2016 Community Innovation Survey Guide
2016 Community Innovation Survey Guide
An innovation is the introduction of a new or significantly improved product, process, organisational method, or marketing
method by your enterprise.
An innovation must have characteristics or intended uses that are new or which provide a significant improvement over what
was previously used or sold by your enterprise. However, an innovation can fail or take time to prove itself.
An innovation need only be new or significantly improved for your enterprise. It could have been originally developed or used
by other enterprises or organisations.
Innovation activities include the acquisition of machinery, equipment, buildings, software, and licenses; engineering and
development work, feasibility studies, design, training, R&D and marketing when they are specifically undertaken to develop
and/or implement a product or process innovation. This includes also all types of R&D consisting of research and
development activities to create new knowledge or solve scientific or technical problems.
Sections 2 to 7 cover product and process innovations. Organisational and marketing innovations are covered in sections 8
and 9.
Person we should contact if there are any queries regarding the form:
Name: _____________________________________
Job title: _____________________________________
Organisation: _____________________________________
Phone: _____________________________________
E-mail: _____________________________________
1
1. General information about the enterprise
Name of enterprise ID
Address1 NUTS
Postal code Main activity2 NACE
1.1 In 2016, was your enterprise part of an enterprise group? (A group consists of two or more legally
defined enterprises under common ownership. Each enterprise in the group can serve different markets, as with national or
regional subsidiaries, or serve different product markets. The head office is also part of an enterprise group.) GP
Yes 1 In which country is the head office of your group located? 3___________________ HO
No 0
If your enterprise is part of an enterprise group: Please answer all further questions about your
enterprise only for its own activities in [your country]. Exclude all subsidiaries or parent enterprises.
1.2 During the three years 2014 to 2016, did your enterprise: 1 0
Yes No
Merge with or take over another enterprise or a part of another enterprise ENMRG
Sell, close or contract out some of the tasks or functions of your enterprise ENOUT
1.3 In which geographic markets did your enterprise sell goods and/or services during the
three years 2014 to 2016?
1 0
Yes No
A. Local / regional within [your country] MARLOC
B. National (other regions of [your country]) MARNAT
C. Other European Union or associated countries* 4 MAREUR
D. All other countries MAROTH
Which of these geographic areas was your largest market in terms of
turnover during the three years 2014 to 2016? ______ LARMAR
(Give corresponding letter)
*: Include the following European Union (EU) and associated countries: Albania, Austria, Belgium, Bosnia and Herzegovina, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Italy, Ireland, Kosovo, Latvia,
Liechtenstein, Lithuania, Luxembourg, FYR Macedonia, Malta, Montenegro, the Netherlands, Norway, Poland, Portugal, Romania, Serbia,
Slovenia, Slovakia, Switzerland, Spain, Sweden, Turkey and the United Kingdom.
1
NUTS 2 code
2
NACE 4 digit code
3
Country code according to ISO standard
4
Each NSO needs to remove their own country from the list of European countries.
2
1.4 During the three years 2014 to 2016, how important were each of the following strategies to
your enterprise?
1.
Degree of importance
3 2 1 0
Not
High Medium Low
important
Focus on improving your existing goods or
services
FIMPGS
Focus on introducing entirely new goods or
services
FNWGS
Focus on reaching new customer groups FNWCUS
Focus on customer specific solutions FCSOL
Focus on low-price FLOWP
A product innovation is the market introduction of a new or significantly improved good or service with respect to
its capabilities, user friendliness, components or sub-systems.
Product innovations (new or improved) must be new to your enterprise, but they do not need to be new to
your market.
Product innovations could have been originally developed by your enterprise or by other enterprises or
organisations.
A good is usually a tangible object such as a smartphone, furniture, or packaged software, but downloadable software, music
and film are also goods. A service is usually intangible, such as retailing, insurance, educational courses, air travel,
consulting, etc.
2.1 During the three years 2014 to 2016, did your enterprise introduce:
1 0
Yes No
Goods innovations: New or significantly improved goods (exclude the simple resale
of new goods and changes of a solely aesthetic nature)
INPDGD
Service innovations: New or significantly improved services INPDSV
3
2.2 Who developed these product innovations?
*: Include independent enterprises plus other parts of your enterprise group (subsidiaries, sister enterprises, head office, etc). Organisations
include universities, research institutes, non-profits, etc.
2.3 Were any of your product innovations (goods or services) during the three years 2014 to
2016:
1 0
Yes No
New to your Your enterprise introduced a new or significantly improved product
market? onto your market before your competitors (it may have already NEWMKT
been available in other markets)
Only new to your Your enterprise introduced a new or significantly improved product
enterprise? that was already available from your competitors in your market
NEWFRM
2.4 Using the definitions above, please give the percent of your total turnover in 2016 from:
New or significantly improved products introduced during the three years 2014 to 2016
that were new to your market % TURNMAR
New or significantly improved products introduced during the three years 2014 to 2016
that were only new to your enterprise % TURNIN
Products that were unchanged or only marginally modified during the three years 2014
to 2016 (include the resale of new products purchased from other enterprises) % TURNUNG
4
2.5 To the best of your knowledge, were any of your product innovations during the three years
2014 to 2016:
Please tick one option in every row
1 0 2
Don’t
Yes No
know
A first in [your country] INPDFC
A first in Europe* INPDFE
A world first INPDFW
*: Include the following European Union (EU) and associated countries: Albania, Austria, Belgium, Bosnia and Herzegovina, Bulgaria,
Croatia, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Italy, Ireland, Kosovo, Latvia,
Liechtenstein, Lithuania, Luxembourg, FYR Macedonia, Malta, Montenegro, the Netherlands, Norway, Poland, Portugal, Romania, Serbia,
Slovenia, Slovakia, Switzerland, Spain, Sweden, Turkey and the United Kingdom. 5
3. Process innovation
A process innovation is the implementation of a new or significantly improved production process, distribution
method, or supporting activity.
Process innovations must be new to your enterprise, but they do not need to be new to your market.
The innovation could have been originally developed by your enterprise or by other enterprises or organisations.
Exclude purely organisational innovations – these are covered in section 8.
3.1 During the three years 2014 to 2016, did your enterprise introduce:
1 0
Yes No
New or significantly improved methods of manufacturing for producing goods or
services
INPSPD
New or significantly improved logistics, delivery or distribution methods for your inputs,
goods or services
INPSLG
New or significantly improved supporting activities for your processes, such as
maintenance systems or operations for purchasing, accounting, or computing
INPSSU
*: Include independent enterprises plus other parts of your enterprise group (subsidiaries, sister enterprises, head office, etc). Organisations
include universities, research institutes, non-profits, etc.
5
Each NSO needs to remove their own country from the list of European countries.
5
4. Ongoing or abandoned innovation activities for product or process innovations
Innovation activities include the acquisition of machinery, equipment, buildings, software, and licenses; engineering and
development work, feasibility studies, design, training, R&D and marketing when they are specifically undertaken to develop
and/or implement a product or process innovation. This includes also all types of R&D consisting of research and
development activities to create new knowledge or solve scientific or technical problems.
4.1 During the three years 2014 to 2016, did your enterprise have any innovation activities that did
not result in a product or process innovation because the activities were:
1 0
Yes No
Abandoned or suspended before completion INABA
Still ongoing at the end of the 2016 INONG
Otherwise go to section 5
6
5. Innovation activities and expenditures for product and process innovations
5.1 During the three years 2014 to 2016, did your enterprise engage in the following innovation
activities?:
1 0
Yes No
In-house R&D Research and development activities undertaken by your
enterprise to create new knowledge or solve scientific or
technical problems (include software development that
RRDIN
meets this requirement)
If yes, did your enterprise perform R&D during the three
years 2014 to 2016:
Continuously (your enterprise had
permanent R&D staff in-house)
1 RDENG
7
5.2 How much did your enterprise spend on each of the following innovation activities in 2016
only? Innovation activities are defined in question 5.1 above.
Include current expenditures (including labour costs, contracted-out activities, and other related costs) as well as
capital expenditures on buildings and equipment.
Please fill in ‘0’ if your enterprise had no expenditures for an activity in 2016
Please estimate if you lack precise accounting data
In-house R&D (Include current expenditures including labour costs and
capital expenditures on buildings and equipment specifically for R&D)
RRDINX
External R&D
RRDEXX
Acquisition of machinery, equipment, software & buildings
(Exclude expenditures on these items that are for R&D)
RMACX
Acquisition of existing knowledge from other enterprises or organisations ROEKX
All other innovation activities including design, training, marketing, and
other relevant activities
ROTRX
Total of the above innovation activities RALLX
5.3 How much do you expect your enterprise's total innovation expenditures to change in
2017 and 2018?
8
6. Public financial support for product and process innovation activities
6.1 During the three years 2014 to 2016, did your enterprise receive any public financial
support for innovation activities from the following levels of government?
Include financial support via tax credits or deductions, grants, subsidised loans, and loan guarantees. Exclude R&D and
other innovation activities conducted entirely for the public sector* under contract.
1 0
Yes No
Local or regional authorities FUNLOC
Central government (including central government agencies or ministries) FUNGMT
The European Union (EU) FUNEU
If yes, did your enterprise participate in the EU 7th Framework Programme for
Research and Technical Development or in the Horizon 2020 Programme for FUNRTD
Research and Innovation?
*The public sector includes government owned organisations such as local, regional and national administrations and agencies, schools,
hospitals, and government providers of services such as security, transport, housing, energy, etc.
7.1 During the three years 2014 to 2016, how important to your enterprise’s innovation
activities were each of the following information sources?
Include information sources that provided information for new innovation projects or contributed to the completion of
existing projects.
Degree of importance
Tick ‘not used’ if no information was obtained from a source.
3 2 1 0
Information source Not
High Medium Low
used
Internal Within your enterprise or enterprise group SENTG
Market Suppliers of equipment, materials, components,
sources or software
SSUP
Clients or customers from the private sector SCLPR
Clients or customers from the public sector* SCLPU
Competitors or other enterprises in your sector SCOM
Consultants or commercial labs SINS
Education & Universities or other higher education institutes SUNI
research Government or public research institutes SGOV
Private research institutes SPRV
Other Conferences, trade fairs, exhibitions SCON
sources Scientific/technical journals or trade publications SJOU
Professional or industry associations SPRO
*The public sector includes government owned organisations such as local, regional and national administrations and agencies, schools,
hospitals, and government providers of services such as security, transport, housing, energy, etc.
9
7.2 During the three years 2014 to 2016, did your enterprise co-operate on any of your innovation
activities with other enterprises or organisations?
Innovation co-operation is active participation with other enterprises or organisations on innovation activities. Both partners
do not need to commercially benefit. Exclude pure contracting out of work with no active co-operation.
No 0 (Go to section 8)
Yes 1 (Go to question 7.3) CO
8. Organisational innovation
An organisational innovation is a new organisational method in your enterprise’s business practices (including knowledge
management), workplace organisation or external relations that has not been previously used by your enterprise.
It must be the result of strategic decisions taken by management.
Exclude mergers or acquisitions, even if for the first time.
8.1 During the three years 2014 to 2016, did your enterprise introduce:
1 0
Yes No
New business practices for organising procedures (i.e. first time use of supply chain
management, business re-engineering, knowledge management, lean production, ORGBUP
quality management, etc.)
New methods of organising work responsibilities and decision making (i.e. first time
use of a new system of employee responsibilities, team work, decentralisation, ORGWKP
integration or de-integration of departments, education/training systems, etc.)
New methods of organising external relations with other enterprises or public
organisations (i.e. first time use of alliances, partnerships, outsourcing or sub- ORGEXR
contracting, etc.)
10
9. Marketing innovation
A marketing innovation is the implementation of a new marketing concept or strategy that differs significantly from your
enterprise’s existing marketing methods and which has not been used before.
It requires significant changes in product design or packaging, product placement, product promotion or pricing.
Exclude seasonal, regular and other routine changes in marketing methods.
9.1 During the three years 2014 to 2016, did your enterprise introduce:
1 0
Yes No
Significant changes to the aesthetic design or packaging of a good or service
(exclude changes that alter the product’s functional or user characteristics – these MKTDGP
are product innovations)
New media or techniques for product promotion (i.e. first time use of a new
advertising media, a new brand image, introduction of loyalty cards, etc)
MKTPDP
New methods for product placement or sales channels (i.e. first time use of
franchising or distribution licenses, direct selling, exclusive retailing, new concepts MKTPDL
for product presentation, etc)
New methods of pricing goods or services (i.e. first time use of variable pricing by
demand, discount systems, etc)
MKTPRI
Go to section 12 if your enterprise did not introduce an innovation and did not have
ongoing/abandoned innovation activities during the three years 2014 to 2016 (‘no’ to all
options in questions 2.1, 3.1, 4.1, 8.1 and 9.1).
10.1 During the three years 2014 to 2016, how important were the following factors in
hampering your innovation activities?
Degree of importance
3 2 1 0
Not
High Medium Low
important
Lack of internal finance for innovation HFFENT
Lack of credit or private equity HFCRE
Innovation costs too high HFCOS
Lack of skilled employees within your enterprise HFPER
Lack of collaboration partners HFPAR
Difficulties in obtaining government grants or subsidies
for innovation
HFSUBS
Uncertain market demand for your ideas for innovations HFDEM
Too much competition in your market HFCOMP
11
11. Effect of legislation or regulations on innovation activities
11.1 Please assess the effect of the following legislation or regulations on your enterprise’s
innovation activities during the three years 2014 to 2016.
1) E.g. prescriptive legislation; requires more burden/cost in your enterprise than would be needed to fulfill its objectives.
2) Nationally fragmented regulation, i.e. (too many) different rules in different countries.
11.2 During the three years 2014 to 2016, has legislation or regulations affected your
enterprises’ innovation activities in the following ways?
1 0
Yes No
Initiated one or more innovation activities REGINI
Refrained from starting one or more innovation activities REGRFR
Stopped one or more ongoing innovation activities REGSTP
Delayed the completion of one or more innovation activities REGDLY
Increased the costs of one or more innovation activities REGINC
Go to section 13.
12
12. Non-innovators
Repeat: Only answer section 12 if your enterprise did not introduce an innovation and did not
have ongoing/abandoned innovation activities during the three years 2014 to 2016 (‘no’ to all
options in questions 2.1, 3.1, 4.1, 8.1 and 9.1).
12.1 Which of the following best describes why your enterprise had no innovation activities
during the three years from 2014 to 2016:
12.2 How important were the following reasons for your enterprise not to conduct innovation
activities during 2014 to 2016?
Degree of importance
3 2 1 0
Not
High Medium Low
important
Low demand for innovations in your market HLDEM
No need to innovate due to previous innovations HPRIOR
No need to innovate due to very little competition
in your enterprise’s market
HCOMPL
Lack of good ideas for innovations HIDIN
Go to section 13.
13
12.3 During the three years 2014 to 2016, how important were the following factors in
preventing your enterprise from innovating?
Degree of importance
3 2 1 0
Not
High Medium Low
important
Lack of internal finance for innovation HFENT
Lack of credit or private equity HCRE
Innovation costs too high HCOS
Lack of skilled employees within your enterprise HPER
Lack of collaboration partners HPAR
Difficulties in obtaining government grants or
subsidies for innovation
HSUBS
Uncertain market demand for your ideas for
innovations
HDEM
Too much competition in your market HCOMPH
Legislation/regulation that generated excessive
burden
HRBUR
Legislation/regulation that created uncertainty HRUNC
Legislation/regulation that lacked consistency
across the EU
HRLCNS
13.1 During the three years 2014 to 2016, did your enterprise:
1 0
Yes No
Apply for a patent PROPAT
Apply for an utility model PROUM
Register an industrial design right PRODSG
Register a trademark PROTM
Use trade secrets PROTS
Claim copyright PROCP
14
14. Innovations in logistics
Logistics is a set of services including the planning, organisation, management, execution and monitoring of an enterprise’s
entire material, goods and related information flows (flows from purchasing, production and warehousing, to added value
services, distribution and reverse logistics).
14.1 During the three years from 2014 to 2016 did your enterprise introduce any of the
following innovations in logistics?
1 0
Yes No
Inventory management systems (for example automatic (& real-time)
monitoring, tracking / tracing delivery of goods.
LGMGSY
Digital supply chain management (includes paperless, transparent supply
chain transactions, manage supplier relationships, and control associated LGDSMGT
business processes).
E-procurement (for example new forms of purchasing and selling materials
and goods through internet and other information systems between suppliers LGEPROC
and enterprises)
Unique and automatic identification of products within the whole supply chain LGUAID
Reverse logistics (all operations related to the re-use and return of products
and materials)
LGREV
New delivery models, including the use of alternatively fueled vehicles or
multi-modal logistics (for example combined use of road transport and inland LGNWDM
navigation)
Improved shipment by redesign (packaging, weight, density) LGIMPS
Other LGOTH
14.2 Approximately what percent of your operating expenses were for logistics in 2016?
Include all operating expenses related to the planning, organisation, management, execution and monitoring of your
enterprise’s entire material, goods and related information flows.
% LGPC
15
14.3 How important were the following reasons for your enterprise to introduce innovations in
logistics?
Degree of importance
3 2 1 0
Not
High Medium Low
important
Open up new market opportunities (e.g. new
customers, new or significantly improved goods LGINWMT
and/or services)
Improve your enterprise’s performance (increased
market share, turnover, profit)
LGIMPF
Respond to market pressures (risk of losing
customers and/or turnover)
LGRESMT
Respond to cost pressures (need to reduce costs or
limit cost increases)
LGIRESC
Respond to existing or forthcoming regulatory
provisions
LGRSPRV
14.4 Approximately how much did your enterprise spend on innovations in logistics in 2016?
Include expenditures for any of the innovations in logistics listed in question 14.1.
LGEXP
Tick one only
A. Not applicable as no innovations in logistics were made in 2016 0
B. less than 10,000 Euros 1
C. 10,000 to less than 50,000 Euros 2
D. 50,000 to less than 100,000 Euros 3
E. 100,000 to less than 250,000 Euros 4
F. 250,000 to less than 500,000 Euros 5
G. 500,000 to less than 1 million Euros 6
H. Over 1 million Euros 7
I. Don’t know 8
Go to section 15
14.5 Which of the following best describes why your enterprise did not introduce any
innovations in logistics during 2014 to 2016?
16
15. Basic economic information on your enterprise6
15.1 What was your enterprise’s total turnover for 2014 and 2016?
Turnover is defined as the market sales of goods and services (Include all taxes except VAT)
2014 2016
TURN14 TURN16
15.2 Approximately what percent of your enterprise’s total turnover in 2016 was from sales to
clients outside your country?
Please insert ‘0’ if your enterprise had no sales outside your country
% SLO16
15.3 What was your enterprise’s average number of employees in 2014 and 2016?
2014 2016
EMP14 EMP16
15.4 Approximately what percent of your enterprise’s employees in 2016 had a tertiary
degree?7
EMPUD
0% 0
1% to less than 5% 1
5% to less than 10% 2
10% to less than 25% 3
25% to less than 50% 4
50% to less than 75% 5
75% or more 6
6
Questions 15.1 is needed for calculating Regulation variables, 3 ,4 and 6 and question 15.3 for calculating Regulation variables by enterprise's size
classes (Commission Regulation (EC) No 995/2012 on innovation statistics).
7
ISCED 2011 levels 5 to 8.
17