奥斯陆手册2018：创新数据收集、报告、使用指南(第4版)

《奥斯陆手册2018》对全球价值链的普遍应用、新信息技术的出现以及它们如何影响新的商业模式、知识资本日益增长的重要性以及在理解创新过程及其经济影响方面取得的进展进行了全面阐述。手册的指导旨在为测度数字化转型过程做出贡献，从而为OECD的数字化计划目标提供支持。

目　录 缩略语·························································································1 摘　要·························································································4 第一部分　创新测度导论 第1 章　创新统计与《奥斯陆手册》介绍···································· 11 1.1　《奥斯陆手册》的目标和背景··················································11 1.1.1　《奥斯陆手册》的起源·····················································11 1.1.2　第4 版的主要目标···························································13 1.1.3　第4 版的范围和方法························································14 1.1.4　《奥斯陆手册》和其他统计标准·········································15 1.2　《奥斯陆手册2018》的结构和内容···········································17 1.2.1　创新测度导论（第一部分）···············································17 1.2.2　测度企业创新的框架和准则（第二部分）·····························17 1.2.3　收集、分析、报告企业创新数据的方法（第三部分）··············22 1.2.4　手册中所涉及的跨领域问题···············································23 1.2.5　数字化和创新·································································23 1.2.6　全球化和创新·································································25 1.3　执行本手册中的指导······························································25 1.3.1　本手册中指导的性质························································25 1.3.2　过渡与实施····································································26 参考文献···················································································27 第2 章　创新测度的定义···························································· 28 2.1　引言···················································································28 2.2　创新的概念··········································································29 2.2.1　概念基础·······································································29 2.2.2　知识·············································································31 2.2.3　新颖性··········································································32 2.2.4　实施·············································································32 2.2.5　价值创造·······································································33 2.3　用户需求和创新统计证据的相关性············································34 2.3.1　研究学者·······································································34 2.3.2　业务管理人员·································································35 2.3.3　创新和其他公共政策制定者···············································35 2.4　创新测度框架的要素······························································36 2.4.1　创新测度范围：国民账户体系部门和行政辖区·······················37 2.4.2　测度的创新现象······························································40 2.5　测度创新的一般策略······························································45 2.5.1　主体法与客体法······························································45 2.5.2　定性数据和定量数据 ·······················································46 2.5.3　创新数据的来源······························································47 2.5.4　第一手来源数据收集的责任···············································48 2.5.5　本手册测度方法的总结·····················································49 2.6　测度企业部门以外的创新························································50 2.6.1　广义政府部门的创新························································50 2.6.2　创新和非营利机构···························································51 2.6.3　创新、家户和个人···························································52 参考文献···················································································53 目　录 第二部分　测度企业创新的框架和准则 第3 章　企业创新测度的概念和定义·········································· 61 3.1　引言···················································································61 3.2　商业企业部门的创新······························································62 3.2.1　创新活动和创新的定义·····················································62 3.2.2　划分创新努力与责任························································64 3.3　创新分类·············································································64 3.3.1　按对象划分创新：产品创新和商业流程创新··························65 3.3.2　根据新颖性和影响力的创新分类·········································74 3.4　不是创新的“改变”······························································75 3.5　创新和企业分类····································································78 3.5.1　创新型企业和创新活跃型企业············································78 3.6　数据收集过程中创新定义的使用···············································79 3.6.1　调查中“创新”术语的使用···············································79 3.6.2　创新概况·······································································80 3.6.3　创新数据收集前的注意事项···············································80 参考文献···················································································81 第4 章　测度企业创新活动························································ 83 4.1　创新活动的介绍和主要特征·····················································83 4.2　与创新相关的活动类型···························································84 4.2.1　研究与试验发展活动························································85 4.2.2　工程、设计和其他创造性活动············································86 4.2.3　营销和品牌资产活动························································87 4.2.4　知识产权相关活动···························································87 4.2.5　员工培训活动·································································88 4.2.6　软件开发与数据库活动·····················································88 4.2.7　有形资产的获取或租赁活动···············································89 4.2.8　创新管理活动·································································90 4.3　收集创新活动发生率的定性数据···············································91 4.3.1　来源于内部和外部的活动··················································91 4.3.2　与创新相关的特定活动的定性数据······································92 4.4　收集创新活动的经费支出数据··················································93 4.4.1　测度创新经费支出的概念问题············································93 4.4.2　特定创新活动的支出························································94 4.4.3　创新活跃型企业的支出按会计类别划分································97 4.4.4　创新活动的资金来源························································99 4.5　创新活动的其他数据···························································· 100 4.5.1　收集创新活动的人力资源数据·········································· 100 4.5.2　创新项目数据······························································· 100 4.5.3　后续活动····································································· 101 4.5.4　计划好的创新活动和支出················································ 102 4.6　建议总结··········································································· 103 参考文献················································································· 103 第5 章　衡量创新的商业能力··················································· 105 5.1　引言················································································· 105 5.2　企业的一般资源·································································· 106 5.2.1　企业规模····································································· 106 5.2.2　企业资产····································································· 107 5.2.3　年龄··········································································· 107 5.2.4　融资和所有权······························································· 108 5.3　综合管理能力····································································· 108 5.3.1　商业战略····································································· 109 5.3.2　组织和管理能力···························································· 111 5.3.3　企业家和高层管理人员的特点·········································· 112 5.3.4　创新综合管理能力························································· 114 目　录 5.3.5　知识产权管理和使用······················································ 117 5.4　劳动力技能和人力资源管理··················································· 119 5.4.1　劳动力职业资格、职业结构和能力···································· 119 5.4.2　人力资源管理······························································· 121 5.5　技术能力··········································································· 122 5.5.1　技术专长····································································· 123 5.5.2　设计能力····································································· 125 5.5.3　与数字技术和数据分析相关的能力···································· 128 5.6　建议总结··········································································· 130 参考文献················································································· 131 第6 章　企业创新和知识流动··················································· 135 6.1　引言················································································· 135 6.2　知识流动与创新：关键概念与定义·········································· 137 6.2.1　创新扩散····································································· 137 6.2.2　知识流动····································································· 137 6.2.3　开放式创新·································································· 141 6.3　收集有关知识流动及其与创新的关系的数据······························ 143 6.3.1　一般问题····································································· 144 6.3.2　创新活动的知识流动数据················································ 144 6.3.3　创新的创意或者信息来源················································ 150 6.3.4　与高等教育和公共研究机构的互动···································· 152 6.3.5　知识产权和知识流动····················································· 154 6.3.6　知识流动的障碍和不良后果············································· 154 6.4　建议总结··········································································· 155 参考文献················································································· 156 第7 章　测度影响企业创新的外部因素····································· 158 7.1　引言················································································· 158 7.2　企业创新外部环境的主要因素················································ 159 7.3　商业活动的地点·································································· 161 7.4　市场与企业创新环境···························································· 162 7.4.1　企业产品的市场···························································· 162 7.4.2　市场中的竞争和协作······················································ 165 7.4.3　投入市场····································································· 168 7.4.4　中介和数字平台···························································· 171 7.5　企业创新的公共政策环境······················································ 171 7.5.1　规章··········································································· 171 7.5.2　政府支持计划······························································· 172 7.5.3　创新和公共基础设施······················································ 174 7.5.4　宏观经济政策环境························································· 175 7.6　创新的社会和自然环境························································· 175 7.6.1　创新的社会背景···························································· 175 7.6.2　自然环境····································································· 176 7.7　企业创新的外部驱动因素和阻碍············································· 177 7.7.1　创新的外部驱动因素······················································ 177 7.7.2　创新的外部障碍或阻碍··················································· 178 7.8　建议总结··········································································· 179 参考文献················································································· 180 第8 章　企业创新的目标和结果··············································· 182 8.1　引言················································································· 182 8.2　企业创新目标和结果的定性衡量标准······································· 183 8.2.1　创新目标和结果的类型··················································· 183 8.2.2　与商业战略相关的创新目标和成果···································· 186 8.3　创新成果的量化测度···························································· 188 8.3.1　产品创新的量化测度······················································ 188 8.3.2　商业流程创新的定量结果数据·········································· 191 8.4　测度面临的问题·································································· 193 8.5　建议总结 ·········································································· 194 目　录 参考文献················································································· 195 第三部分　收集、分析、报告企业创新数据的方法 第9 章　收集企业创新数据的方法············································ 199 9.1　引言················································································· 199 9.2　调查总体及其他基本特征······················································ 201 9.2.1　目标总体····································································· 201 9.2.2　统计单位和报告单位······················································ 202 9.2.3　数据联系····································································· 208 9.2.4　数据收集的频率···························································· 209 9.2.5　观测期和参考期···························································· 209 9.3　问题和问卷设计·································································· 211 9.3.1　问题设计····································································· 212 9.3.2　问卷设计····································································· 213 9.3.3　简式问卷····································································· 215 9.3.4　创新调查与其他商业调查相结合······································· 215 9.3.5　问卷测试····································································· 217 9.4　抽样················································································· 218 9.4.1　调查框架····································································· 218 9.4.2　普查与抽样·································································· 219 9.4.3　纵向面板数据和横截面调查············································· 221 9.5　数据收集方法····································································· 222 9.5.1　邮寄调查····································································· 222 9.5.2　在线调查····································································· 223 9.5.3　电话访问及面对面访问··················································· 224 9.5.4　组合的调查方法···························································· 225 9.6　调查方案··········································································· 225 9.6.1　识别受访者·································································· 225 9.6.2　对受访者的支持···························································· 226 9.6.3　强制调查和自愿调查······················································ 226 9.6.4　无应答········································································ 226 9.6.5　开展无应答调查···························································· 228 9.7　调查后的数据处理······························································· 229 9.7.1　错误检查····································································· 229 9.7.2　缺失值的插补······························································· 230 9.7.3　计算权重····································································· 231 9.8　结果的