UNESCO Institute for Statistics
Measuring innovation:
definitions and indicators
China International Statistical Training Centre – National Bureau of Statistics of China
International Workshop on Innovation Survey
Beijing, China
Luciana Marins, UIS
19-21 March 2014
UNESCO Institute for Statistics
测算创新：定义和指标
联合国教科文组织统计研究所（UIS）
卢恰娜•马林斯
中国国际统计培训中心
中国国家统计局
创新统计国际培训班
中国，北京
2014年3月19日-21日
UNESCO Institute for Statistics
Introduction to the Oslo Manual:
Activities and factors influencing the
development of innovations
UNESCO Institute for Statistics
对《奥斯陆手册》的介绍：
影响创新发展的活动和因素
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(recap)

Four types of innovation:




Product;
Process;
Marketing;
Organisational.
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（扼要概述）

四类创新:




产品；
工艺；
市场营销；
组织方面。
UNESCO Institute for Statistics
Innovation activities (1)

Innovation activities: all scientific, technological,
organisational, financial and commercial steps which
(intended to) lead to the implementation of
innovations;

Some innovation activities are themselves
innovative, others are not novel but necessary;

R&D not directly related to the development of a
specific innovation.
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创新活动（1）

创新活动：所有导致了（或试图导致）创新实现
的科学、技术、组织、金融和商业步骤。

一些创新活动本身就具有创新性，其它的虽不新
颖却是必要的；

研发（R&D）与某项特定创新的发展并不直接相
关。
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Innovation activities (2)

For product and process innovations:

Intramural (in-house) R&D;

Acquisition of (extramural) R&D;

Acquisition of other external knowledge;

Acquisition of machinery, equipment and other capital
goods;

Other preparations for product and process innovations;

Market preparations for product innovations;

Training.
UNESCO Institute for Statistics
创新统计（2）

产品和工艺创新：

内部的R&D；

获取（外部的）R&D；

获取其它外部知识；

获取机器、设备和其它资本货物；

产品和工艺创新的其它准备；

产品创新的市场准备；

培训。
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Innovation activities (3)

Preparations for marketing innovations:

Activities related to the development and implementation
of new marketing methods;

It includes acquisition of other external knowledge and of
machinery, equipment, and other capital goods and
training;

Expenditures for using these methods in daily business are
NOT included.
UNESCO Institute for Statistics
创新活动（3）

市场营销的准备：

与新型市场营销方式发展和实施相关的活动；

这包括获取其它外部知识和机器、设备和其它资本货
物和培训。

在日常事务中使用这些方法的开支不包括在其中。
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Innovation activities (4)

Preparations for organisational innovations:

Activities undertaken for the planning and implementation
of new organisation methods;

It includes acquisition of other external knowledge and of
machinery, equipment, and other capital goods and
training.
UNESCO Institute for Statistics
创新活动（4）

组织创新的准备：

为计划和实施新的组织方法开展的活动；

包括获取其它外部知识、机器、设备和其它资本货物
和培训。
UNESCO Institute for Statistics
Kinds of innovation activities

Successful: resulted in the implementation of a new
innovation (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.
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创新活动的种类

成功： 结果是 实现了 一项新的创新（不一定是商
业上的成功）

进行中的：在进行当中的工作，尚未导致一项创
新的最终实现；

中止的：在一项创新实现之前。
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Example - abandoned or ongoing
innovation activities
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例子 – 中止的或正在进行中的创新
活动
Classifying firms by degree of
innovativeness
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
Innovative firm:




Innovation-active firm:



Implemented an innovation;
Not necessarily a commercial success;
Innovators;
Had innovation activities, including ongoing or abandoned;
Regardless of implementation;
Potentially innovative firm:



Innovation efforts but no achieved results;
Key element for innovation policy;
(Annex).
UNESCO Institute for Statistics
依据创新程度对公司进行分类


具有创新性的公司：

实施了一项创新；

不一定引致商业上的成功；

创新者；
创新活跃的公司：



曾经有过创新活动，包括正在进行中的或者放弃了的；
无论是否得到了实施;
潜在的创新性公司：

在创新上作出努力但没有成果；
创新政策的关键元素;

（附件）。

UNESCO Institute for Statistics
Example - Innovative & Innovationactive firms
- Product innovators: Firms 1, 3 & 4;
- Process innovators: Firms 2, 3 & 4;
- Both product and process innovators: Firms 3 & 4;
- Firms with abandoned or ongoing activities: Firms 4 & 5;
- Firms with abandoned or ongoing activities only: Firm 5;
- Product and process innovation-active firms: Firms 1, 2, 3, 4 & 5;
- Product or process non-innovative firms: Firm 6.
Innovation
Firm 1
Product
innovation
X
Process
innovation
Abandoned
or
ongoing
activities
Firm 2
X
Firm 3
Firm 4
X
X
X
X
X
Firm 5
X
Firm 6
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例子 – 具有创新性和创新活跃的公司
- 产品创新者： 公司1、3和4；
- 工艺创新者： 公司2、3和4;
- 同为产品和工艺创新者：公司3和4；
- 有被放弃了的和正在进行创新活动的公司：公司4和5；
- 仅有被放弃了的和正在进行创新活动的公司：公司5；
- 对产品创新和工艺创新积极的公司：公司1、2、3、4和5；
- 在产品和工艺上缺乏创新的公司：公司6。
创新
产品创新
工艺创新
被放弃了的和
有正在进行的
创新活动
Firm 1
Firm 2
X
X
Firm 3
Firm 4
X
X
X
X
X
Firm 5
X
Firm 6
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Example - innovation activities and
expenditures (pdt/pcs innovations) (1)
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例子 – 创新活动和支出 （产品或工
艺创新）（1）
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Example - innovation activities and
expenditures (pdt/pcs innovations) (2)
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例子 – 创新活动和支出 （产品或工
艺创新）（2）
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Factors influencing innovation

Objectives: motives for innovating;

Effects: observed outcomes of innovations;


Impacts on firm performance;

Time lag;
Hampering factors:


Reasons for not starting innovation activities at all;
Factors that slow innovation activity or have a negative
effect on expected results.
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创新的影响因素

目的：创新的动机。

影响：可以观测到的创新结果；


对公司业绩的影响；

时滞；
阻碍因素：

根本不启动创新活动的原因；

拖慢创新活动或对预期结果有负面影响的因素。
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Linkages

Linkages: connections with other agents;

Source, cost, level of interaction;

Types of external linkages:

Open information sources;

Acquisition of knowledge and technology;

Innovation co-operation.
UNESCO Institute for Statistics
关联

关联：与其它机构的联系；

信息源、支出、互动的程度；

外部关联的类型：

开放的信息源；

获取 知识和技术；

协作 创新。
Sources for transfers of
knowledge and
technology
Open
information
sources
Sources for
purchases
of
knowledge
&
technology
Cooperation
partners
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
UNESCO Institute for Statistics
Internal sources within the enterprise:
R&D / Production / Marketing / Distribution
Other enterprises within the enterprise group
*
External market and commercial sources:
Competitors
Other enterprises in the industry
Clients or customers
Consultants / consultancy firms
Suppliers
Commercial laboratories
Public sector sources:
Universities and other higher education institutions
Government / public research institutes
Private non profit research institutes
Specialised (semi) public innovation support services
General information sources:
Patent disclosures / Professional conferences,
meetings, literature and journals / Fairs and
exhibitions / Professional associations, trade unions /
Other local associations / Informal contacts or
networks / Standards or standardisation agencies /
Public regulations
*
可以购买的
知识和技术
资源
合作伙伴
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
*
开放的信息
资源
知识和技术转移的来源
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企业内部资源：
R&D / 生产 / 市场营销 / 分配
企业集团内的其它企业
*
外部市场和商业资源：
竞争对手
统一产业内的其他企业
客户或消费者
顾问 / 顾问公司
供应商
商业实验室
公共部门资源：
大学和其它高等教育机构
政府 / 公共研究机构
私人的非营利研究机构
专业的（半专业）公共创新支持服务
一般信息资源：
公开的专利 / 专业会议、文献和期刊 / 展会 / 专业协
会、工会 / 其它地方协会 / 非正式的接触或网络 / 标
准或标准化机构 / 公共法规
*
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Example - co-operation (1)
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例子 – 合作（1）
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Example - co-operation (2)
Importance
Location
Partner
Objective
Partner
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例子 – 合作（2）
重要性
地点
合作伙伴
目标
合作伙伴
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Example - hampering factors (1)
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例子 – 阻碍因素（1）
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Appropriability

Ability of enterprises to appropriate gains from
innovation activities.

Formal methods:


Patents, registration of design, trademarks, copyrights,
confidentiality agreements, trade secrecy;
Informal methods:

secrecy that is not covered by legal agreements,
complexity of product design, lead time advantage over
competitors.
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专属权

企业从创新活动中获取收益的能力。

正式方法：

专利权、外观设计注册、商标、版权、保密协议、商
业秘密；

非正式方法：

在法定协议中不包括的秘密、产品设计的复杂性、较
之竞争对手的时间优势。
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Developing countries

Developing countries  3rd ed. OM standards,
adaptations;

LA: the Bogota Manual (RICYT, 2001);

UIS: Annex (A) to 3rd ed. OM;

Innovation Surveys in Developing Countries.
UNESCO Institute for Statistics
发展中国家

发展中国家  《奥斯陆手册》第三版标准、改编；

拉丁美洲：《波哥大手册》（南美洲科技指标网络
，2001年）；

UIS：《奥斯陆手册》第三版，附录（A）；

发展中国家创新调查。
UNESCO Institute for Statistics
Adaptations

Linkages:


Agents + Types + Location;
Innovation Activities:





Hardware purchase and Software purchase (split);
Industrial design and Engineering activities (split);
Lease or rental of machinery, equipment and other capital
goods;
In-house software system development;
Reverse engineering.
UNESCO Institute for Statistics
适应性的变化

关联：


机构 + 类型 + 地点；
创新活动：





硬件购买和软件购买（分离的）；
工业设计和工程活动（分离的）；
租赁机器、设备和其它资本货物；
内部软件系统开发；
逆向工程。
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Basic innovation indicators:
examples
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基本的创新指标：
例子
UNESCO Institute for Statistics
Indicators

Indicators:



Statistics and data, often gathered through specialised
surveys, are the building blocks from which indicators are
constructed;
An indicator can be defined as something that helps us
understand where we are, where we are going and how
far we are from a specific goal. Therefore it can be a sign,
a number, a graphic;
An indicator quantifies and simplifies phenomena and
helps us understand complex realities.
Source: International Institute for Sustainable Development / Adapted from
Blankley, W. (2012). Providing and calculating innovation indicators. Cape Town,
South Africa. ASTII/HSRC/UIS Workshop.
(PowerPoint Presentation)
UNESCO Institute for Statistics
指标

指标：



统计资料和数据 通常由专门的调查收集而来，是指标
构建的基本成分；
在定义一个指标时，可以认为它的作用是帮助我们认
识 我们在哪儿、我们正在去哪儿和我们距离一个特定
目标还有多远 。因此它可以是一个标志、一个数字、
一个图形；
一个指标可以 量化和简化 某种现象并帮助我们理解复
杂的现状。
Source: International Institute for Sustainable Development / Adapted from
Blankley, W. (2012). Providing and calculating innovation indicators. Cape Town,
South Africa. ASTII/HSRC/UIS Workshop.
(PowerPoint Presentation)
UNESCO Institute for Statistics
Innovation indicators

Types:


Basic indicators;
Composite indicators: combine answers to several
questions in order to examine a number of policy-relevant
factors and better capture the diversity of innovative firms.
UNESCO Institute for Statistics
创新指标

类型：

基本指标；

综合指标： 结合回答几个问题，为的是检验一些列与
政策相关的指标和更好地捕捉创新性公司的多样性。
UNESCO Institute for Statistics
Data collection and processing (1)

Aspects to keep in mind, in particular for
comparisons:

Response rate, treatment of non-response, type of data,
etc.;

Observation period;

Statistical unit;

Size cut-off point & classes;

Industrial coverage.
UNESCO Institute for Statistics
数据收集和处理（1）

需要记住的几个方面，特别是做对比的时候：

反馈率、对于无反馈的处理、数据的类型，等等；

观察期；

统计单位；

大小分界点和级别；

产业覆盖的范围。
UNESCO Institute for Statistics
Data collection and processing (2)

Statistical unit:


Enterprise
2 countries
(HKG, TUN)
Size cut-off point:

1 country (ETH)
Enterprise group
EMP10
6
Enterprise
Establishment
4 countries
(IDN, MYS,
PSE, PHL)
Turnover
5
5
1 country (CUB)
Kind of activity unit
Number of employees /
Turnover
4
17 countries
(AZE, BLR,
CHN, COL,
CRI, CUB,
DOM, ECU,
LSO, PAN,
PRY, PER,
SRB, UGA,
UKR, URY,
ZMB)
Number of employees /
Other
3
6 countries
(AZE, ETH,
MYS, UGA,
URY, ZMB)
2
3
1
1
0
0 employee
Source: 2012 UIS Innovation Metadata Collection
Number of employees
3 countries
(CHN, PSE,
UKR)
2 countries
(PAN, PER)
1 employee
1
12 countries
(BLZ, HKG,
COL, CRI,
DOM, ECU,
IDN, LSO, PRY,
PHL, SRB,
TUN)
5 employees
Number of employees /
Turnover / Other
10 employees
1
16 employees
UNESCO Institute for Statistics
数据收集和处理（2）

统计单位：


企业
2 countries
(HKG, TUN)
规模分界点：

1 country (ETH)
Enterprise group
10名员工
6
Enterprise
Establishment
4 countries
(IDN, MYS,
PSE, PHL)
Turnover
5
5
1 country (CUB)
Kind of activity unit
Number of employees /
Turnover
4
17 countries
(AZE, BLR,
CHN, COL,
CRI, CUB,
DOM, ECU,
LSO, PAN,
PRY, PER,
SRB, UGA,
UKR, URY,
ZMB)
Number of employees /
Other
3
6 countries
(AZE, ETH,
MYS, UGA,
URY, ZMB)
2
3
1
1
0
0 employee
Source: 2012 UIS Innovation Metadata Collection
Number of employees
3 countries
(CHN, PSE,
UKR)
2 countries
(PAN, PER)
1 employee
1
12 countries
(BLZ, HKG,
COL, CRI,
DOM, ECU,
IDN, LSO, PRY,
PHL, SRB,
TUN)
5 employees
Number of employees /
Turnover / Other
10 employees
1
16 employees
UNESCO Institute for Statistics
Data collection and processing (3)

Industrial coverage:

(National industrial classification system);

ISIC;

NACE.
ISIC Rev. 4 INDUSTRY
01-03
Agriculture forestry and fishing
05-09
Mining and quarrying
10-33
Manufacturing
35-39
Electricity, gas, steam, air conditioning and water
supply; sewerage, waste management and
remediation activities
41-43
Construction
45-82
Services of the business economy
84, 85
Public administration and defence; compulsory
social security and education
86-88
Human health and social work activities
90-93
Arts, entertainment and recreation
94-99
Other service activities; activities of households as
employers and of extraterritorial organisations and
bodies
UNESCO Institute for Statistics
数据收集和处理（3）

产业覆盖范围：

（全国产业分类体系）；

《国际标准行业分类法》；ISIC Rev. 4

《欧洲共同体内部经
济活动统计分类》。
INDUSTRY
01-03
Agriculture forestry and fishing
05-09
Mining and quarrying
10-33
Manufacturing
35-39
Electricity, gas, steam, air conditioning and water
supply; sewerage, waste management and
remediation activities
41-43
Construction
45-82
Services of the business economy
84, 85
Public administration and defence; compulsory
social security and education
86-88
Human health and social work activities
90-93
Arts, entertainment and recreation
94-99
Other service activities; activities of households as
employers and of extraterritorial organisations and
bodies
UNESCO Institute for Statistics
Data collection and processing (4)

More:

Numerators;

Denominators.
UNESCO Institute for Statistics
数据收集和处理（4）

更多：

分子；

分母。
UNESCO Institute for Statistics
Calculating innovation indicators (1)

Product or process innovation:
1.
2.
3.
4.
5.
6.
7.
% of firms that implemented product innovation (only)
% of firms that implemented process innovation (only)
% of firms that implemented product and process innovation
% of firms that implemented product or process innovation
(innovative firms)
% of firms that implemented product or process innovation or
had abandoned or ongoing innovation activities (innovationactive firms)
% of firms that developed in-house product or process
innovation
% of firms that implemented new-to-market product innovation
UNESCO Institute for Statistics
计算创新指标（1）

产品创新或工艺创新：
1.
（仅）实行了产品创新的公司百分比
2.
（仅）实行了工艺创新的公司百分比
3.
同时实行了产品和工艺创新的公司百分比
4.
实行了产品创新或工艺创新的公司（创新性公司）百分比
5.
实行了产品创新，或工艺创新，或有已经被放弃的创新活动，
或有正进行的创新活动的公司（创新活跃的公司）百分比
6.
开展了内部产品创新或工艺创新的公司百分比
7.
实施了新进入市场产品创新的公司百分比
UNESCO Institute for Statistics
Calculating innovation indicators (2)

Product or process innovation:
1.
(N) =
% of firms that implemented product innovation
Number of firms that implemented product innovation (in
each economic activity or size class)
*100
(D) = Total number of firms (in each economic activity or size class)
(N) =
Number of Manufacturing firms that implemented product
innovation
(D) = Total number of Manufacturing firms
*100
UNESCO Institute for Statistics
计算创新指标（2）

产品创新或工艺创新：
1.
(N) =
实施了产品创新的公司百分比
实施了产品创新的公司数（在每一类经济活动或大小类别
当中）
*100
(D) = 公司总数（在每一类经济活动或大小类别当中）
(N) = 实施了产品创新的制造业公司数
*100
(D) = 制造业公司总数
UNESCO Institute for Statistics
Calculating innovation indicators (3)

Product or process innovation:
Product innovation
Process innovation
75
60
45
30
15
Brazil
China
Colombia
Source: 2011 UIS Pilot Data Collection of Innovation Statistics
Egypt
Israel
Malaysia Philippines
Russian
Federation
South
Africa
Uruguay
UNESCO Institute for Statistics
计算创新指标（3）

产品或工艺创新：
Product innovation
Process innovation
75
60
45
30
15
Brazil
China
Colombia
Source: 2011 UIS Pilot Data Collection of Innovation Statistics
Egypt
Israel
Malaysia Philippines
Russian
Federation
South
Africa
Uruguay
UNESCO Institute for Statistics
Calculating innovation indicators (4)

Product or process innovation:
4.
(N) =
% of firms that implemented product or process innovation
(pdt/pcs innovative firms)
Number of firms that implemented product or process
innovation (in each economic activity or size class)
*100
(D) = Total number of firms (in each economic activity or size class)
(N) =
Number of Manufacturing firms that implemented product or
process innovation
(D) = Total number of Manufacturing firms
*100
UNESCO Institute for Statistics
计算创新指标（4）

产品或工艺创新：
4.
(N) =
实施了产品或工艺创新的企业百分比（产品或工艺创新
的公司）
实施了产品或工艺创新的公司数量（在每一类经济活动或
大小类别当中）
*100
(D) = 公司总数（在每一类经济活动或大小类别当中）
(N) = 实施了产品或工艺创新的制造业公司数量
*100
(D) = 制造业公司总数
UNESCO Institute for Statistics
Calculating innovation indicators (5)

Product or process innovation:
(pdt/pcs innovative firms = A + B - C)
Manufacturing firms
A.
Product
innovators
C.
(A ∩ B)
B.
Process
innovators
UNESCO Institute for Statistics
计算创新指标（5）

产品或工艺创新：
（产品或工艺创新公司 = A + B – C）
制造业公司
A.
产品创新者
C.
(A ∩ B)
B.
工艺创新者
UNESCO Institute for Statistics
Calculating innovation indicators (6)

Product or process innovation:
5.
(N) =
% of firms that implemented product or process innovation or
had abandoned or ongoing innovation activities (pdt/pcs
innovation-active firms)
Number of innovation-active firms (in each economic activity
or size class)
*100
(D) = Total number of firms (in each economic activity or size class)
(N) = Number of innovation-active firms in Manufacturing
*100
(D) = Total number of firms in Manufacturing
UNESCO Institute for Statistics
计算创新指标（6）

产品或工艺创新：
5.
实施了产品或工艺创新的，或者有放弃了的或正在进行的创
新活动的公司百分比（产品或工艺创新活跃的公司）
(N) = 创新活跃的公司数量（在每一类经济活动或大小类别当中）
*100
(D) = 公司总数（在每一类经济活动或大小类别当中）
(N) = 制造业公司中创新活跃的公司数量
*100
(D) = 制造业公司总数
UNESCO Institute for Statistics
Calculating innovation indicators (7)

Product or process innovation:
(pdt/pcs innovation-active firms = E + F - G)
Manufacturing firms
E.
Product
or process
innovators
G.
(E ∩ F)
F.
Firms with
abandoned
or
ongoing
activities
for product
and process
innovation
UNESCO Institute for Statistics
计算创新指标（7）

产品或工艺创新
（对产品或工艺创新积极的公司 = E + F – G）
制造业公司
E.
产品或工艺
创新者
G.
(E ∩ F)
F.
有放弃了的或
正在进行的
创新活动
的公司
UNESCO Institute for Statistics
Calculating innovation indicators (8)

Product or process innovation:
(pdt/pcs innovation-active firms)
Manufacturing firms
H.
Innovationactive firms
for product
and process
innovation
J.
(H ∩ I)
I.
Organisational
or marketing
innovators
UNESCO Institute for Statistics
计算创新指标（8）

产品或工艺创新：
（对产品或工艺创新积极的公司）
制造业公司
H.
对产品或工
艺创新积极
的公司
J.
(H ∩ I)
I.
组织或市
场营销的
创新者
UNESCO Institute for Statistics
Calculating innovation indicators (9)

Marketing or organisational innovation:
1.
% of firms that implemented marketing innovation
2.
% of firms that implemented organisational innovation
3.
% of firms that implemented marketing or organisational
innovation
UNESCO Institute for Statistics
计算创新指标（9）

市场营销或组织创新：
1.
实施了市场营销创新的公司百分比
2.
实施了组织创新的公司百分比
3.
实施了市场营销或组织创新的公司百分比
UNESCO Institute for Statistics
Calculating innovation indicators (10)

Marketing or organisational innovation:
3.
% of firms that implemented marketing or organisational
innovation
Number of firms that implemented marketing or
(N) = organisational innovation (in each economic activity or size
class)
*100
(D) = Total number of firms (in each economic activity or size class)
(N) =
Number of Large Manufacturing firms that implemented
marketing or organisational innovation
(D) = Total number of Large Manufacturing firms
*100
UNESCO Institute for Statistics
计算创新指标（10）

市场营销或组织创新：
3.
(N) =
实施了市场营销或组织创新的公司百分比
实施了市场营销或组织创新的公司数量（在每一类经济活
动或大小类别当中）
*100
(D) = 公司总数（在每一类经济活动或大小类别当中）
(N) = 实施了市场营销或组织创新的大型制造业公司数量
*100
(D) = 大型制造业公司总数
UNESCO Institute for Statistics
Calculating innovation indicators (11)

Inputs:
1.
Total expenditures on innovation (as a % of total
turnover)
2.
Expenditure on innovation by type of expenditure (as a %
of total expenditure on innovation)
3.
% of firms that performed R&D
4.
% of firms that performed R&D on a continuous basis
UNESCO Institute for Statistics
计算创新指标（11）

投入：
1.
创新总支出（总营业额的百分比）
2.
按照支出类型区分的创新支出（创新总支出的百分比）
3.
开展R&D的公司百分比
4.
持续性开展R&D的公司百分比
UNESCO Institute for Statistics
Calculating innovation indicators (12)

Inputs:
3.
(N) =
% of firms that performed R&D
Number of product or process innovation-active firms that
performed R&D (in each economic activity or size class)
(D) =
Total number of product or process innovation-active firms
(in each economic activity or size class)
(N) =
Number of product or process innovation-active firms in
Services firms that performed R&D
(D) =
Total number of product or process innovation-active firms in
Services
*100
*100
UNESCO Institute for Statistics
计算创新指标（12）

投入：
3.
(N) =
开展R&D的公司百分比
产品或工艺创新活跃的公司当中开展R&D的公司百分比
（在每一类经济活动或大小类别当中）
(D) =
产品或工艺创新活跃的公司总数（在每一类经济活动或大
小类别当中）
(N) =
在产品或工艺创新上活跃的服务业公司中，开展R&D的公
司数量
*100
*100
(D) = 服务业中产品或工艺创新的公司总数
Calculating innovation indicators (13)
UNESCO Institute for Statistics

Key policy-relevant characteristics:
1.
2.
3.
4.
5.
6.
7.
% of firms that were active on international markets
% of firms that co-operated with foreign partners on
innovations
% of firms that rated universities or other higher education
institutions as a highly important source of information
% of firms that co-operated with universities or other higher
education institutions
% of R&D-performing firms that co-operated with other
institutions
% of firms that received public financial support for
innovation
% of firms that applied for one or more patents
计算创新指标（13）
UNESCO Institute for Statistics

与政策相关的关键特性：
1.
在国际市场上活跃的公司百分比
2.
在创新上与国外伙伴开展合作的公司百分比
3.
将大学或其它高等教育机构视为重要信息来源的公司百分比
4.
与大学或其它高等教育机构合作的公司百分比
5.
在开展R&D的公司中，与其它机构合作的公司百分比
6.
在创新上的到公共财政支持的公司百分比
7.
申请了至少一项专利的公司百分比
UNESCO Institute for Statistics
Calculating innovation indicators (14)

Inputs:
3.
% of firms that rated universities or other higher education
institutions as a highly important source of information
Number of product or process innovation-active firms that
(N) = rated a specific SINFO as highly important (in each economic
activity or size class)
*100
Total number of product or process innovation-active firms
(D) =
(in each economic activity or size class)
Number of product or process innovation-active firms that
(N) = rated universities or other higher education institutions as
highly important SINFO
*100
(D) = Total number of product or process innovation-active firms
UNESCO Institute for Statistics
计算创新调查（14）

投入：
3.
(N) =
将大学或其它高等教育机构视为重要信息来源的公司百
分比
在产品或工艺创新上活跃的公司中，非常重视某一项特定
信息源的公司数量（在每一类经济活动或大小类别当中）
(D) =
产品或工艺创新上活跃的公司总数（在每一类经济活动或
大小类别当中）
(N) =
在产品或工艺创新上活跃的公司中，将大学或其它高等教
育机构视为非常重要信息源的公司数量
*100
*100
(D) = 在产品或工艺创新上活跃的公司总数
UNESCO Institute for Statistics
Calculating innovation indicators (15)

Inputs:
5.
(N) =
% of R&D-performing firms that co-operated with other
institutions
Number of R&D-performing firms that co-operated with a
specific partner (in each economic activity or size class)
(D) =
Total number of R&D-performing firms (in each economic
activity or size class)
(N) =
Number of R&D-performing firms that co-operated with
universities or other higher education institutions
(D) = Total number of R&D-performing firms
*100
*100
UNESCO Institute for Statistics
计算创新指标（15）

投入：
5.
在开展R&D的公司中，与其它机构合作的公司百分比
(N) =
在开展R&D的公司中，有某一特定伙伴合作的公司数量（在每一
类经济活动或大小类别当中）
*100
(D) = 开展R&D的公司总数（在每一类经济活动或大小类别当中）
(N) =
在开展R&D的公司中，与大学或其它高等教育机构合作的
公司数量
*100
(D) = 开展R&D的公司总数
UNESCO Institute for Statistics
Final remarks

Data collected with innovation surveys are a
important component of comparative studies about
countries’ competitive performance;

Strategically important for policy-makers;

Data confidentiality;

Data reliability.
UNESCO Institute for Statistics
结束语

通过创新调查收集的数据，是进行各国 竞争力比
较研究的一个重要组成部分；

对决策者有战略性重要性；

数据机密性；

数据可靠性。
UNESCO Institute for Statistics
Exercise…
Exercise 2:
Calculation of innovation
indicators
UNESCO Institute for Statistics
练习……
练习2：
计算创新指标
UNESCO Institute for Statistics
Thank you for your attention!
http://www.uis.unesco.org
l.marins@unesco.org
UNESCO Institute for Statistics
谢谢您的关注！
http://www.uis.unesco.org
l.marins@unesco.org