EUROPEAN COMMISSION

EUROSTAT

Directorate G :Global Business Statistics

Unit G-4: Innovation and information society

__________________________________________________________________________________
Doc.Eurostat/G4/STI/CIS/2018/Document 10

Harmonised Data Collection

for the CIS 2018
Final Version (as of 26 April 2018)

Prepared by the CIS 2018 Task Force

Edited after the STI Working Group meeting in November 2017, and finalised after the CIS Task Force
meeting in April 2018.
Published by Eurostat Unit G4 ‘Innovation and Information Society’.
 Introduction

This document specifies the information (variables and categories) to be collected with the Community
Innovation Survey (CIS) 2018 at the enterprise level.
National Statistical Institutes (NSIs) are not required to
 collect all variables (or all particular items of variables) with an enterprise survey using this data
collection form, as some (items of) variables can originate from other sources, such as the
Statistical Business Register or other business surveys.
 design the questionnaire for the national enterprise survey exactly as it is presented in this
document. However, in order to produce internationally comparable statistics and indicators, the
NSIs should ensure that the information that would become available with this data collection form
will become available at the enterprise level for their county. For the same reason, questions 3.1 to
3.10 and 3.15 to 3.16 have to be presented in a questionnaire in the order as presented in this data
collection form.
There are two types of footnotes in this data collection form. Footnotes that are denoted with
 asterisks are proposed to appear in the questionnaire
 numbers are for information purpose for NSIs

The questions are marked in three categories:

 Questions marked in violett are obligatory under Regulation (EU) 995/2012

 Questions marked in blue are not obligatory under Regulation (EU) 995/2012, but VERY
important

 Questions marked in yellow are not obligatory under Regulation (EU) 995/2012, but important

2
1 Enterprise identification
The enterprise identification should be extracted from the Business Register. Whenever possible, this information
should be used, and consistency with the Business Register should be assured.
Name of enterprise ID
Address*
NUTS
Postal code
Main activity** NACE
If available: BR number NSI_ID
* NUTS basic regions (2 digit code)
** NACE rev. 2 classes (4 digit code)

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 the activities of all subsidiaries or parent enterprises

2 Strategies and Knowledge Flows

2.1 During the three years 2016 to 2018, how important were the following strategies
to the economic performance of your enterprise? [STRA]

Degree of importance

Not
High Medium Low
important
3 2 1 0
Focus on improving your existing goods or     STRA_FIMPGS
services
Focus on introducing new goods or     STRA_FNWGS
services
Focus on low-price (price leadership)     STRA_FLOWP
Focus on high-quality (quality leadership)     STRA_FHQUAL
Focus on a broad range of goods or     STRA_FBRGS
services
Focus on one or a small number of key     STRA_FSMGS
goods or services
Focus on satisfying established customer     STRA_FESTCUS
groups
Focus on reaching out to new customer     STRA_FNWCUS
groups
Focus on standardised goods or services     STRA_FSTDGS
Focus on customer-specific solutions     STRA_FCSOL

2.2 During the three years from 2016 to 2018, did your enterprise offer any of the
following types of goods or services to meet user requirements? [CONC]
A user can be an end customer or an enterprise which uses a product as an intermediate product.
Yes No
1 0
Goods or services co-created* with users, i.e. the user had an active role
in the creation of the idea, design and development of the product (co-   CONC_PRD_CO
creation)
Goods or services designed and developed* specifically to meet the
needs of particular users (customisation). This excludes mass   CONC_PRD_CUS
customisation, i.e. customised versions of standard products.
Standardised goods or services offered to different users in the same   CONC_PRD_STD
way. This includes mass customisation.

3
* A difference between customisation and co-creation is that for 'customisation' the enterprise designed and developed the product alone,
whereas for 'co-creation' the enterprise designed and developed the product together with the user**.
If 'yes' to at least one of the options 'co-creation' or 'customisation, go to question 2.3
Otherwise go to question 2.5
2.3 For the products resulting from 'customisation'* or 'co-creation', the users**
included [CONC_USR]
Yes No
1 0

Private business enterprises   CONC_USR_PRV

Public sector organisations***   CONC_USR_PUB
Individuals or households   CONC_USR_IND_HH
Non-profit organisations   CONC_USR_NPO
* This excludes mass customisation, i.e. customised versions of standard products.
** A user can be an end customer or an enterprise which uses a product as an intermediate product.
*** Public sector organisations include government owned organisations such as local, regional and national administrations and agencies,
universities, schools, hospitals, and government providers of services such as security, transport, housing, energy, etc.

2.4 Please provide an estimate for the percentage of turnover in 2018 from
[CONC_TUR_PRD]
Products resulting from 'customisation' or 'co-creation' ___ % CONC_TUR_PRD_CUS_CO
Standardised products ___ % CONC_TUR_PRD_STD
Total turnover 100 %

2.5 During the three years 2016 to 2018, did your enterprise:1 [IPR_OUT]
Yes No
1 0
Apply for a patent   IPR_OUT_PAT
Register an industrial design right   IPR_OUT_IDESG
Register a trademark   IPR_OUT_TRDM
Claim a copyright   IPR_OUT_CPR
Use trade secrets   IPR_OUT_TS

2.6 During the three years 2016 to 2018, did your enterprise: [IPR_OUT]
Yes No
1 0
License out its own intellectual property rights (IPRs) to others   IPR_OUT_LIC
Sell its own IPRs (or assign IP rights) to others   IPR_OUT_SELL
Exchange IPRs (pooling, cross-licensing, etc.)   IPR_OUT_EXCH

2.7 During the three years 2016 to 2018*, did your enterprise purchase or license-in
patents or other IPRs? [IPR_IN]
tick all that apply
if from private business enterprises or
Yes  1  IPR_IN_LIC_PRV
yes: individuals
from public research organisations,
IPR_IN_LIC_PUR
universities or other higher education  IPR_IN_LIC_PUB
institutions
No  0

1
Those countries where 'utility models' are relevant can include a respective category.
4
* The time of the licensing-in or purchase is relevant, not the use of patents or IPRs during the three years 2016 to 2018 or at the time when
this survey is filled in.
2.8 During the three years 2016 to 2018, did your enterprise purchase technical
services? [PUR_TSERV]
Technical service’ includes any consulting activity that involves any kind of technical, scientific or engineering
information, e.g. engineering services, measurement and testing services, industrial design services, R&D services,
certification services, installation, refitting and retrofitting services.
tick all that apply
Yes 1 if yes: from private business enterprises  PUR_TSERV_PRV
from public research organisation,
PUR_TSERV universities or other higher education  PUR_TSERV_PUB
institutions
No 0

2.9 During the three years 2016 to 2018, did your enterprise purchase machinery,
equipment or software based on [PUR_MES]
Yes No
1 0
The same or improved technology used in your enterprise before   PUR_MES_SAME
New technology that was not used in your enterprise before   PUR_MES_NEW

2.10 During the three years 2016 to 2018, did your enterprise use any of the following
channels to acquire knowledge? [CKNO]
Yes No
1 0
Conferences, trade fairs or exhibitions   CKNO_CONF_TRDF_EXHIB
Scientific/technical journals or trade publications   CKNO_JRNST_TRDP
Information from professional or industry associations   CKNO_ASS_PROF_IND
Information from published patents   CKNO_PAT_PUBL
Information from standardisation documents or committees   CKNO_DOC_STD_COM
Social web-based networks or crowd-sourcing   CKNO_WEB_NET_CDS
Open business-to-business platforms or open-source   CKNO_B2B_OS
software
Extracting knowledge or design information from goods or   CKNO_RE
services (reverse engineering)

2.11 During the three years 2016 to 2018, how important to the management of your
business were the following methods of organising work? [MORG]
Degree of importance
High Medium Low Not important
3 2 1 0
Planned job rotation of staff across     MORG_JROT
different functional areas
Regular brainstorming sessions for
staff to think about improvements     MORG_BRNT
that could be made within the
business
Cross-functional work groups or
teams (combined across different     MORG_CF_WG
working areas or functions)

5
3 Innovation
A product innovation is a new or improved good or service that differs significantly from the firm’s
previous goods or services and which has been implemented on the market.
Include:
 significant changes to the design of a good
 digital goods or services
Exclude: ─ the simple re-sale of new goods and changes of a solely aesthetic nature

3.1 During the three years 2016 to 2018, did your enterprise introduce any: [INNO_PRD]
Yes No
1 0
New or improved goods   INNO_PRD_GD
New or improved services   INNO_PRD_SERV
1: For NSIs: Digital goods and services, see OM4 Chapter 3, paragraph 32 where they are referred to as knowledge-capturing products. These products can
have the characteristics of either a good or service and concern the provision, storage, safekeeping, communication and dissemination of digital information that
users can access repeatedly.
If 'no' to all options go to question 3.6
Otherwise go to question 3.2
3.2 In the three years 2016 to 2018, did your enterprise introduce any new or
improved products (goods or services) that were: [INNO_PRD]
Yes No
1 0
Not previously offered by any of your competitors?2   INNO_PRD_NEW_MKT
Identical or very similar to products already offered by your   INNO_PRD_NEW_ENT
competitors?3

3.3 Please estimate the percentage of your enterprise's total turnover4 in 2018 from
products (goods or services) that were, in the three years 2016 to 2018:5[TUR_PRD]
Unchanged
Total
products
New or improved products turnover
(or with only minor
in 2018
changes)*
__% __%
+ = 100 %
TUR_PRD_INN TUR_PRD_NINN
If possible, separate turnover from new or
improved products into products that were:
=
Not previously offered by any of __%
your competitors6 TUR_PRD_NEW_MKT
+
Identical or very similar to products
__%
already offered by your TUR_PRD_NEW_ENT
competitors
* Includes the resale of new products purchased from other enterprises.

3.4 Who developed these product innovations? [DEVE_PRD]

Tick all that apply
Your enterprise by itself  DEVE_PRD_ENT
Your enterprise together with other enterprises or organisations*  DEVE_PRD_ENT_OTH

2 Not previously available on the market. (Wording can be adapted to national circumstances, e.g. to 'New to the market').
3 Already previously available on the market. (Wording can be adapted to national circumstances, e.g. to 'New to the enterprise').
4 Turnover is defined as the market sales of goods and services (Include all taxes except VAT). For Credit institutions: Interests receivable and
similar income, for insurance services: Gross premiums written.
5 This question can be designed according to national needs provided it delivers the described information, in particular the percentages for
‘new or improved products’ and ‘unchanged products’.
6
Your enterprise by adapting or modifying products originally
 DEVE_PRD_ADP_ENT_OTH
developed by other enterprises or organisations*
Other enterprises or organisations*  DEVE_PRD_OTH
* Include independent enterprises plus other parts of your enterprise group (subsidiaries, sister enterprises, head office, etc.). Organisations
include universities, research institutes, non-profits, etc.
3.5 How did the new or improved product(s), introduced during 2016 to 2018, meet
your enterprise’s expectations by the end of 2018: [EXPEC_INNO_PRD]
Tick only
one
Expectations were exceeded  EXPCT_INNO_PRD_EXCD
Expectations were adequately met  EXPCT_INNO_PRD_ADQ
Expectations were met only to some extent  EXPCT_INNO_PRD_SOM
Expectations were not met at all  EXPCT_INNO_PRD_NMET
Too early to assess  EXPCT_INNO_PRD_TEARL
A business process innovation is a new or improved business process for one or more business
functions that differs significantly from the firm’s previous business processes and which has been
implemented within the firm.
3.6 During the three years 2016 to 2018, did your enterprise introduce any of the
following types of new or improved processes that differ significantly from your
previous processes? [INNO_PCS]
Yes No
1 0
Methods for producing goods or providing services (including   INNO_PCS_PRD
methods for developing goods or services)
Logistics, delivery or distribution methods   INNO_PCS_LOG
Methods for information processing or communication   INNO_PCS_COMM
Methods for accounting or other administrative operations   INNO_PCS_ACCT
Business practices for organising procedures or external relations   INNO_PCS_OPROC_EXTREL
Methods of organising work responsibility, decision making or   INNO_PCS_WR_DEC_HRM
human resource management
Marketing methods for promotion, packaging, pricing, product   INNO_PCS_SLS_SERV
placement or after sales services
If 'no' to all options go to question 3.9
Otherwise go to question 3.7
3.7 Who developed these process innovations? [DEVE_PCS]
Tick all that apply
Your enterprise by itself  DEVE_PCS_ENT
Your enterprise together with other enterprises or 
DEVE_PCS_ENT_OTH
organisations*
Your enterprise by adapting or modifying processes 
DEVE_PCS_ENT_ADP
originally developed by other enterprises or organisations*
Other enterprises or organisations*  DEVE_PCS_OTH
* Include independent enterprises plus other parts of your enterprise group (subsidiaries, sister enterprises, head office, etc.). Organisations
include universities, research institutes, non-profits, etc.

3.8 How did the new or improved processes introduced during 2016 to 2018 meet
your enterprise’s expectations by the end of 2018: [EXPCT_INNO_PCS]
Tick only one

Expectations were exceeded  EXPCT_INNO_PCS_EXCD

Expectations were adequately met  EXPCT_INNO_PCS_ADQ
Expectations were met only to some extent  EXPCT_INNO_PCS_SOM
Expectations were not met at all  EXPCT_INNO_PCS_NMET
Too early to assess  EXPCT_INNO_PCS_TEARL

7
 'Innovation activity' includes all developmental, financial and commercial activities, undertaken by a firm, which
are intended to or result in an innovation.
Research and Development (R&D) comprises creative and systematic work undertaken in order to increase the
stock of knowledge – including knowledge of humankind, culture and society – and to devise new applications of
available knowledge.

3.9 During the three years 2016 to 2018, did your enterprise have any of the following
types of innovation activities? (Activities leading to expenditures) [INNA]

Yes No
1 0
Completed activities on product or process innovation1   INNA_COMPL
Ongoing innovation activities at the end of 2018   INNA_ONGO
Abandoned innovation activities   INNA_ABDN
In-house research and development (R&D) activities*?   INNA_IH_RND
if 'yes': did your enterprise perform in-house R&D during the
three years 2016 to 2018:
Continuously (your enterprise had permanent R&D  INNA_IH_RND_CONT
staff)
Occasionally (as needed only)  INNA_IH_RND_OCC
Contract-out R&D to other enterprises (include enterprises in your
  INNA_RND_CONTR_OUT
own group) or to public or private research organisations)

1 For NSIs that use an online survey: For all enterprises: For all enterprises that reply 'yes' to any category in any of the questions 3.1 or 3.6,
pre-set the answer to 'yes'.
* Please see the annex for definitions of internal and external R&D.
If 'no' to all options go to question 3.12
Otherwise go to question 3.10

3.10 How much did your enterprise spend on innovation and research and
development (R&D) in 2018? [EXP_INNO]
 Please note that question 3.10 refers, exceptionally, only to the year 2018, not the three year period 2016 to 2018.
 Please tick 'none' for all categories if you enterprise did not have any expenditure on innovation and/or R&D in 2018.
Please tick, if
Please estimate if there were no
you lack precise such
accounting data expenditures
in 2018
R&D performed in-house (Include
current expenditures including labour
costs and capital expenditures __,___,___,000 €  none EXP_INNO_RND_IH
(buildings, machinery, equipment,
software etc.) specifically for R&D)
R&D contracted out to others (including
__,___,___,000 €  none EXP_INNO_RND_CONTR_OUT
enterprises in own enterprise group)
All other innovation expenditures*
__,___,___,000 €  none EXP_INNO_INN_XRND
(i.e. excluding R&D)
Of which:
Own personnel working on EXP_INNO_INN_XRND_OWN_
__,___,___,000 €  none
innovation PER
Services, materials, supplies
purchased from others for __,___,___,000 €  none EXP_INNO_INN_XRND_SMSP
innovation
Capital goods for innovation
(acquisition of machinery,
__,___,___,000 €  none EXP_INNO_INN_XRND_CGO
equipment, software, IPRs,
buildings etc.)

8
* include:
- Acquisition of machinery equipment, software, IPRs or buildings for innovation activities other than R&D
- Acquisition of external knowledge for innovation activities other than R&D (e.g. patents, licenses, trademarks)
- Product design, service design, preparation of production / distribution for innovation activities other than R&D
- Training and professional development for innovation activities other than R&D (e.g. employee training or continued education)
- Marketing of innovations (marketing activities directly related to innovations, including market research)
More notes can be found as an annex to this questionnaire.

3.11 How much do you expect your enterprise's total innovation expenditures* to
change in 2019 and 2020? [E_EXP_INNO]

2019 compared to 2018 2020 compared to 2019

 Increase If yes, by  Increase

approximately* %
E_EXP_INNO_INCR_2019_2018 E_EXP_INNO_INCR_2020_2019
*
E_EXP_INNO_INCR_2019_
2018_PC
 Stay about the same (+/- 5%)**  Stay about the same (+/- 5%)
E_EXP_INNO_SAME_2019_2018 E_EXP_INNO_SAME_2020_2019

 Decrease If yes, by  Decrease

E_EXP_INNO_DECR_2019_2018 approximately* % E_EXP_INNO_DECR_2020_2019
*
E_EXP_INNO_DECR_2019
_2018_PC
 No innovation expenditures expected  No innovation expenditures expected
E_EXP_INNO_NONE_2019_2018 E_EXP_INNO_NONE_2020_2019

 Don't know  Don't know

E_EXP_INNO_UNK_2019_2018 E_EXP_INNO_UNK_2020_2019

* Total innovation expenditures include those for R&D and all other innovation activities.
** If there were no innovation expenditures in 2018 or 2019, please only indicate if these will increase in 2019 or 2020, respectively.

3.12 During the three years from 2016 to 2018, did your enterprise try to obtain the
following types of funding? If funding was obtained successfully, was this
funding used for R&D or other innovation activities? [FUND]
If your enterprise
obtained funding,
was this partly or
Try to obtain funding
fully used for R&D
or other innovation
activities?
Yes, successfully
Tried, but not Yes No
obtained some No 1 0
successfully
funding of this type

Equity
finance 
(finance provided   FUND_EQUIT_SUC
in exchange for a FUND_EQUIT_NSU  
FUND_EQUIT_SUCC FUND_NEQUIT C_RNDINN
share in the CC
ownership of the
enterprise)

Debt finance 
(finance that the   FUND_DEBT_SUC
FUND_DEBT_NSUC  
enterprise must FUND_DEBT_SUCC FUND_NDEBT C_RNDINN
repay) C

9
3.13 During the three years from 2016 to 2018, did your enterprise receive any public
financial support from the following levels of government? [FUND]
Include financial support via grants, subsidised loans, and loan guarantees. Exclude revenues from public
sector* procurement contracts.
If your enterprise
received
financial
support: was
part of this used
for R&D or other
innovation
activities?
Yes No Yes No

1 0 1 0
Local or regional
  FUND_AUT_LOC_REG   FUND_AUT_LOC_REG_RNDINN
authorities*
National government*   FUND_GOV_CTL   FUND_GOV_CTL_RNDINN

EU Horizon 2020
Programme for
  FUND_EU_HP2020   FUND_EU_HP2020_RNDINN
Research and
Innovation
Other financial
support from a
  FUND_EU_OTH   FUND_EU_OTH_RNDINN
European Union
institution*
* Include financial support via grants, subsidised loans, and loan guarantees. Exclude financing of activities under contract by the public
sector*. 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.

3.14 During the three years from 2016 to 2018, did your enterprise use tax incentives or
allowances for the following purposes? [TAX_CRED]
Yes No
1 0
Tax credits or allowances for R&D or other innovation activities
  TAX_CRED_RNDINN
[name of national scheme]
Tax credits or allowances for all other types of activities   TAX_CRED_OTH

3.15 During the three years 2016 to 2018, did your enterprise co-operate* with other
enterprises or organisations ? [COOP]
No
Yes
1 0
a) On R&D   COOP_RND
b) On other innovation activities (excluding R&D)   COOP_INN_XRND
c) On any other business activities   COOP_OTH
* Co-operation is active participation with other enterprises or organisations. Partners do not need to commercially benefit. Exclude pure
contracting out of work with no active co-operation.
If 'yes' to either option a) or b), go to question 3.16
Otherwise go to question 3.17

10
3.16 Please indicate the type of innovation co-operation partner by location [COOP]
Tick all that apply
Type of co-operation [Your country] Other EU* or EFTA** All other countries
partner

Private business enterprises  
COOP_PRV_NEU_NEFTA
outside your enterprise group COOP_PRV_NAT COOP_PRV_EU_EFTA

Consultants, commercial  

labs, or private research COOP_PRV_CN_EU_EF COOP_PRV_CN_NEU_NEF
COOP_PRV_CN_NAT
institutes TA TA

Suppliers of equipment,   
materials, components or COOP_PRV_SUPPL_N COOP_PRV_SUPPL_EU COOP_PRV_SUPPL_NEU_
software AT _EFTA NEFTA
  
Enterprises that are your COOP_PRV_CLCU_N COOP_PRV_CLCU_EU_ COOP_PRV_CLCU_NEU_N
clients or customers AT EFTA EFTA
  
Enterprises that are your COOP_PRV_COMP_N COOP_PRV_COMP_EU_ COOP_PRV_COMP_NEU_
competitors
AT EFTA NEFTA
  
Other enterprises COOP_PRV_OTH_NA COOP_PRV_OTH_EU_E COOP_PRV_OTH_NEU_NE
T FTA FTA
Enterprises within your   
enterprise group COOP_EG_NAT COOP_EG_EU_EFTA COOP_EG_NEU_NEFTA

Universities or other higher   

education institutions COOP_UNIV_NAT COOP_UNIV_EU_EFTA COOP_UNIV_NEU_NEFTA
 
Government or public research 
COOP_GOV_RI_EU_EF COOP_GOV_RI_NEU_NEF
institutes COOP_GOV_RI_NAT
TA TA
  
Clients or customers from the
COOP_PUB_CLCU_N COOP_PUB_CLCU_EU_ COOP_PUB_CLCU_NEU_E
public sector***
AT EFTA FTA
Non-profit organisations   
COOP_NPO_NAT COOP_NPO_EU_EFTA COOP_NPO_NEU_NEFTA

* The Member States of the European Union (EU) are: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Italy, Ireland, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal,
Romania, Slovenia, Slovakia, Spain, Sweden, and the United Kingdom.
** Iceland, Liechtenstein, Norway, Switzerland.
*** 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.

11
3.17 During the three years 2016 to 2018, has legislation or regulation affected your
enterprises’ innovation activities in any of the ways shown in columns A to C?
[LEG]
Type of legislation or Prevented, hampered or
regulation Initiated or facilitated Had no effect /
increased costs of
innovation activities not relevant
innovation activities

Tick all that apply

Column A Column B Column C
Product safety, consumer
 LEG_SPPC_IF  LEG_SPPC_PHIC  LEG_SPPC_NIMPC
protection
Environmental  LEG_ENV_IF  LEG_ENV_PHIC  LEG_ENV_NIMPC
Intellectual property  LEG_IP_IF  LEG_IP_PHIC  LEG_IP_NIMPC
Tax  LEG_TAX_IF  LEG_TAX_PHIC  LEG_TAX_NIMPC
Employment, worker
 LEG_EMPSWAS_IF  LEG_EMPSWAS_PHIC  LEG_EMPSWAS_NIMPC
safety or social affairs

3.18 During the three years 2016 to 2018, how important were the following factors in
hampering your enterprises’ decision to start innovation activities*, or its
execution of innovation activities* ? [HAMP]
Degree of importance
Not a
High Medium Low
constraint
3 2 1 0
Lack of internal finance for innovation     HAMP_LFIN_INT
Lack of credit or private equity     HAMP_LCRED_LEQUIT
Difficulties in obtaining public grants or    
HAMP_DIF_SUB
subsidies
Costs too high     HAMP_HCOST
Lack of skilled employees within your    
HAMP_LQLF_SAL
enterprise
Lack of collaboration partners     HAMP_LCOLL_PTN
Lack of access to external knowledge     HAMP_LACS_KNOW
Uncertain market demand for your ideas     HAMP_UNC_MKT_DM
Too much competition in your market     HAMP_HCOMP
Different priorities within your enterprise     HAMP_DPRIOR

* Any activity on new or improved products or processes, including ongoing or abandoned activities.

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4 Basic information on your enterprise
The variables collected as part of Section 4 should be extracted from the Business Register and other surveys within
FRIBS. Whenever possible, this information should be used, and consistency with the Business Register and other
surveys within FRIBS should be assured. Only if this is not possible, NSIs should collect this information as part of
the survey, and Member States have to assure that the concepts and terminology used is compliant to the one used
in the Business Register and/or defined in FRIBS.
4.1 What was the average number of persons employed* by your enterprise in 2016
and 2018 ?6 [EMP]
2016 2018

EMP16 EMP18
* Total number of persons (headcount) who work in the enterprise (inclusive of working proprietors, partners working regularly in the unit
and unpaid family workers), as well as persons who work outside the enterprise’s premises and are paid by it (e.g. sales representatives,
delivery personnel, repair and maintenance teams). It excludes manpower supplied to the enterprise by other enterprises, persons
carrying out repair and maintenance work in the enterprise on behalf of other enterprises, as well as those on compulsory military service.
4.2 Approximately what percentage of the persons employed in your enterprise in
2018 had a tertiary degree7 ? [EMPUD]
Tick only one
0%  EMPUD_PC0
1% to less than 5%  EMPUD_PC1T4
5% to less than 10%  EMPUD_PC5T9
10% to less than 25%  EMPUD_PC10T24
25% to less than 50%  EMPUD_PC25T49
50% to less than 75%  EMPUD_PC50T74
75% or more  EMPUD_PC_GE75

4.3 What was your enterprise’s total turnover8 in 2016 and 2018? [TUR]
2016 2018

TUR16 TUR18

4.4 Approximately, what was the percentage of turnover in 2018 from [TUR]
Customers located in your country ___ % TUR_NAT
Customers located in other EU* and EFTA** countries ___ % TUR_EU_EFTA
Customers located in countries not included above ___ % TUR_NEU_NEFTA
Total 100 %
* The Member States of the European Union (EU) are: Austria, Belgium, Bulgaria, Croatia, Cyprus, Czech Republic, Denmark, Estonia,
Finland, France, Germany, Greece, Hungary, Italy, Ireland, Latvia, Lithuania, Luxembourg, Malta, the Netherlands, Poland, Portugal,
Romania, Slovenia, Slovakia, Spain, Sweden, and the United Kingdom.
** Iceland, Liechtenstein, Norway, Switzerland.

4.5 Age of enterprise [ENTE]

The concepts used in this question will have to be compliant with the one used in the Business Register. Two
versions could be used for this question (see below). Version A1 is the preferred version. Version A2 would be
acceptable in cases where administrative data, e.g. form the Business Register, is not available.
When the age of the enterprise is obtained from business registers, the year of starting business activities should be
used instead of the year the legal entity was established.

4.5.A1 In which year was your enterprise established?

Ask for the calendar date. If not possible:
ENTE_TIME

6 Please provide an integer number.

7 ISCED 2011 levels 5 to 8. Level 5: Short-cycle tertiary education, Level 6; Bachelor or equivalent, Level 7: Master or equivalent, Level 8:
Doctoral or equivalent.
8 Turnover is defined as the market sales of goods and services (Include all taxes except VAT). For Credit institutions: Interests receivable and
similar income; for Insurance services give gross premiums written.
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4.5.A2 Was your enterprise established
Tick only one
In 2016 or later  ENTE_Y_GE2016
In 2014 or 2015  ENTE_Y2014T2015
Between 2010 and 2013  ENTE_Y2010T2013
In 2009 or before  ENTE_Y_LE2009

4.6 How much did your enterprise spend in 2018 on the following items? [EXP_TOT]
Total expenditure in 2018
Please tick, if
Please estimate if there were no
you lack precise such
accounting data expenditures in
2018
Acquisition of machinery, equipment,
___,___,___ €  none EXP_TOT_ACQ_MEBTA
buildings and other tangible assets
Marketing, brand building, advertising
(include in-house costs and purchased ___,___,___ €  none EXP_TOT_MKT
services)
Training own staff (include all in-house
costs including wages and salaries of staff
___,___,___ €  none EXP_TOT_TNG
while being trained, and costs of purchased
services from others)
Product design (include in-house costs
___,___,___ €  none EXP_TOT_PRD_DESG
and purchased services)
Software development, database work
and data analysis (include in-house costs ___,___,___ €  none EXP_TOT_SOFT_DBA
and purchased services)
Registering, filing and monitoring own
Intellectual Property Rights (IPRs) and ___,___,___ €  none EXP_TOT_IPR
purchasing or licensing IPRs from others

Notes for question 4.6 can be found as an annex to this questionnaire.

Answer questions 4.7 to 4.9 only if your enterprise is part of an enterprise group

4.7 In 2018, was your enterprise part of… [ENTGRP]

Yes No
1 0
(a) an enterprise group* with the head office9 located in [your   ENTGRP_HD_NAT
country]10
If yes: Are all of the enterprises of that group   ENTGRP_ENT_EG_NAT
located in your country
(b) an enterprise group* with the head office8 located abroad   ENTGRP_HD_FOR
If yes: Country in which head office is located ENTGRP_HD_LCT
.......................**
* 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.
** Insert country code according to ISO standard.

9 ‘Head office’ means the ‘Ultimate controlling institutional unit of a foreign affiliate’, i.e. the institutional unit, proceeding up a foreign affiliate’s
chain of control, which is not controlled by another institutional unit. Consistency with the Statistical Business Registers and Statistics on
Foreign Affiliates (FATS) should be assured where possible.
10 For validation purposes, note that the 1st category (a) and 3rd category (b) of this question are mutually exclusive.

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4.8 During the three years from 2016 to 2018, did your enterprise engage in any of the
following activities with one or more enterprises of your enterprise group
[INFL] and [OUTFL]
Yes, other enterprise Yes, other enterprise
No
in your country abroad
Inflows from other
Tick all that apply
enterprises in your group:
Receiving technical
 INFL_TKNOW_NAT  INFL_TKNOW_FOR  INFL_NTKNOW
knowledge*
Receiving financial
 INFL_FINRES_NAT  INFL_FINRES_FOR  INFL_NFINRES
resources
Receiving personnel  INFL_PER_NAT  INFL_PER_FOR  INFL_NPER

In-sourcing of
 INFL_SOURC_NAT  INFL_SOURC_FOR  INFL_NSOURC
business activities
Outflows to other enterprises
in your group:
Transferring technical
 OUTFL_TKNOW_NAT  OUTFL_TKNOW_FOR  OUTFL_NTKNOW
knowledge*
Transferring financial
 OUTFL_FINRES_NAT  OUTFL_FINRES_FOR  OUTFL_NFINRES
resources
Transferring personnel  OUTFL_PER_NAT  OUTFL_PER_FOR  OUTFL_NPER

Out-sourcing of
 OUTFL_SOURC_NAT  OUTFL_SOURC_FOR  OUTFL_NSOURC
business activities
* Technical knowledge includes all knowledge needed to solve technical problems in the production process; it excludes all general
knowledge not specifically needed to solve particular technical problems.
4.9 During the three years from 2016 to 2018, did your enterprise try to obtain funding
in the form of intra-group loans? If funding was obtained successfully, was this
funding used for R&D or other innovation activities? [FUND]
If your enterprise
obtained funding in
the form of intra-
Try to obtain intra-group loans group loans, was this
partly or fully used
for R&D or other
innovation activities?

Yes, successfully
Yes No
obtained some funding Tried, but not successful No
of this type 1 0

     FUND_IG_LOAN_R
NDINN
FUND_IG_LOAN_SUCC FUND_IG_LOAN_NSUCC FUND_NIG_LOAN

15
Part 2: Notes that can support Member States in implementing the expenditure
questions 3.10, 3.11 and 4.6.
The allocation of staff for each activity can be used as reference for providing expenditures.
Question 3.10 – 3.11
Research and Development (R&D)
R&D comprise creative and systematic work undertaken in order to increase the stock of knowledge – including knowledge of
humankind, culture and society – and to devise new applications of available knowledge.
Performed in-house: R&D undertaken by your enterprise to create new knowledge or solve scientific or technical problems.
Include current expenditures including labour costs and capital expenditures on buildings and equipment specifically for
R&D)
R&D contracted out: Your enterprise contracted-out R&D to other enterprises (include enterprises in your own group) or to
public or private research organisations.
Other innovation expenditure
All other activities related to the development of new or significantly improved products and processes.
Question 4.6
Machinery, Equipment and Buildings
Expenditures for purchasing physical capital goods (land and buildings, machinery and instruments, transport equipment and
other equipment) and current costs for lease of tangible assets.
Exclude leasing costs for other capital goods (not contributing to asset creation).
Marketing and Branding
Internal or external work intended to enhance reputation or brand values, either of the business as a whole or individual goods or
service lines, as well as to support the market placement of new goods and services. For example: market research, market tests,
development of marketing strategies and methods, product launches, promotional campaigns, ‘rebranding’ of business,
development of promotional materials, etc..
Include: (a) staff costs of all staff involved (b) associated costs, including office facilities, overheads and materials but not capital
items; (c) external costs of advertising and marketing campaigns to agencies, media organisations, trade fairs, suppliers of
marketing databases, etc.
Staff Training
Activities to training the skills and teaching of knowledge related to the specific activities of the firm, including on-the-job training
and job-related education at training and education institutions. For example, training on IT systems, new production equipment,
ISO accreditation, skills development, etc..
Include: (a) staff costs of trainers, including development and delivery of training; (b) travel and subsistence payments; (c)
associated costs, including providing facilities, overheads and materials but not capital items; (d) training provided by
external suppliers, whether provided on-site or elsewhere; (e) levy payments for training organisations.
Exclude: the cost of staff time whilst being trained and therefore absent from work and on-the-job training.
Product design
The design of goods or services to develop a new or modified form, appearance or function for goods or services. Design involves
a series of iterative steps to create functional products. Product design activities may also include involving potential users in the
design process, pilot testing, and post-implementation studies to identify or solve problems with a design.
Include: (a) staff costs of all staff involved, e.g. graphic designers, product designers, architects, design engineers, etc.; (b)
associated costs, including office facilities, overheads and materials used for these design activities but not capital goods.
Estimates based on proportions of staff time are acceptable.
Exclude (a) costs of design embedded in other items of current or capital expenditure (b) design of scientific prototypes (part of
R&D), design of software and other engineering activities (civil engineering, chemical engineering, mechanical engineering,
electrical engineering).
Software and databases
Purchase of external software and development of software in-house. For example, operating systems, general purpose office
applications (e.g. word processing), special purpose applications (e.g. financial accounting systems, databases, production control
systems), etc.
Include: (a) staff costs of all staff involved, excluding contractors; (b) associated costs, including office facilities, overheads and
materials used for but not capital items; (c) off-the-shelf software; software licenses and license renewals; generic and
bespoke software.
Exclude: (a) software embedded in other items of current or capital expenditure, e.g. software pre-installed on IT hardware; (b)
software development conducted as part of R&D.
Intellectual Property Rights (IPR)
Administrative and legal costs incurring to apply or register, document, manage, monitor, trade and enforce own intellectual
property rights (IPRs). And expenditures made to acquire others' intellectual property (patents, industrial designs, etc.)
through purchase or licensing.

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