity of Small Enterprises in IndustryInnovative Activity of Small Enterprises in Industry
1999 2000 2001 2003 2005
Small enterprises surveyed45919
51501 50305 49572 55990
Innovating small enterprises 722 673 729 779 919
% of innovating small enterprises 1.6 1.3 1.5 1.6 1.6
Innovative product sales at small enterprises, million roubles 766.8 927.6 1087.
11119.
73103.
2
% of innovative products in total sales of innovating small enterprises 36.9 26.3 30.3 28.8 29.9
% of innovative products in total sales of small enterprises in industry 0.7 0.6 0.6 0.3 0.3
32
6 67 14 3 10
Frequently buy, try something new
I would like to buy, try something new, but don't have opportunities (means, time, etc.)
Indifferent to novelties
Don't accept any novelties, they bring just harms
Difficult to answer
What is your attitude towards innovations at household?What is your attitude towards innovations at household?
Source: Public Attitudes Toward S&T and Innovation Survey, HSE Institute for Statistical Studies and Economics of Knowledge Source: Public Attitudes Toward S&T and Innovation Survey, HSE Institute for Statistical Studies and Economics of Knowledge
Prerequisites for GrowthPrerequisites for Growth
Innovative Consumer Demand(per cent of respondents)
Innovative Consumer Demand(per cent of respondents)
33
Major PublicationsMajor Publications
Innovation IndicatorsMinistry of Education & Science / Rosstat / HSE-ISEK (annual)
Innovation in Industry and Services.Analytical ReportHSE-ISEK
Chapters on S&T and Innovation (contribution by HSE-ISEK) in:
Russian Statistical YearbookRegions of Russia
Innovation IndicatorsMinistry of Education & Science / Rosstat / HSE-ISEK (annual)
Innovation in Industry and Services.Analytical ReportHSE-ISEK
Chapters on S&T and Innovation (contribution by HSE-ISEK) in:
Russian Statistical YearbookRegions of Russia
34
PerspectivesPerspectives
Innovation data: a gold mine & background for designing evidence-based innovation policies
New dimensions: organisational & marketing innovations
Improvement of date collection & analysis: integration with industrial statistics
More sophisticated economic analyses (use of micro-data)
International comparability
Pilot projects?
Innovation data: a gold mine & background for designing evidence-based innovation policies
New dimensions: organisational & marketing innovations
Improvement of date collection & analysis: integration with industrial statistics
More sophisticated economic analyses (use of micro-data)
International comparability
Pilot projects?
Thank youThank you
[email protected]@hse.ru