ALUMNOS

BUSTOS BERNAL PAMELA

DE LOS REYES PARDO ALEJANDRA

GARCA DAS ANIELA

GMEZ LPEZ DULCE

LPEZ GARCA LUIS ALBERTO

URIBE MARTNEZ ERIKA

OSLO
MANUAL

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).

Chapter
1

OBJECTIVES
AND SCOPE
OF THE
MANUAL

INTRODUCTION

INTRODUCTION
1st Edition
1992

2nd Edition
1997

3rd Edition
2005

Factors influencing the scope of the Manual

What is measurable?

What is it of value to measurable?

Scope of the Manual

Sector coverage

TYPES OF INNOVATIONS

The Manual defines four types of innovations

that encompass a wide range of changes in
firms activities:
Involve significant changes in the
capabilities of goods or services. Both
entirely new goods and services and
significant improvements.

Represent significant changes in

production and delivery
methods.

10

Refer

to
the
implementation of new
organizational methods.

These

can be changes in
business practices, in
workplace organization or
in the firms external
Marketing innovations involverelations.
the implementation of new
marketing methods. These can
include changes in product
design, in product promotion,
and in methods for pricing
goods and services.

DIFFUSION AND THE DEGREE OF

NOVELTY

An innovation does not need to be developed by the firm itself

but can be acquired from other firms or institutions through the
process of diffusion.

Diffusion is the way in which innovations spread, through market

or non-market channels. Without diffusion, an innovation has no
economic impact.

Three other concepts for the novelty of innovations are: new to

the market, new to the world and disruptive innovations.

There are two main reasons for using new to the firm as the
minimum requirement of an innovation. First, adoption of
innovations is important for the innovation system as a whole.
Furthermore, the learning process in adopting an innovation can
lead to subsequent improvements in the innovation and to the
development of new products, processes and other innovations.
11

PROVIDING DATA ON THE KEY

ISSUES

12

INNOVATION ACTIVITIES AND

EXPENDITURES
Innovation comprises a number of
activities that are not included in R&D,
such as later phases of development for
production and distribution, support
activities such as training and market
preparation, and development and
implementation activities for innovations
such as new marketing methods.

 During

a given period, a firms

activities may be of three kinds:

13
innovation

Successful

in
having
resulted
in
the
implementation of a new innovation (though not
necessarily commercially successful).

Ongoing,

work in progress, which has not yet

resulted in the implementation of an innovation.

Abandoned

before the implementation of an

innovation. are measured on the basis of the sum of
Expenditures
these three kinds of activity over a given period of
time. An alternative would be to collect information on
total expenditures on activities related to individual
innovations. It is hoped that, firms will find it in their
own interest to cost their innovation activities.

FACTORS INFLUENCING INNOVATION1

The

objectives of the firm may involve products,

markets, efficiency, quality or the ability to learn
and to implement changes.

The

forces that drive innovation activities are: as

competition and opportunities for entering new
markets.

Innovation

activities can be hampered by a

number of factors. These include economic
factors, such as high costs or lack of demand,
factors specific to an enterprise, such as lack of
skilled personnel or knowledge, and legal factors,
such as regulations or tax rules.

THE INNOVATING FIRM AND THE

IMPACT OF INNOVATION

The innovative firm is one that

has introduced an innovation
during the period under review.

Innovative
firms
can
be
distinguished by the types of
innovations
they
have
implemented; they may have
implemented a new product or
process, or they may have
implemented a new marketing
method
or
organizational
change.
15

Impacts of innovations
on
firm
performance
range from effects on
sales and market share to
changes in productivity
and efficiency. Important
impacts at industry and
national
levels
are
changes in international
competitiveness and in
total factor productivity.

The outcomes of product

innovations
can
be
measured
by
the
percentage
of
sales
derived from new or
improved products.

16

LINKAGES IN THE INNOVATION

PROCESS

The innovative activities of a firm partly depend on the

variety and structure of its links to sources of information,
knowledge, technologies, practices and human and
financial resources. Each linkage connects the innovating
firm to other actors in the innovation system:
government
laboratories,
universities,
policy
departments, regulators, competitors, suppliers and
customers.

Three types of external linkages are identified. Open

information sources provide openly available information
that does not require the purchase of technology or
intellectual property rights, or interaction with the source.

17

Some Survey Issues

There are two main approaches to
collecting data on innovations:
The subject approach starts from the innovative
behavior and activities of the firm as a whole. The
idea is to explore the factors influencing the
innovative behavior of the firm (strategies,
incentives and barriers to innovation) and the
scope of various innovation activities, and above all
to examine the outputs and effects of innovation.
These surveys are designed to be representative of
all industries so that the results can be grossed up
and comparisons made between industries.

Some Survey Issues

The object approach involves the collection of data

about
specific
innovations
(usually
a
significant
innovation of some kind or a firms main innovation). The
approach
involves
collecting
some
descriptive,
quantitative and qualitative data about the particular
innovation at the same time that data is sought about the
firm.

The target
population for
innovation surveys
concerns statistical
units
(innovators and
non-innovators,
R&D performers
and non-R&D
performers) in
the business
enterprise sector,
including both
goods-producing
and services

Innovative
activities take
place in small
and mediumsized units as
well as in
large units.

A patent gives
its owner sole
rights (for a
certain
duration) to
exploit the
patented
invention; at
the same time
it discloses the
details of the
patent as a way
to allow
broader social
use of the

The
globalization
process
affects
innovation in a
number of
ways,
through
increases in
international
competition,
in flows of
goods,
services and
knowledge
across

Chapter
4

INSTITUTIONAL
CLASSIFICATIO
NS

THE APPROACH

The institutional approach focuses on the

characteristic properties of the innovative firm,
and all characteristics of innovation activities, and
their inputs and outputs, are classified to one
class or subclass according to the units principal
activity.

THE UNITS

A clear distinction has to be made between the reporting

and the statistical
units.

The Reporting
Unit

The
Observation
Unit

The Statistical
Unit

Is the entity from which the recommended items of data are

collected. They may vary from sector to sector and from
country to country, depending on institutional structures, the
legal status of data collection, tradition, national priorities and
survey resources. It is therefore difficult to make international
recommendations about the reporting unit for innovation
surveys.
Is the entity that the received data refer to. The observation
unit is equivalent to the reporting unit if the data received
refer to the same unit as the reporting unit .
may be an observation unit on which information is received and
statistics are compiled, or an analytical unit which statisticians
create by splitting or combining observation units with the help of
estimations or imputations in order to supply more detailed and/or
homogeneous data than would otherwise be possible.

The primary statistical

unit

The enterprise unit is the appropriate primary

statistical unit in innovation surveys in most
cases. The enterprise unit should, however, not be
confused with the entity legal unit. While legal
units are independent in a legal sense, they may
not necessarily constitute independent economic
entities with decision-making autonomy for their
productive activities.

The enterprise is generally the

appropriate statistical unit. It includes:

most

Enterprises that consist of a single legal unit that

engages primarily in one kind of economic activity.
Enterprises that are a group of legal units, where
the individual legal units cannot be considered
separate economic entities, including:

Legal units that are vertically

integrated in the enterprise.

or

horizontally

Individual legal units that perform ancillary functions,

including R&D.

Industrial classification proposed for

innovation surveys in the business
enterprise sector based on ISIC Rev. 3.1
and NACE Rev. 1.1

1. Only enterprises in the business sector

should be included, following the Frascati
Manual, 163-168. For this NACE/ISICgroup (73), data on the product field
should also be collected, following the

Classification by main
economic activity

The
criteria for
classificati
on of
statistical

The principal activity should be determined by the ISIC

(NACE) class in which the principal activity range of
activities, of the unit is included.
The principal activity is the ISIC class that accounts for the
majority of the enterprises value added from its goods and
services.
If this is not possible, the principal activity can be
determined either on the basis of the gross output of the
goods sold or services rendered in each ISIC class, by value
of sales, or by employment.

The
proposed
classificati
on list

is presented in Table 4.1, which contains the basic

arrangement of the divisions, groups and classes of ISIC
Rev. 3.1/ NACE Rev. 1.1 for the purpose of innovation
statistics. The table may be further split, or aggregated, for
specific purposes

Classifications by size

It is recommended that size should be measured on the basis of

number of employees.

This recommendation is in line with

similar proposals in other manuals in the
Frascati family. Given the strata
requirements in sample surveys, and
given that innovation activities other than
R&D are widely performed by small and
medium-sized units, it is recommended
that size classes include smaller firms.

In order to maintain international

comparability while at the same time
allowing flexibility in the number of size
classes.

The following size classes are

recommended as a minimum

Other classifications

Classification of statistical units

for innovation surveys by type of
institution

It is recommended that when enterprises are the statistical

units in innovation surveys they should be classified as
follows

Other classifications: General

enterprise characteristics
.

Chapter
6

MEASURING
INNOVATION
ACTIVITIES

Introduction

Components and coverage of

innovation activities

Creative work undertaken on a systematic basis in order to increase the stock of knowledge, including
knowledge of man, culture and society, and the use of this stock of knowledge to devise new applications

Collecting data on
innovation activities.

Collecting data on
innovation activities.

Activities for marketing and

organizational innovations

Qualitative data on innovation

activity.

Other measurement issues.

The relation
between
intangible
investment
and innovation
expenditure.

Intangible investment: all non-capital

expenduture for the firms development
on non-routine marketing, training,
software and current expenditures on
R&D
Current expenditure on innovation is part
of intangible investment, but intangible
investments include elements that are not
part of innovation expenditure.

Breakdown by
source of
funds.

To evaluate the role of public policy

and internationazation it is important
to know how innovation expenditure
is financed.
Classification by source of funds.

The subject approach vs. The

object approach.