CP II

5
UNESCO
SCIENCE
REPORT
2010
The Current Status of Science
around the World
UNESCO
Publishing
United Nations
Educational, Scientic and
Cultural Organization
USR cover [temp]:Layout 1 20/10/10 19:08 Page 5
|||SO
S||||
|||O|
2010
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page 1
Published in 2010 by the United Nations Educational, Scientific
and Cultural Organization, Paris, France
UNESCO 2010
All rights reserved
Second revised edition
ISBN: 978-92-3-104132-7
The designations employed and the presentation of material
throughout this publication do not imply the expression of any opinion
whatsoever on the part of UNESCO concerning the legal status of any
country, territory, city or area or of its authorities, or concerning the
delimitation of its frontiers or boundaries.
The authors are responsible for the choice and the presentation of the
facts contained in this book and for the opinions expressed therein,
which are not necessarily those of UNESCO and do not commit the
Organization.
UNESCO Publishing
Cover design by Pica Publishing, London, United Kingdom
Interior design and pre-press production
Baseline Arts Ltd, Oxford, United Kingdom
Printed by DB Print
Printed in Poland
Cover photos: top image: microscopic image of a corn grain tissue;
bottom image: microscopic image of the cross section of the root of a
buttercup (crowfoot) plant, Ranunculus repens. The propeller shaped
pattern in the centre is the vascular tissue for transporting water and
nutrients up and down the plant. The circles are the individual cells.
Oliver Sun Kim
A
l
l
p
h
o
t
o
s
:

P
h
o
t
o
d
i
s
c
/
G
e
t
t
y

I
m
a
g
e
s
USR Prelims [4] [Ed2]:Layout 1 10/2/11 16:58 Page ii
|||SO
S||||
|||O|
2010
The Current Status of Sclence
around the world
UNESCO
Publishing
United Nations
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page iii
iv
ACKNOWLEDGMENTS
The UNESCO Science Report 2010 has been produced by
the following team within the Division for Science Policy
and Sustainable Development at UNESCO:
Director of Publication: Lidia Brito, Director
Editor: Susan Schneegans
Administrative Assistant: Sarah Colautti
Every five years, the UNESCO Science Report series updates
the status of science worldwide. Each edition is heavily
reliant on the expertise of the authors invited to write
about the main trends and developments in scientific
research, innovation and higher education in the country
or region from which they hail. We would thus like to take
this opportunity to thank each of the 35 authors for their
commitment to making this an authoritative report.
The picture they have painted in the following pages is of
a world that is changing at a quickening pace. A greater
number of chapters on individual countries have been
included in the present report than in its predecessor to
reflect the widening circle of countries emerging on the
world scene. No doubt the UNESCO Science Report 2015,
the next in the series, will have pursued its own mutation
by 2015 to reflect the world it seeks to depict.
We would like to thank the following staff from the
UNESCO Institute for Statistics for contributing a vast
amount of data to the report: Simon Ellis, Ernesto
Fernndez Polcuch, Martin Schaaper, Rohan Pathirage,
Zahia Salmi, Sirina Kerim-Dikeni and the Education
Indicators Team.
A
l
l
p
h
o
t
o
s
:

P
h
o
t
o
d
i
s
c
/
G
e
t
t
y

I
m
a
g
e
s
USR Prelims [4] [Ed2]:Layout 1 10/2/11 16:59 Page iv
v
O|||S |A|
Llst of lllustratlons vll
Poreword xvll
Chapter l The growlng role of knowledge ln the global economy l
|Jc |c||.rJo.s .rJ |Jc Scoto
Chapter 2 Unlted States of Amerlca 29
|cn.s |.tc||c.J .rJ \||||.n A. b|.rp|oJ
Chapter 3 Canada 6l
|.J| |J|cJ.
Chapter 4 Latln Amerlca 77
V..|c A|bc.rc., V..|.rc V.tcs V.coJc .rJ |.JJ|c A||....
Chapter 5 8razll l03
..|cs |or.|,Jo Jo b.|tc .J. .rJ |o.r.r |.|ncv|c|
Chapter 6 Cuba l23
|sn.o| |..k A.xo.
Chapter 7 The CAP|COM countrles l33
|..c|J |.nk|ssccr .rJ |s|orkJnb. |.|..
Chapter 8 Luropean Unlon l47
|oto. |rJon.rs
Chapter 9 Southeast Lurope l83
S|.vc |.Jcsov|c
Chapterl0 Turkey 20l
S|.|r |||
Chapter ll Pusslan Pederatlon 2l5
|ocr|J ck|bo. .rJ .t|.r. |J.rotscv.
Chapter l2 Central Asla 235
As||..| VJk|.nn.J|ov
Chapter l3 Arab States 25l
AJr.r b.J..r .rJ Vcroo| |. cJb|
hapter l4 Sub-Saharan Afrlca 279
|ov|r |..n., ||c|c|.s O.c., OJsn.ro |.ro .rJ Vc|.noJ |.ss.r
Chapter l5 South Asla 323
.rvoo. |.|n
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page v
|||SO S|||| |||O| 2010
O|||S |A|
Chapter l6 |ran 349
||ccn..s As|t..|.r
Chapter l7 |ndla 363
SJr|| V.r|
Chapter l8 Chlna 379
VJ |crp|r
Chapter l9 1apan 40l
+.sJs|| S.tc
Chapter 20 Pepubllc of Korea 4l5
'.r'.o |oo
Chapter 2l Southeast Asla and Oceanla 437
|n J.p|r, ||c|..J \cc||oy, |.t...pcr |rt...kJnro.J
.rJ \.s.rt|. An...J.s.
Annexes 465
Annex | Composltlon of reglons and sub-reglons 466
Annex || Mlllennlum Development Goals 47l
Statistical Annex 473
Table l GLPD as a percentage of GDP, 2000-2008 474
Table 2 GLPD ln purchaslng power parlty dollars, 2002 and 2007 478
Table 3 GLPD by performlng sector and source of funds, 2002 and 2007 (%) 482
Table 4 Total researchers and per mllllon lnhabltants, 2002 and 2007 490
Table 5 Sclentlc publlcatlons by country, 2000-2008 498
Table 6 Publlcatlons by ma[or eld of sclence, 2002 and 2008 502
Table 7 Sclentlc publlcatlons ln lnternatlonal collaboratlon, 2002-2008 5l0
Table 8 |nternatlonal trade ln hlgh-tech products, 2002 and 2007 5l4
vl
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page vi
|||SO S|||| |||O| 2010
vll
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
||S O| ||||S|A|O|S
|A|
Chapter 1 The growing role of knowledge in the global economy 1
Table 1: Key lndlcators on world GDP, populatlon and GLPD, 2002 and 2007 2
Table 2: Key lndlcators on world researchers 2002 and 2007 8
Table 3: world shares of sclentlflc publlcatlons, 2002 and 2008 l0
Table 4: USPTO and Trladlc patent famllles by lnventor's reglon, 2002 and 2007 l3
Table 5: |nternet users per l00 populatlon, 2002 and 2008 l4
Figure 1: world share of GDP and GLPD for the G20, 2002 and 2007 (%) 4
Figure 2: Global lnvestment ln P&D ln absolute and relatlve terms, 2007 6
Figure 3: 8LPD/GDP ratlo for selected countrles, 2000-2007 (%) 7
Figure 4: Sclentlflc speclallzatlon of the Trlad, 8P|C countrles and Afrlca, 2008 9
Figure 5: The systemlc matchlng between key S&T lndlcators l5
Figure 6: |ndustrlal productlon ln the 8P|C countrles, USA and Luro zone, 2006-20l0 l6
Chapter 2 United States of America 29
Table 1: Pederal P&D ln the USA by ma[or soclo-economlc ob[ectlve, 2007-2009 36
Table 2: 8aslc research budget for the prlmary US federal agencles, 2003 and 2008 37
Table 3: Pundlng of lndustrlal P&D ln the USA by ma[or lndustry, 2003, 2005 and 2007 40
Table 4: Top P&D spendlng corporatlons, 2003 and 2004 42
Figure 1: GLPD ln the USA by type of research and source of funds, 2007 (%) 33
Figure 2: GLPD ln the USA by source of funds, l990-2007 34
Figure 3: Trends ln GLPD ln the G8 countrles, l990-2006 35
Figure 4: Trade balance for hlgh-tech goods ln the USA, l995-2008 40
Figure 5: Peglonal shares of P&D performed abroad by forelgn afflllates
of US multlnatlonals, l994-2004 (%) 43
Figure 6: US trade recelpts and payments for lntellectual property, l989-2005 44
Figure 7: 8aslc research ln the USA by performlng sector and source of funds, 2007 (%) 46
Figure 8: Unlverslty P&D ln the USA by type of research and source of funds, 2006 (%) 47
Figure 9: Share of doctorates awarded to female US cltlzens, l985, l995 and 2005 (%) 49
Figure 10: Doctorates awarded to US cltlzens ln sclence and englneerlng,
by ethnlc mlnorlty, l985-2005 49
Figure 11: 8achelor's degrees earned ln selected S&T flelds, l985-2005 5l
Figure 12: Doctoral degrees earned ln the USA ln selected S&T flelds, l985-2005 52
Box 1: 8reakthroughs of the year 3l
Box 2: 8aslc research: a cornerstone of US sclence pollcy for 65 years 46
Box 3: Growlng concern about confllct of lnterest ln sclentlflc [ournals 48
Chapter 3 Canada 61
Table 1: Trends ln GLPD ln Canada, l999-2008 63
Table 2: Trends ln sclentlflc publlcatlons ln lnternatlonal collaboratlon for
G8 countrles, 2002 and 2008 63
Figure 1: Annual growth ln GLPD and GDP ln Canada, l967-2007 (%) 6l
Figure 2: GLPD/GDP ratlo for the G8 countrles, 2008 62
Figure 3: Publlcatlons ln Canada by ma[or fleld of sclence, 2002 and 2008 64
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page vii
|||SO S|||| |||O| 2010
vlll
||S O| ||||S|A|O|S |A|
Figure 4: Sclentlflc publlcatlons ln the G8 countrles and Chlna, 2000 and 2008 65
Figure 5: GLPD ln Canada by performlng sector and source of funds, 2002 and 2007 (%) 66
Figure 6: GLPD ln Canada by source of funds, 2002 and 2007 67
Figure 7: Lnrollment ln sclentlflc dlsclpllnes ln Canada, 2002/2003 and 2006/2007 69
Figure 8: S&T labour force ln Canada, 2006 70
Chapter 4 Latin America 77
Figure 1: Dlstrlbutlon of GDP ln Latln Amerlca, 2007 78
Figure 2: Sectors benefltlng from PONCT's Programme ln Strateglc Areas, 2008 80
Figure 3: GLPD ln Latln Amerlca, l997-2007 82
Figure 4: GLPD/GDP ratlo ln Latln Amerlca, 2007 (%) 82
Figure 5: Dlstrlbutlon of GLPD among Latln Amerlcan countrles, 2007 83
Figure 6: Share of GLPD funded by the buslness sector ln Latln Amerlca, 2007 83
Figure 7: Pesearchers ln Latln Amerlca, 2000-2007 84
Figure 8: Dlstrlbutlon of sclentlsts and englneers ln Latln Amerlca, 2000 and 2007 85
Figure 9: PhDs awarded ln Latln Amerlca, 2007 86
Figure 10: Sclentlflc publlcatlons ln Latln Amerlca, l996-2007 88
Figure 11: Latln Amerlca's presence ln varlous blbllographlc databases, l997 and 2007 89
Figure 12: Lvolutlon ln patent appllcatlons ln Latln Amerlca, l997-2007 89
Figure 13: Patent appllcatlons ln Latln Amerlca by resldents and non-resldents, 2007 90
Figure 14: Patents held by Latln Amerlcans ln lnternatlonal databases, 2000-2007 9l
Box 1: Promotlng lnnovatlon ln Argentlna 80
Box 2: Publlc perceptlon of sclence 8l
Box 3: P&D technology buslness consortla ln Chlle 92
Box 4: Aeronautlcs ln 8razll: the case of LM8PALP 94
Box 5: Argentlna's technologlcal showcase: the case of |NvAP 95
Box 6: |CTs ln Costa Plca 96
Chapter 5 Brazil 103
Table 1: GLPD ln 8razll by source of funds, 2008 l05
Table 2: 8razlllan state lndustrles targeted by sectoral funds, l999-2002 l07
Table 3: P&D tax laws and subsldles for buslness P&D ln 8razll, l99l-2005 l09
Table 4: Sclentlflc artlcles publlshed by 8razll's maln research unlversltles, 2000-2009 ll4
Figure 1: Trends ln GLPD ln 8razll, 2000-2008 l04
Figure 2: Government expendlture on P&D by soclo-economlc ob[ectlve, 2000 and 2008 (%) l05
Figure 3: GLPD/GDP ratlo ln 8razll, 2008 (%) l06
Figure 4: Lvolutlon ln 8razlllan Natlonal Pund for Sclentlflc and
Technologlcal Development (PNDCT), l994-2009 l07
Figure 5: The 8razlllan State of Sao Paulo's contrlbutlon to GLPD, 2007 l08
Figure 6: Pesearchers ln 8razll, 2008 lll
Figure 7: Pesearchers ln 8razll by performlng sector, 2008 (%) lll
Figure 8: Sclentlc artlcles wrltten by authors amllated to 8razlllan lnstltutlons, l992-2008 ll2
Figure 9: Sclentlflc artlcles publlshed ln 8razlllan [ournals, 2000 and 2008 ll4
Figure 10: USPTO patents awarded to 8razlllan lnventors, 2000-2009 ll5
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page viii
|||SO S|||| |||O| 2010
lx
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
||S O| ||||S|A|O|S |A|
Box 1: Procurement pollcles to develop essentlal vacclnes ll0
Box 2: Mapplng blodlverslty ln Sao Paulo ll3
Box 3: 8loenergy P&D ln 8razll ll6
Box 4: Chlna and 8razll developlng space technology together ll8
Chapter 6 Cuba 123
Table 1: Cuba's top 20 S&T research lnstltutlons l24
Table 2: Cuba's Natlonal Pesearch Programmes, 2009 l27
Figure 1: Growth ln Cuba's GDP and per-caplta GDP, 2003-2007 (%) l23
Figure 2: Cuban expendlture on S&T and P&D, 200l-2007 (%) l25
Figure 3: GLPD ln Cuba by source of funds, 200l-2007 l26
Figure 4: GLPD ln Cuba by source of funds, 200l and 2008 (%) l26
Figure 5: Cuban vlslblllty ln lnternatlonal sclentlflc publlcatlons, 200l-2007 l28
Figure 6: Publlcatlons ln Cuba by ma[or fleld of sclence, 2000-2008 l29
Chapter 7 The CARICOM countries 133
Table 1: Key soclo-economlc lndlcators for the CAP|COM countrles, 2008 l34
Figure1: Undergraduate enrollment at the three campuses of the
Unlverslty of the west |ndles, 200l-2006 l34
Figure 2: |nternet users per l00 populatlon ln the Carlbbean, 2002 and 2008 l36
Figure 3: Artlcles publlshed ln the baslc sclences ln the CAP|COM countrles, 200l-2007 l39
Figure 4: Sclentlflc publlcatlons ln the CAP|COM countrles by broad dlsclpllne, 200l-2007 (%) l39
Figure 5: Cumulatlve number of sclentlflc publlcatlons ln the CAP|COM countrles, 200l-2007 l40
Figure 6: Sclentlflc publlcatlons by unlverslty ln the CAP|COM countrles, 200l-2007 (%) l40
Figure 7: Patent appllcatlons ln 1amalca and Trlnldad and Tobago, 2000-2007 l4l
Box 1: A centre of excellence to safeguard food securlty ln 1amalca l35
Box 2: Carlsclence l38
Box 3: The Mokhele Peport l42
Chapter 8 European Union 147
Table 1: Populatlon and GDP ln the LU, 2008 l47
Table 2: Comparlson between key US and Luropean research unlversltles, 2006 l5l
Table 3: Development contracts for Aarhus Unlverslty ln Denmark, 2006 and 20l0 l54
Table 4: |nternatlonal research organlzatlons ln Lurope l57
Table 5: LUPLKA pro[ects, 20l0 l60
Table 6: Structure and budget of LU's 7th Pramework Programme for Pesearch, 2007-20l3 l62
Table 7: GLPD ln the LU-27, 2004 and 2007 (%) l66
Table 8: LU publlcatlons by ma[or fleld of sclence, 2002 and 2008 l68
Table 9: LU government expendlture on P&D by soclo-economlc ob[ectlve, 2005 l70
Table 10: Growth ln P&D expendlture and PhDs ln the l2 newest LU member states,
2003-2007 (%) l72
Table 11: Publlc-prlvate co-publlcatlons ln the l2 most recent LU countrles, 2007 l73
Table 12: Trends ln GLPD for the Trlad and Chlna, 2003 and 2007 l78
Table 13: S&T personnel ln the Trlad and Chlna, 2007 l79
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page ix
|||SO S|||| |||O| 2010
x
||S O| ||||S|A|O|S |A|
Table 14: Publlcatlons ln the Trlad by ma[or fleld of sclence, 2008 l79
Figure 1: Number of top Luropean and US unlversltles l5l
Figure 2: Startlng grants from Luropean Pesearch Councll per mllllon lnhabltants, 2007 l63
Figure 3: Share of women among Luropean researchers, 2006 or latest avallable year (%) l64
Figure 4: GLPD ln the LU by source of funds and performlng sector,
2007 or latest avallable year (%) l65
Figure 5: Summary |nnovatlon |ndex for LU-27, 2007 or latest avallable year l67
Figure 6: Performance of LU-27 countrles for seven components of lnnovatlon, 2007 l67
Figure 7: Peglonal |nnovatlon |ndex for reglons wlthln LU-27 member states,
2005 or latest avallable year l74
Figure 8: Professlons trusted by the Luropean publlc to explaln the lmpact
of S&T on soclety, 2005 (%) l76
Figure 9: Trlad patent famllles, 2003 and 2007 l78
Figure 10: The LU |nnovatlon gap wlth the USA and 1apan, 2004-2008 (%) l80
Box 1: The 8ologna Process l50
Box 2: The |nternatlonal Thermonuclear Lxperlmental Peactor l58
Chapter 9 Southeast Europe 183
Table 1: Key soclo-economlc lndlcators for Southeast Luropean economles, 2008 l84
Table 2: P&D output ln Southeast Lurope, 2006 l90
Table 3: Sclentlflc publlcatlons ln Southeast Lurope, 2002 and 2008 l9l
Figure 1: Drlvers of growth: ranklng of Southeast Luropean economles, 20l0 l85
Figure 2: GLPD/GDP ratlo ln Southeast Lurope, 2000-2008 (%) l86
Figure 3: GLPD per caplta ln Southeast Lurope, 2007 l86
Figure 4: GLPD ln Southeast Lurope by perfomlng sector, 2008 (%) l87
Figure 5: GLPD ln Southeast Lurope by source of funds, 2008 (%) l87
Figure 6: Growth ln numbers of tertlary graduates ln Southeast Lurope, 2002-2008 (%) l88
Figure 7: Growth ln researchers (PTL) ln Southeast Lurope, 2002 and 2008 (%) l89
Figure 8: Pesearchers (PTL) ln Southeast Lurope by sector of employment, 2008 (%) l89
Figure 9: Sclentlflc papers per mllllon populatlon ln Southeast Lurope, 2008 l9l
Figure 10: Publlcatlons ln Southeast Lurope by ma[or fleld of sclence, 2008 (%) l92
Figure 11: |nternet users per l00 populatlon ln Southeast Lurope, 200l and 2008 l93
Box 1: The Llsbon Strategy's eluslve 3% target l94
Box 2: The venlce Process l96
Box 3: Measurlng lmplementatlon of the 5c|ence AenJo l97
Chapter10 Turkey 201
Figure 1: Lconomlc performance of key lndustrles ln Turkey, 2002-2007 20l
Figure 2: GLPD/GDP ratlo ln Turkey, 2002-2007 (%) 202
Figure 3: P&D personnel ln Turkey, 2003 and 2007 203
Figure 4: GLPD ln Turkey, 2002-2007 203
Figure 5: Government expendlture on P&D ln Turkey by
soclo-economlc ob[ectlve, 2003-2007 (%) 204
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page x
|||SO S|||| |||O| 2010
xl
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
||S O| ||||S|A|O|S |A|
Figure 6: GLPD ln Turkey by source of funds, 2002 and 2007 (%) 205
Figure 7: Sclentlflc publlcatlons ln Turkey, 2002-2007 207
Figure 8: Sclentlflc publlcatlons ln Turkey by
ma[or fleld of sclence, 2000-2008 207
Figure 9: Patent appllcatlons ln Turkey, 2002-2007 208
Figure 10: The Turklsh ST| system 2l0
Box 1: The Tale of a Turklsh PhD Peturnee 206
Box 2: Learnlng about lnnovatlon ln Turkey's schools 209
Box 3: The Aegean |nnovatlon Pelay Centre 2ll
Chapter 11 Russian Federation 215
Table 1: Ma[or soclo- economlc lndlcators ln Pussla, 2005-2009 2l5
Table 2: Lvolutlon of prlorlty areas for P&D ln Pussla, l996, 2002 and 2006 225
Figure 1: GLPD ln Pussla, l990-2008 2l7
Figure 2: Government expendlture on P&D ln Pussla by soclo-economlc
ob[ectlve, 2004 and 2008 (%) 2l8
Figure 3: Hlgher educatlon system ln Pussla for sclentlflc dlsclpllnes, 2009 220
Figure 4: Stafflng levels at Pusslan publlc unlversltles, l996-2008 22l
Figure 5: P&D unlts ln Pussla by type and breakdown of personnel, 2008 (%) 223
Figure 6: Panklng of |CT areas by lmportance for Pussla, 2008 (%) 225
Figure 7: Level of Pusslan P&D ln nanosystems and materlals, 2008 (%) 226
Box 1: Pussla's lnadequate facllltles for research 2l6
Box 2: Hlgher educatlon popular ln Pussla 2l9
Box 3: Modernlzlng Pussla's Academles of Sclence 227
Chapter 12 Central Asia 235
Table 1: Soclo-economlc lndlcators for Central Asla, 2002 and 2008 or
most recent year avallable 236
Table 2: |nvestment trends ln Central Asla, 2002 and 2008 237
Table 3: P&D lnstltutlons ln Central Asla, 2009 237
Table 4: P&D personnel ln Central Asla, 2009 or most recent year avallable 238
Table 5: Age pyramld for Central Aslan researchers,
2009 or most recent year avallable 238
Figure 1: Composltlon of GDP ln Central Asla by economlc sector, 2009 (%) 235
Figure 2: GLPD by source of funds ln Central Asla,
2009 or most recent year avallable (%) 238
Figure 3: Dlstrlbutlon of research lnstltutlons ln Central Asla, 2009 or
most recent year avallable (%) 238
Figure 4: |nternet users per l00 populatlon ln Central Asla, 2000-2008 24l
Figure 5: P&D ln Central Asla by type of research, 2007 (%) 243
Box 1: The 8lg Solar Purnace 246
Box 2: A blue dye to the rescue of the Aral Sea 8asln 248
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page xi
|||SO S|||| |||O| 2010
xll
||S O| ||||S|A|O|S |A|
Chapter 13 Arab States 251
Table 1: Government bodles responslble for P&D pollcles and
co-ordlnatlon ln the Arab world, 2006 258
Table 2: Arab countrles hostlng a natlonal or supranatlonal academy of sclence, 2009 258
Table 3: |nternet penetratlon ln the Arab reglon, 2002 and 2009 269
Table 4: Arab unlversltles ln top 50 for |slamlc countrles 270
Table 5: Publlc expendlture on educatlon ln the Arab world, 2002 and 2008 27l
Table 6: Tertlary student enrollment ln the Arab reglon, 2002 and 2008 272
Table 7: Postgraduate students at Arab unlversltles, 2006 273
Figure 1: Populatlon growth ln the Arab reglon, 2002-2008 252
Figure 2: GDP per caplta ln the Arab reglon, 2002 and 2008 254
Figure 3: Mllltary expendlture ln selected Arab countrles, 2002 and 2008 255
Figure 4: GLPD/GDP ratlo for Arab countrles, 2007 or latest year avallable (%) 259
Figure 5: Pesearchers per mllllon populatlon ln the Arab world, 2007 26l
Figure 6: Sclentlflc publlcatlons per mllllon populatlon ln the Arab world, 2002 and 2008 265
Figure 7: Sclentlflc artlcles publlshed ln the Arab world, 2000 and 2008 266
Figure 8: Sclentlflc co-publlcatlons ln the Arab world, 2000 and 2008 267
Figure 9: USPTO patents granted to resldents of Arab countrles, 2003 and 2008 267
Figure 10: Share of Arab hlgh-tech exports ln total manufactured
exports, 2002 and 2007 (%) 268
Figure 11: Knowledge Lconomy |ndex for selected Arab countrles, 2008 269
Box 1: The |slamlc world Academy of Sclences 259
Box 2: The Mohammed bln Pashld Al Maktoum Poundatlon 260
Box 3: The Mlddle Last Sclence Pund 26l
Box 4: The |nternatlonal Centre for 8losallne Agrlculture 262
Box 5: The Peglonal Centre for Penewable Lnergy and Lnergy Lfflclency 263
Box 6: The SLSAML Story 264
Box 7: The 8lbllotheca Alexandrlna 269
Box 8: Lducatlon Clty, Qatar 273
Box 9: The Masdar |nstltute of Sclence and Technology 273
Box 10: Klng Abdullah Unlverslty of Sclence and Technology 274
Chapter 14 Sub-Saharan Africa 279
Table 1: |nvestment ln sub-Saharan Afrlca, 2008 or most recent year avallable 280
Table 2: Lducatlon ln sub-Saharan Afrlca, 2008 283
Table 3: Pesearchers ln sub-Saharan Afrlca, 2007 or most recent year avallable 284
Table 4: Patents awarded to Afrlcan lnventors by USPTO, 2005-2009 289
Figure 1: Poverty levels ln sub-Saharan Afrlca, l990, l999 and 2005 (%) 279
Figure 2: Sclentlflc publlcatlons ln sub-Saharan Afrlca, 2000-2008 286
Figure 3: Publlcatlons ln Sub-Saharan Afrlca by ma[or fleld of sclence, 2008 (%) 288
Figure 4: |nternet access per l00 populatlon ln sub-Saharan Afrlca, 2002 and 2007 293
Figure 5: Composltlon of GDP ln sub-Saharan Afrlca by economlc sector, 2009 (%) 304
Figure 6: 8reakdown of government expendlture on P&D ln South Afrlca by
fleld of research, 2006 (%) 3l4
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page xii
|||SO S|||| |||O| 2010
xlll
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
||S O| ||||S|A|O|S |A|
Box 1: South-South co-operatlon on blofuels: the case of Sudan 290
Box 2: Songhal: an agrlcultural centre of excellence 29l
Box 3: Sclence, |CTS and space, an LU-Afrlca partnershlp 292
Box 4: The Network of Afrlcan Sclence Academles 294
Box 5: The Afrlcan Sclence Academy Development |nltlatlve 298
Box 6: Knowledge Management Afrlca 298
Box 7: Technology transfer ln Cameroon 30l
Box 8: Afrlca lnvests ln blotech 308
Box 9: Afrlcan |nstltutes of Sclence and Technology 3l0
Box 10: The largest telescope ln the Southern Hemlsphere 3l5
Chapter 15 South Asia 323
Table 1: Soclo-economlc lndlcators for South Asla, 2000 and 2008 324
Table 2: Gross enrollment ratlo ln South Asla for secondary
and tertlary educatlon, 2007 (%) 327
Table 3: Prlorltles for publlc spendlng ln South Asla, l990 and 2008 327
Table 4: Pesearchers and S&T enrollment ln South Asla, 2007 328
Table 5: Sclentlflc publlcatlons ln South Asla, 2000-2008 329
Table 6: Patent appllcatlons ln South Asla, 2008 or most recent year 330
Table 7: |nward PD| Performance |ndex of South Asla, 2005-2007 333
Table 8: South Asla's lnnovatlon capaclty and competltlveness, l995 and 2009 344
Figure 1: Composltlon of GDP ln South Asla by economlc sector, 2009 324
Figure 2: GLPD/GDP ratlo ln South Asla, 2000-2007 (%) 325
Figure 3: Sclentlflc collaboratlon lnvolvlng South Aslan authors, 2007 (%) 330
Figure 4: |nternet users per l00 populatlon ln South Asla, 2003 and 2009 332
Figure 5: Poyaltles and llcense fees ln Asla, 2007 332
Figure 6: Total outlay for Tenth Development Plan ln Nepal, 2002-2007 (%) 338
Figure 7: Dlstrlbutlon of pro[ect cost for hlgher educatlon reform ln Paklstan, 2007-2008 (%) 34l
Box 1: Soclal research and the Paklstan Atomlc Lnergy Commlsslon 326
Box 2: The story of CASL and CAPL 33l
Box 3: Two examples of e-networks for educatlon and research 333
Box 4: The Clty Cluster Lconomlc Development |nltlatlve 336
Box 5: The Nepal Development Pesearch |nstltute 339
Box 6: Paklstan's research collaboratlon wlth Chlna and the USA 342
Box 7: |nltlatlves to promote lndustry ln Slalkot 342
Box 8: The Srl Lanka |nstltute of Nanotechnology 344
Chapter 16 Iran 349
Table 1: Soclo-economlc lndlcators for |ran, 2000-2007 350
Table 2: Soclo-economlc lndlcators for |ran and other
South west Aslan countrles, 2000 and 2007 35l
Figure 1: Share of oll revenue ln |ran's budget, 2000-2009 (%) 352
Figure 2: Share of economlc sectors ln |ranlan GDP, 200l-2007 (%) 352
Figure 3: Publlc expendlture on educatlon and GLPD ln |ran, l999 and 2007 (%) 354
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page xiii
|||SO S|||| |||O| 2010
xlv
||S O| ||||S|A|O|S |A|
Figure 4: GLPD by source of funds ln |ran, 200l and 2006 (%) 354
Figure 5: Pemale unlverslty students ln |ran, 2000 and 2007 (%) 355
Figure 6: Trends ln unlverslty enrollment ln |ran, 2000-2007 355
Figure 7: Artlcles publlshed ln lnternatlonal [ournals by |ranlan sclentlsts, l997-2008 356
Figure 8: Share of sclentlflc dlsclpllnes ln |ranlan publlshlng, l993-2008 356
Figure 9: |nternatlonal sclentlflc co-authorshlp ln |ran, l996-2008 357
Figure 10: |ranlan attltudes toward towards success ln llfe, l975 and 2005 360
Box 1: 8lolarvlcldes and beauty products from blotechnology research 357
Box 2: Developlng hlgh-tech lndustrles vla |DPO 358
Box 3: The |ranlan Plsherles Pesearch Organlzatlon 359
Chapter 17 India 363
Table 1: Share of knowledge-lntenslve productlon ln |ndla's GDP, 2005-2009 364
Table 2: Trends ln GLPD ln |ndla, l992-2008 37l
Table 3: |ndla's sclentlflc publlcatlon record, l999-2008 375
Figure 1: Hlgh-tech content of |ndla's manufactured exports, l988-2008 (%) 365
Figure 2: Average P&D expendlture per flrm ln |ndla's pharmaceutlcal lndustry, l992-2008 369
Figure 3: Dlstrlbutlon of GLPD ln |ndla by type of research, 2003 and 2006 (%) 37l
Figure 4: Government outlay for the ma[or sclence agencles ln |ndla, 2006 (%) 37l
Figure 5: Dlstrlbutlon of GLPD ln |ndla by lndustrlal sector, 2000-2006 372
Figure 6: Stock of sclentlsts and englneers engaged ln P&D ln |ndla, 2005 374
Figure 7: Total sclentlflc publlcatlons ln |ndla, 2002 and 2008 374
Figure 8: Pocus of |ndlan publlcatlons by ma[or fleld of sclence, 2002 and 2008 (%) 375
Figure 9: Trends ln the number of patents granted to |ndlan lnventors ln the USA, l99l-2008 376
Box 1: A space odyssey 367
Box 2: The lncredlble feat of |ndlan pharma 368
Chapter 18 China 379
Table 1: GLPD ln Chlna by performlng sector, 2000-2008 390
Table 2: Pesearchers ln Chlna, 2000-2008 390
Table 3: Cltatlon rate for Chlnese sclentlflc papers, l998-2008 39l
Table 4: Chlna's global share of publlcatlons by ma[or fleld of sclence, l999-2008 39l
Table 5: Domestlc lnventlon patent grants and PCT patent flllngs ln Chlna, 2007 392
Figure 1: Prlorltles of Chlna's Natlonal Programme for Hlgh-tech P&D, 2008 (%) 387
Figure 2: Prlorltles of Chlna's Natlonal Programme for Key Technology P&D, 2008 (%) 388
Figure 3: Prlorltles of Chlna's Natlonal Programme for Key 8aslc P&D, 2008 (%) 388
Figure 4: GLPD/GDP ratlo ln Chlna, 2000-2008 (%) 389
Figure 5: GLPD ln Chlna by type of research, 2000-2008 390
Figure 6: Growth ln Chlnese domestlc resldent lnventlon patents, 2000-2008 392
Figure 7: |ntramural expendlture on P&D of Chlna's hlgh-tech lndustrles, 2003-2008 393
Figure 8: P&D personnel ln Chlna's hlgh-tech lndustrles, 2003-2008 394
Figure 9: Domestlc patent appllcatlons by Chlnese hlgh-tech lndustrles, 2003-2008394
Figure 10: Share of hlgh-tech exports ln manufactured exports ln Chlna, 2000-2008 395
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page xiv
UNESCO SCIENCE REPORT 2010
xv
U
N
E
S
C
O

S
c
i
e
n
c
e

R
e
p
o
r
t

2
0
1
0
LIST OF ILLUSTRATIONS PAGE
Figure 11: Travel by Chinese and foreign scientists by type of project, 20012008 396
Figure 12: Chinas leading research partners, 19992008 397
Box 1: Accelerating development and use of renewable energies 380
Box 2: The worlds first photonic telephone network 381
Box 3: Chinas supercomputers 381
Box 4: The Shanghai Synchrotron Radiation Facility 382
Box 5: Milestones on the road to a national innovation system 384
Box 6: Chinas role in an international clean energy project 397
Chapter 19 Japan 401
Table 1: Socio-economic indicators for Japan, 2003 and 2008 402
Table 2: Collaboration between universities and industry in Japan, 2002 and 2007 404
Table 3: International exchange of Japanese and foreign-born researchers, 2001 and 2006 408
Table 4: Japans world share of scientific publications, 2007 (%) 409
Table 5: Japanese patent applications and grants in Japan, USA, Europe and China,
in thousands, 2002 and 2007 410
Figure 1: GERD and government R&D expenditure in Japan, 2002 and 2007 405
Figure 2: GERD in Japan by performing sector and source of funds, 2002 and 2007 (%) 405
Figure 3: Government spending on R&D by major field of science, 2002 and 2007 (%) 406
Figure 4: Numbers of researchers in Japan, 2003 and 2008 406
Figure 5: Trends in enrollment and graduation in higher education in Japan, 19992008 407
Figure 6: Single authorship and co-authorship in Japan and the world, 2002 and 2007 (%) 409
Figure 7: Share of other countries in Japans internationally co-authored scientific
publications, in thousands 2002 and 2007 (%) 410
Figure 8: Patent activity of Japanese universities, 2002 and 2007 411
Chapter 20 Republic of Korea 415
Table 1: R&D indicators for the Republic of Korea, 2001 and 2007, and targets for 2012 416
Table 2: Trends in GERD in the Republic of Korea, 20032008 420
Table 3: Key achievements of Korean policy for S&T human resources, 20022008 423
Table 4: R&D expenditure and industrial sales in the Republic of Korea, 2007 and 2008 428
Figure 1: GERD in the Republic of Korea by socio-economic objective, 2008 419
Figure 2: Trends in R&D investment in the Republic of Korea, 19942008 421
Figure 3: International comparison of R&D intensity in the Republic of Korea, 2008 421
Figure 4: Level of interest in S&T among Koreans 2006 (%) 426
Figure 5: GERD in the Republic of Korea by type of research, 19942008 427
Figure 6: R&D budget of Korean small and medium-sized venture enterprises, 20032006 427
Figure 7: Number of FTE researchers in the Republic of Korea, 2008 429
Figure 8: Trends in patent registrations for the Republic of Korea, 19942007 429
Figure 9: Triadic patent family registrations and patent productivity in the
Republic of Korea, 19932005 430
Figure 10: Volume of Korean technology trade and revenue and expenditure ratio, 19932007 430
Figure 11: Korean scientific articles, 19932008 431
Figure 12: Korean publications by major field of science, 2003 and 2007 (%) 431
USR Prelims [1] [Ed2]:Layout 1 26/1/11 19:02 Page xv
|||SO S|||| |||O| 2010
xvl
||S O| ||||S|A|O|S |A|
Figure 13: volume of Korean publlcatlons by ma[or fleld of sclence, 2008 432
Figure 14: Changes ln the Pepubllc of Korea's competltlveness ranklng ln S&T, l994-2009 432
Box 1: Preparlng for the future wlth lnnovatlon 422
Box 2: 8raln Korea 2l 423
Box 3: The Global Pesearch Laboratory 425
Chapter 21 Southeast Asia and Oceania 437
Table 1: Soclo-economlc and P&D lnput lndlcators for Southeast Asla and Oceanla,
2009 or most recent year avallable 438
Table 2: Knowledge Lconomy |ndex and Knowledge |ndex for
Southeast Asla and Oceanla, 2009 439
Table 3: Lngllsh-language sclentlflc artlcles by authors from Southeast Asla
and Oceanla, l998-2008 44l
Table 4: Lngllsh-language sclentlflc artlcles by authors from Paclflc lslands, l998-2008 442
Table 5: Top three countrles for lnternatlonal co-authorshlp wlth Southeast
Asla and Oceanla, l998-2008 443
Table 6: Sclentlflc papers and cltatlons of authors from Southeast Asla
and Oceanla, l999-2009 444
Table 7: USPTO reglstered patents from Southeast Asla and Oceanla, 2000-2007 444
Figure 1: |nternet users per l00 populatlon ln Southeast Asla and Oceanla, 200l and 2008 440
Figure 2: Publlcatlons ln Southeast Asla and Oceanla by ma[or fleld of sclence, 2008 (%) 443
Figure 3: Hlgh-tech exports from Southeast Asla and Oceanla, 2008 (%) 445
Box 1: The Secretarlat of the Paclflc Communlty 458
USR Prelims [5] [P3]:Layout 1 19/10/10 11:40 Page xvi
|||SO S|||| |||O| 2010
xvll
U
N
L
S
C
O

S
c
l
e
n
c
e

P
e
p
o
r
t

2
0
l
0
|O||\O||
The uNl5CO 5c|ence keott 2010 holds a mlrror to the
evolvlng status of sclence ln the flve years slnce lts
predecessor was publlshed ln 2005. |t shows ln partlcular
how, whlle the dlsparltles between countrles and reglons
remaln huge, the prollferatlon of dlgltal lnformatlon and
communlcatlon technologles ls lncreaslngly modlfylng the
global plcture. 8y maklng codlfled lnformatlon accesslble
worldwlde, lt ls havlng a dramatlc effect on the creatlon,
accumulatlon and dlssemlnatlon of knowledge, whlle at the
same tlme provldlng speclallzed platforms for networklng
by sclentlflc communltles operatlng at a global level.
The dlstrlbutlon of research and development (P&D) efforts
between North and South has changed wlth the emergence
of new players ln the global economy. A blpolar world ln
whlch sclence and technology (S&T) were domlnated by the
Trlad made up of the Luropean Unlon, 1apan and the USA ls
gradually glvlng way to a multlpolar world, wlth an
lncreaslng number of publlc and prlvate research hubs
spreadlng across North and South. Larly and more recent
newcomers to the S&T arena, lncludlng the Pepubllc of
Korea, 8razll, Chlna or |ndla, are creatlng a more competltlve
global envlronment by developlng thelr capacltles ln the
lndustrlal, sclentlflc and technologlcal spheres. One
consequence ls greater competltlon between countrles to
attract sclentlflc personnel from abroad and to retaln or
recall thelr best researchers and graduates llvlng abroad.
One encouraglng flndlng of the report ls that P&D fundlng has
contlnued to expand globally as the result of greater
recognltlon by governments worldwlde of the cruclal
lmportance of sclence for soclo-economlc development. Those
developlng countrles that have progressed fastest ln recent
years are the ones that have adopted pollcles to promote
sclence, technology and lnnovatlon. Although Afrlca stlll lags
behlnd other reglons, slgns of progress can be found ln some
countrles on the contlnent, whlch today represents a growlng
contrlbutor to the global P&D effort. The contlnent's mountlng
contrlbutlon to the global stock of knowledge comes as good
news - all the more so slnce Afrlca ls a prlorlty for UNLSCO. Thls
progresslon shows that dellberate, well-targeted pollcles can
make a dlfference when lmplemented wlth commltment and
dedlcatlon even ln dlfflcult clrcumstances.
However, the report also polnts to perslstent dlsparltles
between countrles and, ln partlcular, the marglnal contrlbutlon
that the least developed countrles (LDCs) make to global
sclence. Thls sltuatlon calls for all stakeholders, lncludlng
UNLSCO, to renew thelr support to LDCs for lnvestlng ln
sclence, transformlng the pollcy envlronment and maklng the
necessary lnstltutlonal ad[ustments - ln other words, for
enabllng S&T to reallze lts potentlal as a prlme lever for
development. Thls ls a vast and complex task that can only be
met through a ma[or pollcy moblllzatlon for sclence.
Moblllzlng pollcy for sclence remalns crltlcal to bulldlng the
human and lnstltutlonal capacltles needed to overcome the
knowledge gap and empower developlng countrles to bulld
approprlate sclentlflc research capabllltles so as to address
natlonal and global challenges. we have a moral lmperatlve to
make sclence globally lncluslve.
There are two posslble scenarlos for the way ln whlch the
geopolltlcs of sclence wlll shape the future. One ls based on
partnershlp and co-operatlon, and the other on efforts towards
natlonal supremacy. | am convlnced that, more than ever,
reglonal and lnternatlonal sclentlflc co-operatlon ls cruclal to
addresslng the lnterrelated, complex and growlng global
challenges wlth whlch we are confronted. |ncreaslngly,
lnternatlonal dlplomacy wlll take the form of sclence
dlplomacy ln the years to come. |n thls respect, UNLSCO must
and wlll pursue lts efforts to strengthen lnternatlonal
partnershlps and co-operatlon, ln partlcular South-South co-
operatlon. Thls sclence dlmenslon of dlplomacy was one of the
orlglnal reasons for lncludlng sclence ln UNLSCO's mandate. |t
has fundamental slgnlflcance for UNLSCO nowadays, at a tlme
when sclence has tremendous power to shape the future of
humanlty and when lt no longer makes much sense to deslgn
sclence pollcy ln purely natlonal terms. Thls ls most vlvldly
evldent ln lssues relatlng to global cllmate change and how
socletles wlll address lt through green economles.
|n llne wlth my lntentlon to place sclence at the centre of
UNLSCO's efforts to eradlcate extreme poverty and foster
soclal lncluslon and sustalnable development, | am
confldent that the uNl5CO 5c|ence keott 2010 wlll prove a
useful tool ln the necessary redeflnltlon of the sclence
pollcy agenda at natlonal, reglonal and global levels and
wlll provlde valuable lnslghts lnto the prospects for sclence
and related pollcy challenges ln the years ahead.
Irina Bokova
0|tectot-Cenetol ol uNl5CO
USR Prelims [5] [P3]:Layout 1 18/10/10 17:35 Page xvii
Pol|c|es lot sc|ence onJ technoloy
must olwoys oe o m|xtute ol teol|sm
onJ |Jeol|sm.
Chris Freeman (l92l-20l0)
father of the 'natlonal lnnovatlon system' concept
Intro Chapter [18] [P3]:Layout 1 18/10/10 18:02 Page 2
1
.
The growlng role of knowledge
ln the global economy
|Jc |c||.rJo.s .rJ |Jc Scoto
l
|| |ObA| |||||
The uNl5CO 5c|ence keott 2010 takes up from where lts
predecessor left off flve years ago. The alm of thls flrst
chapter ls to provlde a global overvlew of developments
over the past flve years. we shall pay partlcular attentlon
to 'new', 'less known', or 'unexpected' features revealed by
the data and the chapters that follow.
we shall begln by brlefly revlewlng the state of the
support system for sclence agalnst the backdrop of the
long, hlstorlcally unlque perlod of rapld global economlc
growth from l996 to 2007. Thls 'growth spurt' has been
drlven by new dlgltal technologles and by the emergence
of a number of large countrles on the world stage. |t was
brought to a sudden and somewhat brutal halt by the
global economlc recesslon trlggered by the subprlme
mortgage crlsls ln the USA ln the thlrd quarter of 2008.
what lmpact has thls global economlc recesslon had on
lnvestment ln knowledge! 8efore we endeavour to
answer thls questlon, let us take a closer look at some of
the broad trends that have characterlzed the past decade.
First and foremost, cheap and easy access to new dlgltal
technologles such as broadband, |nternet and moblle
phones have accelerated the dlffuslon of best-practlce
technologles, revolutlonlzed the lnternal and external
organlzatlon of research and facllltated the lmplantatlon
abroad of companles' research and development (P&D)
centres (Davld and Poray, 2002). However, lt ls not only the
spread of dlgltal lnformatlon and communlcatlon
technologles (|CTs) that has shlfted the balance ln favour of
a more transparent and more level playlng fleld
l
. The
growlng membershlp and further development of global
lnstltutlonal frameworks llke the world Trade Organlzatlon
(wTO) governlng lnternatlonal knowledge flows ln trade,
lnvestment and lntellectual property rlghts have also sped
up access to crltlcal knowledge. Chlna, for example, only
became a member of wTO ln December 200l. The playlng
fleld now lncludes a wlde varlety of capltal- and
organlzatlon-embedded forms of technology transfer
whlch lnclude forelgn dlrect lnvestment (PD|), llcenses and
other forms of formal and lnformal knowledge dlffuslon.
Secondly, countrles have been catchlng up rapldly ln terms
of both economlc growth and lnvestment ln knowledge,
as expressed by lnvestment ln tertlary educatlon and P&D.
Thls can be observed ln the burgeonlng number of
graduates ln sclence and englneerlng. |ndla, for example,
has opted to establlsh 30 new unlversltles to ralse student
enrollment from less than l5 mllllon ln 2007 to 2l mllllon
by 20l2. Large emerglng developlng countrles such as
8razll, Chlna, |ndla, Mexlco and South Afrlca are also
spendlng more on P&D than before. Thls trend can also be
observed ln the transltlon economles of the Pusslan
Pederatlon (Pussla) and some other Lastern and Central
Luropean countrles whlch are gradually cllmblng back to
the levels of lnvestment under the Sovlet Unlon. |n some
cases, the rlse ln gross domestlc expendlture on P&D
(GLPD) has been a corollary of strong economlc growth
rather than the reflectlon of greater P&D lntenslty. |n 8razll
and |ndla, for example, the GLPD/GDP ratlo has remalned
stable, whereas ln Chlna lt has cllmbed by 50% slnce 2002
to l.54% (2008). Slmllarly, lf the GLPD/GDP ratlo has
decllned ln some Afrlcan countrles, thls ls not symptomatlc
of a weaker commltment to P&D. |t slmply reflects an
acceleratlon ln economlc growth thanks to oll extractlon
(ln Angola, Lquatorlal Gulnea, Nlgerla, etc) and other non-
P&D-lntenslve sectors. |f each country has dlfferent
prlorltles, the urge to catch up rapldly ls lrrepresslble and
has, ln turn, drlven economlc growth worldwlde to the
hlghest level ln recorded hlstory.
Thirdly, the lmpact of the global recesslon on a post-2008
world ls not yet reflected ln the P&D data but lt ls evldent
that the recesslon has, for the flrst tlme, challenged the old
North-South technology-based trade and growth models
(Krugman, l970, Soete, l98l, Dosl et ol., l990). |ncreaslngly,
the global economlc recesslon appears to be challenglng
western sclentlflc and technologlcal (S&T) domlnance.
whereas Lurope and the USA are struggllng to free
themselves from the grlps of the recesslon, flrms from
emerglng economles llke 8razll, Chlna, |ndla and South
Afrlca are wltnesslng sustalned domestlc growth and
movlng upstream ln the value chaln. whereas these
emerglng economles once served as a reposltory for the
outsourclng of manufacturlng actlvltles, they have now
moved on to autonomous process technology
development, product development, deslgn and applled
research. Chlna, |ndla and a few other Aslan countrles,
together wlth some Arab Gulf states, have comblned a
natlonal targeted technology pollcy wlth the aggresslve -
and successful - pursult of better academlc research wlthln
a short space of tlme. To thls end, they have made astute use
of both monetary and non-monetary lncentlves, as well as
|
n
t
r
o
d
u
c
t
l
o
n
l. Thls does not mean that each player has an equal chance of success but
rather that a greater number are playlng by the same set of rules.
The Larth at nlght,
showlng human
populatlon
centres
Photo: lv|ten/
|5toclhoto
Table 1: Key indicators on world GDP, population
and GERD, 2002 and 2007
GDP (PPP$ billions)
2002 2007
World 46 272.6 66 293.7
Developed countries 29 341.1 38 557.1
Developing countries 16 364.4 26 810.1
Least developed countries 567.1 926.4
Americas 15 156.8 20 730.9
North America 11 415.7 15 090.4
Latin America and the Caribbean 3 741.2 5 640.5
Europe 14 403.4 19 194.9
European Union 11 703.6 14 905.7
Commonwealth of Independent States in Europe 1 544.8 2 546.8
Central, Eastern and Other Europe 1 155.0 1 742.4
Africa 1 674.0 2 552.6
South Africa 323.8 467.8
Other sub-Saharan countries (excl. South Africa) 639.6 1 023.1
Arab States in Africa 710.6 1 061.7
Asia 14 345.3 22 878.9
Japan 3 417.2 4 297.5
China 3 663.5 7 103.4
Israel 154.6 192.4
India 1 756.4 3 099.8
Commonwealth of Independent States in Asia 204.7 396.4
Newly Industrialised Economies in Asia 2 769.9 4 063.1
Arab States in Asia 847.3 1 325.1
Other in Asia (excl. Japan, China, Israel, India) 1 531.5 2 401.1
Oceania 693.1 936.4
Other groupings
Arab States all 1 557.9 2 386.8
Commonwealth of Independent States all 1 749.5 2 943.2
OECD 29 771.3 39 019.4
European Free Trade Association 424.5 580.5
Sub-Saharan Africa (incl. South Africa) 963.4 1 490.9
Selected countries
Argentina 298.1 523.4
Brazil 1 322.5 1 842.9
Canada 937.8 1 270.1
Cuba
Egypt 273.7 404.1
France 1 711.2 2 071.8
Germany 2 275.4 2 846.9
Iran (Islamic Republic of ) 503.7 778.8
Mexico 956.3 1 493.2
Republic of Korea 936.0 1 287.7
Russian Federation 1 278.9 2 095.3
Turkey 572.1 938.7
United Kingdom 1 713.7 2 134.0
United States of America 10 417.6 13 741.6
institutional reforms. Although data are not easy to come by,
it is well-known that many academic leaders in American,
Australian and European universities have, in the past five
years, been offered positions and large research budgets in
fast-growing universities in East Asian countries.
In short, achieving knowledge-intensive growth is no longer
the sole prerogative of the highly developed nations of the
Organisation for Economic Co-operation and Development
(OECD). Nor is it the sole prerogative of national policy-
making. Value creation depends increasingly on a better use
of knowledge, whatever the level of development, whatever
its form and whatever its origin: new product and process
technologies developed domestically, or the re-use and
novel combination of knowledge developed elsewhere.
This applies to manufacturing, agriculture and services in
both the public and private sectors. Yet, at the same time,
there is striking evidence of the persistence expansion even
in the uneven distribution of research and innovation at
the global level. Here, we are no longer comparing countries
but regions within countries. Investment in R&D appears to
remain concentrated in a relatively small number of locations
within a given country
2
. In Brazil, for example, 40% of GERD
is spent in the So Paulo region. The proportion is as high as
51% in South Africas Gauteng Province.
PRERECESSION FACTS AND FIGURES
Economic trends: a unique growth spurt
Historically, global economic growth in the years bridging the
Millennia has been unique. Over the period 19962007, real
GDP per capita increased at an average annual rate of 1.88%
3
.
At the broad continental level, the highest per-capita growth
was witnessed by East Asia and the Pacific (5.85%), Europe
and Central Asia (4.87%) and South Asia (4.61%). The figure
was 2.42% for the Middle East and North Africa, 2.00% for
North America, 1.80% for Latin American and the Caribbean
and 1.64% for sub-Saharan Africa. The greatest divergence in
growth rates occurred in sub-Saharan Africa: in 28 countries,
GDP per capita grew by more than 5% but more than half of
the 16 countries which witnessed negative per-capita growth
rates were also in sub-Saharan Africa (Table 1).
2
2. For a more detailed analysis of specialization at the regional level within
countries, see the World Knowledge Report (forthcoming) published by
UNU-Merit.
3. Growth rates reported in this section reflect the average annual increase
between 1996 and 2007 of per capita GDP in constant US$ 2 000 from
World Bank data.
Note: The sum of GERD for some regions does not correspond to the
total because of changes in the reference year. Furthermore, in
numerous developing countries, data do not cover all sectors of the
economy. Therefore, the data presented here for developing
countries can be considered a lower bound of their real R&D eort.
For the list of countries encompassed by the groupings in this
chapter, see Annex I.
Intro Chapter [1] [Ed2]:Layout 1 25/11/10 10:13 Page 2
|o .c.|r .c|o c| krc.|oJo |r t|o |cb.| occrcny
3
World GDP (%) Population (millions) World population (%) GERD (PPP$ billions) World GERD (%) GERD as % of GDP GERD per capita (PPP$)
2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007
100.0 100.0 6 274.3 6 670.8 100.0 100.0 790.3 1 145.7 100.0 100.0 1.7 1.7 126.0 171.7
63.4 58.2 l 203.4 l 225.0 l9.2 l8.4 653.0 873.2 82.6 76.2 2.2 2.3 542.7 7l2.8
35.4 40.4 4 360.5 4 647.3 69.5 69.7 l36.2 27l.0 l7.2 23.7 0.8 l.0 3l.2 58.3
l.2 l.4 7l0.4 798.5 ll.3 l2.0 l.l l.5 0.l 0.l 0.2 0.2 l.5 l.9
32.8 31.3 861.2 911.4 13.7 13.7 319.9 433.9 40.5 37.9 2.1 2.1 371.4 476.1
24.7 22.8 325.3 34l.6 5.2 5.l 297.8 399.3 37.7 34.9 2.6 2.6 9l5.3 l l68.8
8.l 8.5 535.9 569.8 8.5 8.5 22.l 34.6 2.8 3.0 0.6 0.6 4l.2 60.8
31.1 29.0 796.5 804.8 12.7 12.1 238.5 314.0 30.2 27.4 1.7 1.6 299.4 390.2
25.3 22.5 484.2 493.2 7.7 7.4 206.2 264.9 26.l 23.l l.8 l.8 425.8 537.0
3.3 3.8 207.3 20l.6 3.3 3.0 l8.3 27.4 2.3 2.4 l.2 l.l 88.5 l36.l
2.5 2.6 l05.0 l09.9 l.7 l.6 l3.9 2l.7 l.8 l.9 l.2 l.2 l32.6 l97.2
3.6 3.9 858.9 964.7 13.7 14.5 6.9 10.2 0.9 0.9 0.4 0.4 8.0 10.6
0.7 0.7 46.2 49.2 0.7 0.7 2.3
-l
4.4 0.3
e
0.4 0.7
-l
0.9 49.5
-l
88.6
l.4 l.5 623.5 709.2 9.9 l0.6 l.8 2.6 0.2 0.2 0.3 0.3 2.9 3.7
l.5 l.6 l89.3 206.3 3.0 3.l 2.5 3.3 0.3 0.3 0.4 0.3 l3.4 l5.9
31.0 34.5 3 725.6 3 955.5 59.4 59.3 213.9 369.3 27.1 32.2 1.5 1.6 57.4 93.4
7.4 6.5 l27.l l27.4 2.0 l.9 l08.2 l47.9 l3.7 l2.9 3.2 3.4 85l.0 l l6l.3
7.9 l0.7 l 286.0 l 329.l 20.5 l9.9 39.2 l02.4 5.0 8.9 l.l l.4 30.5 77.l
0.3 0.3 6.3 6.9 0.l 0.l 7.l 9.2 0.9 0.8 4.6 4.8 l l2l.4 l 32l.3
3.8 4.7 l 078.l l l64.7 l7.2 l7.5 l2.9 24.8 l.6 2.2 0.7 0.8 l2.0 2l.3
0.4 0.6 72.3 75.4 l.2 l.l 0.5 0.8 0.l 0.l 0.2 0.2 7.0 l0.2
6.0 6.l 373.7 399.3 6.0 6.0 40.l 72.3 5.l 6.3 l.4 l.8 l07.3 l8l.l
l.8 2.0 l07.0 l22.9 l.7 l.8 l.l l.4 0.l 0.l 0.l 0.l l0.0 ll.8
3.3 3.6 675.0 729.7 l0.8 l0.9 4.8 l0.4 0.6 0.9 0.3 0.4 7.l l4.3
1.5 1.4 32.1 34.5 0.5 0.5 11.2 18.3 1.4 1.6 1.6 1.9 349.9 529.7
3.4 3.6 296.3 329.2 4.7 4.9 3.6 4.7 0.5 0.4 0.2 0.2 l2.2 l4.3
3.8 4.4 279.6 277.0 4.5 4.2 l8.9 28.2 2.4 2.5 l.l l.0 67.4 l0l.9
64.3 58.9 l l49.6 l l89.0 l8.3 l7.8 66l.3 894.7 83.7 78.l 2.2 2.3 575.2 752.5
0.9 0.9 l2.l l2.6 0.2 0.2 9.8 l3.6 l.2 l.2 2.3 2.3 804.5 l 082.8
2.l 2.2 669.7 758.4 l0.7 ll.4 4.3 7.0 0.5 0.6 0.4 0.5 6.4 9.2
0.6 0.8 37.7 39.5 0.6 0.6 l.2 2.7 0.l 0.2 0.4 0.5 30.8 67.3
2.9 2.8 l79.l l90.l 2.9 2.9 l3.0 20.2 l.6 l.8 l.0 l.l 72.7 l06.4
2.0 l.9 3l.3 32.9 0.5 0.5 l9.l 24.l 2.4 2.l 2.0 l.9 6ll.4 732.3
- - ll.l ll.2 0.2 0.2 - - - - 0.5 0.4 - -
0.6 0.6 72.9 80.l l.2 l.2 0.5
-2
0.9 0.l
e
0.l 0.2
-2
0.2 6.8
-2
ll.4
3.7 3.l 59.8 6l.7 l.0 0.9 38.2 42.3 4.8 3.7 2.2 2.0 637.7 685.5
4.9 4.3 82.2 82.3 l.3 l.2 56.7 72.2 7.2 6.3 2.5 2.5 689.0 877.3
l.l l.2 68.5 72.4 l.l l.l 2.8 4.7
-l
0.3 0.5
e
0.5 0.7
-l
40.3 65.6
-l
2.l 2.3 l02.0 l07.5 l.6 l.6 4.2 5.6 0.5 0.5 0.4 0.4 40.9 52.l
2.0 l.9 46.9 48.0 0.7 0.7 22.5 4l.3 2.8 3.6 2.4 3.2 479.4 86l.9
2.8 3.2 l45.3 l4l.9 2.3 2.l l5.9 23.5 2.0 2.0 l.2 l.l l09.7 l65.4
l.2 l.4 68.4 73.0 l.l l.l 3.0 6.8 0.4 0.6 0.5 0.7 44.0 92.9
3.7 3.2 59.4 60.9 0.9 0.9 30.6 38.7 3.9 3.4 l.8 l.8 5l5.8 636.l
22.5 20.7 294.0 308.7 4.7 4.6 277.l 373.l 35.l 32.6 2.7 2.7 942.4 l 208.7
|
n
t
r
o
d
u
c
t
l
o
n
-n data refer to n years before reference year
e UNLSCO |nstltute for Statlstlcs estlmatlon based on extrapolatlons and lnterpolatlons
5outce: for GLPD: UNLSCO |nstltute for Statlstlcs estlmatlons, 1une 20l0, Por GDP and PPP converslon factor:
world 8ank, world Development |ndlcators, May 20l0, and UNLSCO |nstltute for Statlstlcs estlmatlons, for populatlon:
Unlted Natlons Department of Lconomlc and Soclal Analrs (2009) wotlJ Poulot|on Ptosects: the 2008 kev|s|on, and
UNLSCO |nstltute for Statlstlcs estlmatlons
A
u
s
t
r
a
l
l
a
A
r
g
e
n
t
l
n
a
8
r
a
z
l
l
C
h
l
n
a
P
r
a
n
c
e
G
e
r
m
a
n
y
|
n
d
l
a
|
n
d
o
n
e
s
l
a
|
t
a
l
y
1
a
p
a
n
M
e
x
l
c
o
P
u
s
s
l
a
n
P
e
d
e
r
a
t
l
o
n
S
a
u
d
l

A
r
a
b
l
a
S
o
u
t
h

A
f
r
l
c
a
P
e
p
.

o
f
K
o
r
e
a
T
u
r
k
e
y
L
u
r
o
p
e
a
n

U
n
l
o
n
C
a
n
a
d
a
U
K
U
S
A
w
o
r
l
d

s
h
a
r
e

o
f

G
L
P
D
,

2
0
0
2
w
o
r
l
d

s
h
a
r
e

o
f

G
D
P
,

2
0
0
7
w
o
r
l
d

s
h
a
r
e

o
f

G
D
P
,

2
0
0
2
w
o
r
l
d

s
h
a
r
e

o
f

G
L
P
D
,

2
0
0
7
0.6
0.8
0.l
0.2
22.5
20.7
l3 742
l.3
l.2
l.3
l.4
0.7
0.7
0.3
0.4
3.3
2.8
l.2
l.4
0.4
3.7
3.l
3.7
3.2
4.9
4.3
25.3
22.5
26.l
2.8
3.2
3.8
4.7
7.9
l0.7
2.0
l.9
7.4
6.5
0.04
0.03
l.3
l.2
0.8
0.8
2.9
2.8
0.5
0.5
2.3
2.l
l.9
2.0
F
i
g
u
r
e

1
:

w
o
r
l
d

s
h
a
r
e

o
f

G
D
P

a
n
d

G
L
P
D

f
o
r

t
h
e

G
2
0
,

2
0
0
2

a
n
d

2
0
0
7

(
%
)
5
o
u
t
c
e
:
U
N
L
S
C
O

|
n
s
t
l
t
u
t
e

f
o
r

S
t
a
t
l
s
t
l
c
s
l.6
l.8
2.l
2.4
5.0
8.9
4.8
3.7
7.2
6.3
l.6
2.2
2.2
l.9
l3.7
l2.9
2.0
2.0
0.03
0.02
2.8
3.6
0.6
3.4
3.9
35.l
32.6
23.l
4
The growing role of knowledge in the global economy
5
Figure 1 presents the 20 largest economic powers in the
world. This list includes the Triad
4
and the newly
industrializing countries of Mexico and the Republic of
Korea, some of the most populated countries in the world
such as China, India, Brazil, Russia and Indonesia, and a
second layer of emerging economies that include Turkey,
Saudi Arabia, Argentina and South Africa. With their
newfound economic weight, these countries are
challenging many of the rules, regulations and standards
that governed the G7 and the Triad with respect to
international trade and investment
5
. As we shall now see,
they are also challenging the traditional dominance of the
Triad when it comes to investment in R&D.
Trends in GERD: a shift in global influence
The world devoted 1.7% of GDP to R&D in 2007, a share
that has remained stable since 2002. In monetary terms,
however, this translates into US$ 1 146 billion
6
, an increase
of 45% over 2002 (Table 1). This is slightly higher than the
rise in GDP over the same period (43%).
Moreover, behind this increase lies a shift in global
influence. Driven largely by China, India and the Republic
of Korea, Asias world share has risen from 27% to 32%,
to the detriment of the Triad. Most of the drop in the
European Union (EU) can be attributed to its three biggest
members: France, Germany and the United Kingdom (UK).
Meanwhile, the shares of Africa and the Arab States are
low but stable and Oceania has progressed slightly.
We can see from Figure 1 that Chinas share of world GERD
is approaching its world share of GDP, unlike Brazil or India
which still contribute much more to global GDP than to
global GERD. Of note is that the situation is reversed for
the Triad, even though the disparity is very small for the
EU. The Republic of Korea is an interesting case in point, in
that it follows the pattern of the Triad. Koreas world share
of GERD is even double its world share of GDP. One of
Koreas top priorities is to raise its GERD/GDP ratio to as
much as 5% by 2012.
I
n
t
r
o
d
u
c
t
i
o
n
Figure 2 correlates the density of both R&D and
researchers for a number of key countries and regions.
From this figure, we can see that Russia still has a much
greater number of researchers than financial resources in
its R&D system. Three large newcomers can be seen
emerging in the bottom left-hand side of the picture,
namely China, Brazil and India, together with Iran and
Turkey. Even Africa, as a continent, today represents a
sizeable contributor to the global R&D effort. The R&D
intensity of these economies or their human capital might
still be low but their contribution to the stock of world
knowledge is actually rising rapidly. By contrast, the group
of least developed countries the smallest circle in the
figure still plays a marginal role.
Catching up in business R&D
It is the trends in business investment in R&D (BERD) which
best illustrate the rapid geographical changes taking place
worldwide in privately funded R&D centres. Increasingly,
multinational companies are decentralizing their research
activities to parts of both the developed and developing
worlds within a strategy to internalize R&D at the global
level (Zanatta and Queiroz, 2007). For multinationals, this
strategy reduces labour costs and gives companies easier
access to markets, local human capital and knowledge, as
well as to the host countrys natural resources.
The favoured destinations are the so-called Asian tigers,
the old newly industrialized countries in Asia, and,
secondly, Brazil, India and China. However, this is no longer
a one-way traffic: firms from emerging economies are now
also buying up large firms in developed countries and
thereby acquiring the firms knowledge capital overnight,
as the chapter on India neatly illustrates. As a consequence,
the global distribution of R&D effort between North and
South is shifting rapidly. In 1990, more than 95% of R&D
was being carried out in the developed world and just
seven OECD economies accounted for more than 92% of
world R&D (Coe et al., 1997). By 2002, developed countries
accounted for less than 83% of the total and by 2007 for
76%. Furthermore, as the chapters on South Asia and sub-
Saharan Africa underscore, a number of countries not
generally considered to be R&D-intensive are developing
particular sectors like light engineering as a strategy for
import substitution, among them Bangladesh.
From 2002 to 2007, the share of BERD in GDP rose sharply
in Japan, China and Singapore, with a particularly steep
curve in the Republic of Korea. The ratio remained more or
4. Composed of the European Union, Japan and USA
5. The great majority of the standards governing, for instance, trade in
manufactured goods, agriculture and services are based on USAEU norms.
6. All US$ in the present chapter are purchasing power parity dollars.
|||SO S|||| |||O| 2010
6
less constant ln 8razll, the USA and the LU and even
decllned ln Pussla. As a result, by 2007, the Pepubllc of
Korea was challenglng 1apan for the tltle of technologlcal
leader, Slngapore had nearly caught up to the USA and
Chlna was rubblng shoulders wlth the LU.
Notwlthstandlng thls, the 8LPD/GDP ratlo stlll remalns
much lower ln |ndla and 8razll than ln the Trlad.
Trends in human capital: China soon to count the
most researchers
Here, we focus on another core area of P&D lnput: trends
wlth regard to researchers. As Table 2 hlghllghts, Chlna ls
on the verge of overtaklng both the USA and the LU ln
terms of sheer numbers of researchers. These three glants
each represent about 20% of the world's stock of
researchers. |f we add 1apan's share (l0%) and that of
Pussla (7%), thls hlghllghts the extreme concentratlon of
researchers: the '8lg Plve' account for about 35% of the
world populatlon but three-quarters of all researchers. 8y
contrast, a populous country llke |ndla stlll represents only
2.2% of the world total and the entlre contlnents of Latln
Amerlca and Afrlca [ust 3.5% and 2.2% respectlvely.
Although the share of researchers ln the developlng world
has grown from 30% ln 2002 to 38% ln 2007, two-thlrds of
thls growth can be attrlbuted to Chlna alone. Countrles are
tralnlng many more sclentlsts and englneers than before but
graduates are havlng trouble flndlng quallfled posltlons or
attractlve worklng condltlons at home. As a result, mlgratlon
of hlghly quallfled researchers from South to North has
become the characterlstlc feature of the past decade. A 2008
report by the UK Parllamentary Offlce clted OLCD data
lndlcatlng that, of the 59 mllllon mlgrants llvlng ln OLCD
countrles, 20 mllllon were hlghly skllled.
Brain drain preoccupies developing countries
Desplte volumlnous llterature on mlgratlon, lt ls almost
lmposslble to draw a systematlc, quantltatlve plcture of
long-term mlgratlon of the hlghly skllled worldwlde.
Moreover, not everyone percelves the phenomenon ln the
same way. Some refer to braln draln, others prefer the term
braln straln or braln clrculatlon. whatever the preferred
termlnology, several chapters ln the present report -
among them those on |ndla, South Asla, Turkey and sub-
Saharan Afrlca - hlghllght the serlous lssue that braln draln
Figure 2: Global lnvestment ln P&D ln absolute and relatlve terms, 2007
lot selecteJ countt|es onJ te|ons
Note: The slze of the clrcle reflects the slze of GLPD for the country or grouplng.
5outce: UNU-MLP|T based on data from the UNLSCO |nstltute for Statlstlcs and world 8ank
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5
0
1 000
2 000
3 000
4 000
5 000
6 000

R
e
s
e
a
r
c
h
e
r
s

p
e
r

m
i
l
l
i
o
n

p
o
p
u
l
a
t
i
o
n

GERD as % of GDP
USA
Japan
Germany
France
Rep. of Korea
UK
India
Russia
Brazil
Africa
Turkey
Iran
Least developed countries
China
USA
Japan
Germany
Rep. of Korea
India
Russia
Brazil
China
0.0
0.5
1.0
1.5
2.0
2.5
3.0
2000 2001 2002 2003 2004 2005 2006 2007
France
UK
Singapore
2.16
1.77
0.54
0.14
0.91
2.05
1.34
1.73
1.18
1.11
0.47
2.68
1.93
0.80
0.37
1.15
1.08
2.65
1.74
1.77
1.29
0.50
7
I
n
t
r
o
d
u
c
t
i
o
n
Figure 3: BERD/GDP ratio for selected countries, 20002007 (%)
Source: UNU-MERIT based on data from UNESCO Institute for Statistics
Palestinian Autonomous Territories; in Tajikistan from
Uzbekistan; and in Bulgaria from Greece.
A second factor is that the diaspora acts as a useful
departure point for the design of policies for more
effective technology transfer and knowledge spillovers.
This phenomenon motivates countries to elaborate
policies to lure highly skilled expatriates back home. This
was the case in the Republic of Korea in the past and can
be seen in China and elsewhere today. The aim is to
encourage the diaspora to use the skills acquired abroad
to bring about structural change at home. Moreover, the
diaspora may be invited to participate from a distance,
if the prospect of a permanent return home is unlikely.
In Nigeria, Parliament approved the establishment of the
Nigerians in the Diaspora Commission in 2010, the aim of
which is to identify Nigerian specialists living abroad and
encourage them to participate in Nigerian policy and
project formulation.
Trends in publications: a new Triad dominates
The number of scientific publications recorded in
Thomson Reuters Science Citation Index (SCI) is the most
commonly used indicator for scientific output. It is
particularly valuable, in that it allows both for
international comparisons at the aggregate level and for
has become and the barriers that this flow of knowledge
out of countries creates for domestic R&D. For instance,
a national survey by the Sri Lankan National Science
Foundation found that the number of economically active
scientists in Sri Lanka had dropped from 13 286 to 7 907
between 1996 and 2006. Meanwhile, FDI flowing into India
is creating internal brain drain, as domestic firms cannot
compete with the attractive compensation packages
offered to personnel by foreign firms based in India.
SouthSouth and SouthNorth migration data are not
systematically covered by international statistical
institutes but can be approximated by combining OECD
data on migration of the highly skilled with UNESCO data
on bilateral flows of international students (Dunnewijk,
2008). These data reveal that South to North and North to
North are dominant directions for migration but that,
overall, a much more varied array of destinations is
emerging: South Africa, Russia, Ukraine, Malaysia and
Jordan have also become attractive destinations for the
highly skilled. The diaspora that has settled in South Africa
originated from Zimbabwe, Botswana, Namibia and
Lesotho; in Russia, from Kazakhstan, Ukraine and Belarus;
in Ukraine, from Brunei Darussalam; in the former
Czechoslovakia from Iran; in Malaysia from China and
India; in Romania from Moldova; in Jordan from the
8
|||SO S|||| |||O| 2010
Table 2: Key lndlcators on world researchers, 2002 and 2007
Researchers World share of Researchers per GERD per researcher
(thousands) researchers (%) million inhabitants (PPP$ thousands )
2002 2007 2002 2007 2002 2007 2002 2007
World 5 810.7 7 209.7 100.0 100.0 926.1 1 080.8 136.0 158.9
Developed countrles 4 047.5 4 478.3 69.7 62.l 3 363.5 3 655.8 l6l.3 l95.0
Developlng countrles l 734.4 2 696.7 29.8 37.4 397.8 580.3 78.5 l00.5
Least developed countrles 28.7 34.7 0.5 0.5 40.5 43.4 37.6 43.8
Americas 1 628.4 1 831.9 28.0 25.4 1 890.9 2 010.1 196.4 236.9
North Amerlca l 458.5 l 579.8 25.l 2l.9 4 483.2 4 624.4 204.2 252.8
Latln Amerlca and the Carlbbean l69.9 252.l 2.9 3.5 3l7.l 442.5 l30.0 l37.4
Europe 1 870.7 2 123.6 32.2 29.5 2 348.5 2 638.7 127.5 147.9
Luropean Unlon l l97.9 l 448.3 20.6 20.l 2 473.9 2 936.4 l72.l l82.9
Commonwealth of |ndependent States ln Lurope 579.6 55l.5 l0.0 7.6 2 796.l 2 735.3 3l.7 49.8
Central, Lastern and Other Lurope 93.2 l23.8 l.6 l.7 887.2 l l25.9 l49.4 l75.l
Africa 129.0 158.5 2.2 2.2 150.2 164.3 53.1 64.6
South Afrlca l4.2
-l
l9.3 0.2
e
0.3 3ll.4
-l
392.9 l58.9
-l
225.6
Other sub-Saharan countrles (excl. South Afrlca) 30.8 40.8 0.5 0.6 49.4 57.5 59.5 63.8
Arab States ln Afrlca 84.l 98.4 l.4 l.4 444.l 477.l 30.2 33.3
Asia 2 064.6 2 950.6 35.5 40.9 554.2 745.9 103.6 125.2
1apan 646.5 7l0.0 ll.l 9.8 5 087.0 5 573.0 l67.3 208.4
Chlna 8l0.5 l 423.4 l3.9 l9.7 630.3 l 070.9 48.4 72.0
|srael - - - - - - - -
|ndla ll5.9
-2
l54.8
-2
2.3
e
2.2
e
lll.2
-2
l36.9
-2
l02.6
-2
l26.7
-2
Commonwealth of |ndependent States ln Asla 4l.4 39.7 0.7 0.6 572.5 525.8 l2.3 l9.4
Newly |ndustrlallzed Lconomles ln Asla 295.8 434.3 5.l 6.0 79l.4 l 087.4 l35.6 l66.6
Arab States ln Asla 2l.l 24.4 0.4 0.3 l97.l l98.7 50.5 59.3
Other ln Asla (excl. 1apan, Chlna, |ndla, |srael) 93.2 l27.l l.6 l.8 l38.l l74.2 5l.6 8l.8
Oceania 118.0 145.1 2.0 2.0 3 677.6 4 208.7 95.1 125.9
Other groupings
Arab States all l05.2 l22.8 l.8 l.7 354.9 373.2 34.3 38.4
Commonwealth of |ndependent States all 62l.0 59l.2 l0.7 8.2 2 22l.l 2 l33.8 30.4 47.7
OLCD 3 588.l 4 l52.9 6l.7 57.6 3 l2l.2 3 492.8 l84.3 2l5.5
Luropean Pree Trade Assoclatlon 48.3 52.9 0.8 0.7 3 976.6 4 209.l 202.3 257.3
Sub-Saharan Afrlca (lncl. South Afrlca) 45.0 60.l 0.8 0.8 67.l 79.2 96.0 ll5.8
Selected countries
Argentlna 26.l 38.7 0.4 0.5 692.3 979.5 44.4 68.7
8razll 7l.8 l24.9 l.2 l.7 400.9 656.9 l8l.4 l62.l
Canada ll6.0 l39.0
-l
2.0 l.9
e
3 705.3 4 260.4
-l
l65.0 l70.7
-l
Cuba - - - - - - - -
Lgypt - 49.4 - 0.7 - 6l6.6 - l8.5
Prance l86.4 2l5.8 3.2 3.0 3 ll5.7 3 496.0 204.7 l96.l
Germany 265.8 290.9 4.6 4.0 3 232.5 3 532.2 2l3.l 248.4
|ran (|slamlc Pepubllc of ) - 50.5
-l
- 0.7
e
- 706.l
-l
- 93.0
-l
Mexlco 3l.l 37.9 0.5 0.5 305.l 352.9 l34.0 l47.6
Pepubllc of Korea l4l.9 22l.9 2.4 3.l 3 022.8 4 627.2 l58.6 l86.3
Pusslan Pederatlon 49l.9 469.l 8.5 6.5 3 384.8 3 304.7 32.4 50.l
Turkey 24.0 49.7 0.4 0.7 350.8 680.3 l25.4 l36.5
Unlted Klngdom l98.2 254.6 3.4 3.5 3 336.5 4 l80.7 l54.6 l52.2
Unlted States of Amerlca l 342.5 l 425.6
-l
23.l 20.0
e
4 566.0 4 663.3
-l
206.4 243.9
-l
-n data refer to n years before reference year e UNLSCO |nstltute for Statlstlcs estlmatlon based on extrapolatlons and lnterpolatlons
Note: Pesearchers are full-tlme equlvalents. The sum of researchers and the world share do not correspond to the total for some reglons because of changes
ln the reference year or the unavallablllty of data for some countrles.
5outce: for researchers: UNLSCO |nstltute for Statlstlcs estlmatlons, 1une 20l0, for PPP converslon factor: world 8ank, world Development |ndlcators, May
20l0, and UNLSCO |nstltute for Statlstlcs estlmatlons, for populatlon: Unlted Natlons Department of Lconomlc and Soclal Analrs (2009) wotlJ Poulot|on
Ptosects: the 2008 kev|s|on, and UNLSCO |nstltute for Statlstlcs estlmatlons
9
more detailed assessments of particular scientific fields.
We begin with the aggregate analysis of scientific
publications. As Table 3 highlights, the USA is still the
country which leads the world when it comes to scientific
output in absolute terms. However, its world share (28%)
has fallen more than any other country over the past six
years. The leading region for this indicator, the EU, has also
seen its share dip by four percentage points to less than
37%. By contrast, Chinas share has more than doubled in
just six years and now represents more than 10% of the
world total, second only to the USA, even if the citation
rate for Chinese articles remains much lower than for the
Triad. Next come Japan and Germany. They are now on a
par at just under 8%, Japans world share having fallen
farther than Germanys.
As for the BRIC
7
countries, their share of world
publications has shown impressive growth, with the
exception of Russia, which saw its share decline from
3.5% in 2002 to 2.7% in 2008. At the continental level,
Latin Americas share leapt from 3.8% to 4.9% but this
was mostly thanks to Brazil. Growth in the Arab world
remained sluggish. Africas share of publications in the
SCI made a bound of 25% between 2002 and 2008 from
a very low starting point to attain 2.0% of the world total.
Here, the rise was most noticeable in South Africa and the
Maghreb but every African country saw the number of its
articles recorded in the SCI progress. At the global level,
scientific publishing is today dominated by a new triad:
the USA, Europe and Asia. Given the size of Asias
population, one would expect it to become the dominant
scientific continent in the coming years.
In terms of the relative specialization of countries in
specific scientific disciplines, Figure 4 points to wide
disparities. The first spiders web focuses on the
traditionally dominant scientific countries. The black
octagon represents the average, so the lines outside this
octagon indicate a better-than-average performance in a
given field. Of note is Frances specialization in
mathematics, recently confirmed by the award of the
prestigious Fields Medal to two French mathematicians
in 2010.
I
n
t
r
o
d
u
c
t
i
o
n
Figure 4: Scientific specialization of the Triad, BRIC countries and Africa, 2008
Biology
Biomedical
research
Physics
Clinical
medicine
Engineering and
technology
Earth and space
Chemistry
Mathematics
Biology
Biomedical
research
Physics
Clinical
medicine
Engineering and
technology
Earth and space
Chemistry
Mathematics
Average
USA
Japan
Germany
France
United Kingdom
Brazil
China
India
Russian Federation
Africa
-0.25
-0.20
-0.15
-0.10
-0.05
0.00
0.05
0.10
0.15
-0.7
-0.6
-0.5
-0.4
-0.3
-0.2
-0.1
0.0
0.1
0.2
0.3
0.4
0.5
7. Brazil, Russian Federation, India and China
Source: UNU-MERIT based on data from Thomson Reuters (Scientific) Inc. Web of Science (Science Citation Index Expanded), compiled for UNESCO by
the Canadian Observatoire des sciences et des technologies, May 2010
|||SO S|||| |||O| 2010
l0
Table 3: world shares of sclentlflc publlcatlons, 2002 and 2008
Total Change World share of Biomedical
publications (%) publications (%) Biology research
2002 2008 2002 2002 2008 2002 2008 2002 2008
2008
World 733 305 986 099 34.5 100.0 100.0 58 478 84 102 99 805 123 316
Developed countrles 6l7 879 742 256 20.l 84.3 75.3 49 3l5 62 744 89 927 l00 424
Developlng countrles l53 367 3l5 742 l05.9 20.9 32.0 l3 l58 29 394 l4 493 32 09l
Least developed countrles 2 069 3 766 82.0 0.3 0.4 477 839 226 47l
Americas 274 209 348 180 27.0 37.4 35.3 23 868 33 785 47 500 54 671
North Amerlca 250 993 306 676 22.2 34.2 3l.l 20 234 24 976 44 700 49 590
Latln Amerlca and the Carlbbean 27 650 48 79l 76.5 3.8 4.9 4 32l l0 232 3 426 6 2l6
Europe 333 317 419 454 25.8 45.5 42.5 24 133 33 809 43 037 50 464
Luropean Unlon 290 l84 359 99l 24.l 39.6 36.5 2l 522 29 5l6 39 26l 45 8l5
Commonwealth of |ndependent States ln Lurope 30 ll8 32 7l0 8.6 4.l 3.3 l l53 l 447 2 052 2 054
Central, Lastern and Other Lurope 29 l95 48 526 66.2 4.0 4.9 2 274 4 348 3 524 5 0l4
Africa 11 776 19 650 66.9 1.6 2.0 2 255 3 366 1 122 2 397
South Afrlca 3 538 5 248 48.3 0.5 0.5 828 l l63 48l 690
Other sub-Saharan countrles (excl. South Afrlca) 3 399 6 256 84.l 0.5 0.6 l 072 l 575 38l l ll0
Arab States ln Afrlca 4 988 8 607 72.6 0.7 0.9 406 746 28l 655
Asia 177 743 303 147 70.6 24.2 30.7 10 796 20 062 19 022 31 895
1apan 73 429 74 6l8 l.6 l0.0 7.6 4 682 5 479 9 723 9 77l
Chlna 38 206 l04 968 l74.7 5.2 l0.6 l 7l6 5 672 2 682 9 098
|srael 9 l36 l0 069 l0.2 l.2 l.0 643 662 l 264 l 4ll
|ndla l8 9ll 36 26l 9l.7 2.6 3.7 l 579 3 339 l 90l 3 82l
Commonwealth of |ndependent States ln Asla l 4l3 l 76l 24.6 0.2 0.2 4l 57 66 88
Newly |ndustrlallzed Lconomles ln Asla 33 765 62 855 86.2 4.6 6.4 l 730 3 364 3 240 6 795
Arab States ln Asla 3 348 5 366 60.3 0.5 0.5 200 355 239 447
Other ln Asla (excl. 1apan, Chlna, |srael, |ndla) l6 579 40 358 l43.4 2.3 4.l l 30l 3 203 l 3l3 3 65l
Oceania 23 246 33 060 42.2 3.2 3.4 4 014 5 034 3 120 4 353
Other groupings
Arab States all 8 l86 l3 574 65.8 l.l l.4 600 l 078 5l0 l 063
Commonwealth of |ndependent States all 3l 294 34 2l7 9.3 4.3 3.5 l l89 l 497 2 ll0 2 l28
OLCD 6l6 2l4 753 6l9 22.3 84.0 76.4 49 509 64 020 90 365 l02 634
Luropean Pree Trade Assoclatlon l8 223 25 380 39.3 2.5 2.6 l 523 2 262 2 760 3 349
Sub-Saharan Afrlca (lncl. South Afrlca) 6 8l9 ll l42 63.4 0.9 l.l l 860 2 636 844 l 75l
Selected countries
Argentlna 4 7l9 6 l97 3l.3 0.6 0.6 826 l 287 664 883
8razll l2 573 26 482 ll0.6 l.7 2.7 l 572 5 526 l 583 3 467
Canada 30 3l0 43 539 43.6 4.l 4.4 3 35l 4 57l 4 779 6 0l8
Cuba 583 775 32.9 0.l 0.l l29 l56 65 8l
Lgypt 2 569 3 963 54.3 0.4 0.4 l92 259 l46 295
Prance 47 2l9 57 l33 2l.0 6.4 5.8 2 975 3 865 6 563 7 l69
Germany 65 500 76 368 l6.6 8.9 7.7 3 838 5 l55 8 742 l0 006
|ran (|slamlc Pepubllc of ) 2 l02 l0 894 4l8.3 0.3 l.l l50 772 l29 68l
Mexlco 5 239 8 262 57.7 0.7 0.8 874 l 669 558 9ll
Pepubllc of Korea l7 072 32 78l 92.0 2.3 3.3 6l7 l 755 l 893 3 824
Pusslan Pederatlon 25 493 27 083 6.2 3.5 2.7 l 050 l 3l7 l 85l l 835
Turkey 8 608 l7 787 l06.6 l.2 l.8 546 l 435 532 l l55
Unlted Klngdom 6l 073 7l 302 l6.7 8.3 7.2 4 5l5 4 975 9 586 l0 789
Unlted States of Amerlca 226 894 272 879 20.3 30.9 27.7 l7 349 2l 234 4l l35 45 l25
Note: The sum of the numbers for the varlous reglons exceeds the total number because papers wlth
multlple authors from dlfferent reglons contrlbute fully to each of these reglons.
5outce: data from Thomson Peuters (Sclentlflc) |nc. web of Sclence, (Sclence Cltatlon |ndex Lxpanded),
complled for UNLSCO by the Canadlan Observatolre des sclences et des technologles, May 20l0
ll
|
n
t
r
o
d
u
c
t
l
o
n
Publications by eld of science
Engineering
Chemistry Clinical medicine Earth and space & technology Mathematics Physics
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
88 310 114 206 229 092 307 043 41 691 60 979 96 194 139 257 23 142 37 397 96 593 119 799
66 585 72 l85 203 298 25l 857 36 644 50 320 73 868 9l 320 l9 25l 27 96l 78 99l 85 445
26 002 49 l55 32 772 70 92l 8 497 l7 330 28 0l9 59 l80 5 829 l2 938 24 597 44 733
76 l32 928 l 635 l38 3l8 l03 l77 27 52 94 l42
22 342 25 803 95 140 126 471 18 611 24 883 29 465 37 841 8 355 12 114 28 928 32 612
l9 378 2l 690 89 495 ll4 674 l7 l23 22 533 27 l83 33 763 7 573 l0 765 25 307 28 685
3 l8l 4 40l 6 75l l4 030 2 l22 3 228 2 646 4 535 925 l 570 4 278 4 579
40 404 44 644 104 060 135 042 21 202 30 763 39 625 53 069 11 834 18 064 49 022 53 599
33 l83 36 22l 93 939 ll9 230 l8 09l 26 095 33 845 44 l82 l0 l90 l5 239 40 l53 43 693
6 ll7 6 357 l 77l 2 ll5 2 647 3 205 4 l08 4 772 l 474 2 066 l0 796 l0 694
2 874 4 239 ll l72 l8 623 2 054 3 924 3 09l 6 284 67l l 54l 3 535 4 553
1 535 2 012 3 075 5 640 918 1 486 1 306 2 358 494 893 1 071 1 498
307 4l0 84l l 453 434 520 294 467 l27 227 226 3l8
ll7 l83 l 323 2 4l7 245 477 l22 226 44 ll4 95 l54
l ll6 l 438 953 l 93l 260 527 892 l 688 325 563 755 l 059
30 017 50 501 40 557 65 957 7 456 15 001 32 946 58 754 5 544 11 614 31 405 49 363
9 908 9 809 2l 426 2l 729 2 505 3 552 l0 633 l0 l94 l 300 l 66l l3 252 l2 423
9 499 23 032 3 863 l3 595 2 036 5 746 8 734 22 800 l 850 5 384 7 826 l9 64l
694 706 3 l34 3 357 372 506 l 0ll l l43 524 754 l 494 l 530
4 552 7 l63 3 367 7 5l4 l l60 2 306 2 980 6 l08 506 974 2 866 5 036
279 322 95 l24 l45 l68 l30 l66 l25 204 532 632
4 590 7 334 6 748 l4 468 l 2l8 2 540 9 075 l6 l40 l l02 l 905 6 062 l0 309
323 463 l 302 l 934 l43 303 72l l 090 l54 326 266 448
2 449 5 3l4 4 l34 9 99l 765 l 983 3 685 9 2l9 56l l 603 2 37l 5 394
1 552 2 038 7 528 11 598 2 126 3 323 2 497 3 403 716 985 1 693 2 326
l 405 l 840 2 227 3 758 399 808 l 580 2 7ll 469 855 996 l 46l
6 358 6 645 l 856 2 230 2 76l 3 333 4 224 4 9l0 l 589 2 266 ll 207 ll 208
63 80l 7l 003 208 l63 262 587 35 655 49 492 74 606 94 262 l8 435 26 842 75 680 82 779
l 6l8 2 02l 6 328 9 072 l 50l 2 600 l 548 2 507 387 656 2 558 2 9l3
420 582 2 l35 3 746 658 962 4l5 675 l70 335 3l7 455
536 669 l 078 l 3l6 407 63l 362 487 ll8 229 728 695
l 656 2 390 3 243 8 799 657 l 028 l 259 2 209 398 708 2 205 2 355
2 306 3 022 9 76l l4 683 2 620 3 877 3 763 5 97l l l02 l 763 2 628 3 634
7l 96 l5l 2l4 l8 33 57 90 l4 26 78 79
672 86l 478 992 lll 205 5l0 7l4 l2l l67 339 470
5 40l 6 090 l3 069 l6 034 3 457 4 899 5 260 7 l23 2 399 3 ll3 8 095 8 840
7 399 8 344 20 78l 24 708 4 256 5 978 7 059 7 746 l 903 2 725 ll 522 ll 706
645 2 l98 369 2 626 57 433 390 2 484 97 554 265 l l46
474 7l6 994 l 749 484 739 6l0 996 2l9 322 l 026 l l60
2 545 4 006 3 0l7 7 6l0 539 l l60 4 526 8 004 497 895 3 438 5 527
5 240 5 308 l 599 l 9l4 2 468 2 98l 3 l44 3 329 l 25l l 584 8 890 8 8l5
844 l 639 4 243 7 978 450 l 025 l 223 2 9l0 l62 559 608 l 086
5 469 5 352 22 007 26 754 4 678 6 079 6 7l5 7 6l2 l 383 2 l97 6 720 7 544
l7 334 l8 984 8l 87l l03 835 l5 206 l9 8l9 23 939 28 572 6 724 9 356 23 336 25 954
|||SO S|||| |||O| 2010
l2
Prance also speclallzes ln Larth and space sclences, llke
Germany. As for 1apan, lt has several strengths: physlcs,
chemlstry, englneerlng and technology. |nterestlngly,
both the USA and UK speclallze ln blomedlcal research,
cllnlcal medlclne and Larth and space.
The second splder's web focuses on the 8P|C countrles
and Afrlca. Here, too, we observe some strlklng dlfferences
between countrles ln thelr sclentlflc speclallzatlon. Pussla
shows a strong speclallzatlon ln physlcs, mathematlcs and
Larth and space sclences. Typlcally, Chlna speclallzes
heavlly ln physlcs, chemlstry, mathematlcs and
englneerlng and technology. 8y contrast, Afrlca and 8razll
are strong ln blology and |ndla excels ln chemlstry.
These dlfferences ln sclentlflc speclallzatlon are mlrrored
ln the dlfferent country proflles that follow thls flrst
chapter. Countrles appear to choose areas for sclentlflc
knowledge creatlon based on thelr own needs (cllnlcal
medlclne), geographlcal opportunltles (Larth and space
sclences and blology) but also based on cultural afflnltles
(mathematlcs, physlcs) and expertlse born of lndustrlal
growth (chemlstry).
Trends in scientific output: inequality in private
knowledge creation
The fourth lndlcator on whlch we focus ln thls flrst chapter
reflects the success of countrles and reglons ln prlvately
approprlatlng knowledge through, for example, the
number of patents flled wlth the Trlad patent offlces,
namely: the US Patents and Trademark Offlce (USPTO),
Luropean Patent Offlce and 1apanese Patent Offlce.
Patents flled wlth these three patent offlces are generally
consldered to be of a hlgh quallty. As a technologlcal
lndlcator, patents are a good reflectlon of the strong
cumulatlve and taclt character of knowledge, embedded
as they are ln a formally recognlzed, long-lastlng
lntellectual property rlght. |t ls thls characterlstlc whlch
makes lt costly to transfer knowledge from one settlng to
another.
The overall domlnance of the USA ls strlklng. Thls
hlghllghts the US technology market's role as the world's
leadlng prlvate market for technology llcenses. 1apan,
Germany and the Pepubllc of Korea are the other
countrles wlth the most patent-holders. |ndla's share
amounts to barely 0.2% of all Trladlc patents, a share
comparable to that of 8razll (0.l%) and Pussla (0.2%).
Table 4 lllustrates the extreme concentratlon of patent
appllcatlons ln North Amerlca, Asla and Lurope, the rest of
the world barely accounts for 2% of the total stock of
patents. Most of Afrlca, Asla and Latln Amerlca play no role
at all.
|ndla's patents tend to be ln chemlstry-related flelds.
|nterestlngly, the chapter on |ndla conslders that the
lntroductlon of the |ndlan Patent Act ln 2005 to brlng
|ndla lnto compllance wlth the Agreement on Trade-
Pelated Aspects of |ntellectual Property Plghts (TP|PS) has
not had a negatlve effect on the country's pharmaceutlcal
lndustry. |n support of thls argument, the author cltes the
strong growth ln P&D lnvestment slnce 2000, whlch was
contlnulng unabated ln 2008. However, he also observes
that most of these patents are belng granted to forelgn
companles located ln |ndla, based on P&D pro[ects carrled
out ln |ndla, ln a growlng trend.
Of all the lndlcators used ln the uNl5CO 5c|ence keott, lt
ls the patent lndlcator whlch polnts most strlklngly to the
lnequallty of knowledge creatlon at the global level.
The followlng trend helps to explaln the huge volume of
patents among OLCD economles. |n hlgh-lncome
countrles, the llfespan of hlgh-tech products ls shortenlng,
obllglng companles to come up wlth new products more
qulckly than before. Thls can be seen ln the rate at whlch
new computers, software, vldeo games and moblle phones,
for lnstance, are appearlng on the market.
Hlgh-tech flrms are themselves largely responslble for thls
phenomenon, as they have dellberately set out to create
new consumer needs by brlnglng out more sophlstlcated
verslons of thelr products every slx months or so. Thls
strategy ls also a way of keeplng ahead of the competltlon,
wherever lt may be. As a consequence, patents that used to
be economlcally valld for several years now have a shorter
llfespan. Developlng new products and reglsterlng new
patents every slx months or so ls an extremely labour- and
lnvestment-lntenslve exerclse whlch obllges companles to
lnnovate at a frenetlc rate. wlth the global recesslon,
companles are flndlng lt harder to malntaln thls pace.
Knowledge appropriation versus knowledge
diffusion
we now take a look at the opposlte varlable to patents, the
number of |nternet users. Thls varlable should enable us to
gauge whether easler access to lnformatlon and
knowledge has provlded opportunltles for a more rapld
dlffuslon of S&T. The data on |nternet usage ln Table 5 palnt
l3
|
n
t
r
o
d
u
c
t
l
o
n
Table 4: USPTO and Trladlc patent famllles by lnventor's reglon, 2002 and 2007
USPTO patents Triadic patents*
Total World share (%) Total World share (%)
2002 2007 2002 2007 2002 2006 2002 2006
World 167 399 156 667 100.0 100.0 56 654 47 574 100.0 100.0
Developed countrles l55 7l2 l4l l83 93.0 90.l 55 456 45 923 97.9 96.5
Developlng countrles l2 846 l7 344 7.7 ll.l l 579 2 l25 2.8 4.5
Least developed countrles l3 l3 0.0 0.0 4 l 0.0 0.0
Americas 92 579 85 155 55.3 54.4 25 847 20 562 45.6 43.2
North Amerlca 92 245 84 9l3 55.l 54.2 25 768 20 496 45.5 43.l
Latln Amerlca and the Carlbbean 450 355 0.3 0.2 ll5 l0l 0.2 0.2
Europe 31 046 25 387 18.5 16.2 17 148 13 249 30.3 27.8
Luropean Unlon 29 l78 23 850 l7.4 l5.2 l6 l85 l2 540 28.6 26.4
Commonwealth of |ndependent States ln Lurope 350 332 0.2 0.2 l5l 97 0.3 0.2
Central, Lastern and Other Lurope 2 l20 l 708 l.3 l.l l 203 958 2.l 2.0
Africa 151 134 0.1 0.1 47 48 0.1 0.1
South Afrlca l24 92 0.l 0.l 38 37 0.l 0.l
Other sub-Saharan countrles (excl. South Afrlca) l5 l6 0.0 0.0 3 3 0.0 0.0
Arab States ln Afrlca l2 26 0.0 0.0 6 9 0.0 0.0
Asia 47 512 50 313 28.4 32.1 15 463 15 197 27.3 31.9
1apan 35 360 33 572 2l.l 2l.4 l4 085 l3 264 24.9 27.9
Chlna 5 935 7 362 3.5 4.7 l60 259 0.3 0.5
|srael l l5l l 248 0.7 0.8 476 4ll 0.8 0.9
|ndla 323 74l 0.2 0.5 58 96 0.l 0.2
Commonwealth of |ndependent States ln Asla 6 9 0.0 0.0 3 l 0.0 0.0
Newly |ndustrlallzed Lconomles ln Asla 4 740 7 465 2.8 4.8 689 l l73 l.2 2.5
Arab States ln Asla 46 58 0.0 0.0 l5 l8 0.0 0.0
Other ln Asla (excl. 1apan, Chlna, |srael, |ndla) 80 48 0.0 0.0 l9 l8 0.0 0.0
Oceania 1 139 1 516 0.7 1.0 549 834 1.0 1.8
Other groupings
Arab States all 56 84 0.0 0.l 20 27 0.0 0.l
Commonwealth of |ndependent States all 356 340 0.2 0.2 l54 98 0.3 0.2
OLCD l59 320 l47 240 95.2 94.0 55 863 46 855 98.6 98.5
Luropean Pree Trade Assoclatlon 2 064 l 640 l.2 l.0 l l80 935 2.l 2.0
Sub-Saharan Afrlca (lncl. South Afrlca) l39 l08 0.l 0.l 4l 39 0.l 0.l
Selected countries
Argentlna 59 56 0.0 0.0 l2 l7 0.0 0.0
8razll l34 l24 0.l 0.l 46 46 0.l 0.l
Canada 3 895 3 806 2.3 2.4 962 830 l.7 l.7
Cuba 9 3 0.0 0.0 5 0 0.0 0.0
Lgypt 8 22 0.0 0.0 3 4 0.0 0.0
Prance 4 507 3 63l 2.7 2.3 2 833 2 208 5.0 4.6
Germany l2 258 9 7l3 7.3 6.2 6 5l5 4 947 ll.5 l0.4
|ran (|slamlc Pepubllc of ) ll 7 0.0 0.0 l 3 0.0 0.0
Mexlco l34 8l 0.l 0.l 26 l6 0.0 0.0
Pepubllc of Korea 3 868 6 424 2.3 4.l 523 l 037 0.9 2.2
Pusslan Pederatlon 346 286 0.2 0.2 l49 84 0.3 0.2
Turkey 2l 32 0.0 0.0 9 l0 0.0 0.0
Unlted Klngdom 4 506 4 007 2.7 2.6 2 44l 2 033 4.3 4.3
Unlted States of Amerlca 88 999 8l 8ll 53.2 52.2 25 034 l9 883 44.2 4l.8
`Data for 2006 are lncomplete and should be lnterpreted wlth cautlon.
Note: The sum of the numbers, and percentages, for the varlous reglons exceeds the total number, or l00%, because patents wlth multlple lnventors from
dlfferent reglons contrlbute fully to each of these reglons.
5outce: data from Unlted States Patents and Trademark Offlce (USPTO) and OLCD, complled for UNLSCO by the Canadlan Observatolre des sclences
et des technologles, Pebruary 2009
|||SO S|||| |||O| 2010
l4
a very dlfferent plcture to that for patents. we flnd that the
8P|C countrles and numerous developlng countrles are
catchlng up qulckly to the USA, 1apan and ma[or Luropean
countrles for thls lndlcator. Thls shows the cruclal
lmportance of the emergence of dlgltal communlcatlons
llke |nternet on the world dlstrlbutlon of S&T and, more
broadly, knowledge generatlon. The rapld dlffuslon of
|nternet ln the South ls one of the most promlslng new
trends of thls Mlllennlum, as lt ls llkely to brlng about a
greater convergence ln access to S&T over tlme.
A systemic perspective on the congruence of S&T
indicators
The concept of a natlonal lnnovatlon system was colned
by the late Chrlstopher Preeman ln the late l980s to
descrlbe the much broader congruence ln 1apanese
soclety between all sorts of lnstltutlonal networks ln both
'prlvate and publlc sectors whose actlvltles and
lnteractlons lnltlate, lmport, modlfy and dlffuse new
technologles' (Preeman, l987). The set of lndlcators
descrlbed above shed llght on some features of each
country's natlonal system of lnnovatlon. One should bear
ln mlnd, however, that sclence, technology and
lnnovatlon (ST|) lndlcators that were relevant ln the past
may be less relevant today and even mlsleadlng (Preeman
and Soete, 2009). Developlng countrles should not slmply
rely on adoptlng ST| lndlcators developed by, and for,
OLCD countrles but rather develop thelr own ST|
lndlcators (Tl[ssen and Hollanders, 2006). Afrlca ls
currently lmplementlng a pro[ect to develop, adopt and
use common lndlcators to survey the contlnent's progress
ln S&T vla the perlodlc publlcatlon of an Alt|con lnnovot|on
Outlool (see oe 299).
Plgure 5 lllustrates vlsually the dlfferent blases ln
countrles' natlonal lnnovatlon systems by matchlng four
lndlcators. At flrst slght, the US system appears to be the
most balanced: the US clrcles appear each tlme ln the
mlddle of the flgure. However, lts posltlon wlth respect to
human capltal ls weak and out of llne wlth the trend ln
other hlghly developed countrles: only 24.5% of the US
populatlon holds a tertlary degree, whereas ln Prance,
Germany or 1apan, for lnstance,the proportlon ls close to,
or greater than, 30%. One would expect the USA to
perform better on the tertlary educatlon axls, glven lts
performance for the lndlcators on the other axes. |t ls true
that the USA has some of the best unlversltles ln the
world but ranklngs llke that of Shanghal 1lao Tong
Unlverslty focus on research performance rather than the
Table 5: |nternet users per l00 populatlon, 2002 and 2008
2002 2008
World 10.77 23.69
Developed countrles 37.99 62.09
Developlng countrles 5.03 l7.4l
Less-developed countrles 0.26 2.06
Americas 27.68 45.50
North Amerlca 59.06 74.l4
Latln Amerlca and the Carlbbean 8.63 28.34
Europe 24.95 52.59
Luropean Unlon 35.29 64.58
Commonwealth of |ndependent States ln Lurope 3.83 29.77
Central, Lastern and Other Lurope l8.28 40.40
Africa 1.20 8.14
South Afrlca 6.7l 8.43
Other Sub-Saharan countrles (excl. South Afrlca) 0.52 5.68
Arab States ln Afrlca 2.ll l6.6l
Asia 5.79 16.41
1apan 46.59 7l.42
Chlna 4.60 22.28
|srael l7.76 49.64
|ndla l.54 4.38
Commonwealth of |ndependent States ln Asla l.72 l2.30
Newly |ndustrlallzed Lconomles ln Asla l5.05 23.47
Arab States ln Asla 4.05 l5.93
Other ln Asla (excl. 1apan, Chlna, |srael, |ndla) 2.l9 ll.5l
Oceania 43.62 54.04
Other groupings
Arab States all 2.8l l6.35
Commonwealth of |ndependent States all 3.28 24.97
OLCD 42.25 64.03
Luropean Pree Trade Assoclatlon 66.08 78.l7
Sub-Saharan Afrlca (lncl. South Afrlca) 0.94 5.86
Selected countries
Argentlna l0.88 28.ll
8razll 9.l5 37.52
Canada 6l.59 75.53
Cuba 3.77 l2.94
Lgypt 2.72 l6.65
Prance 30.l8 70.68
Germany 48.82 77.9l
|ran (|slamlc Pepubllc of ) 4.63 3l.37
Mexlco l0.50 2l.43
Pepubllc of Korea 59.80 8l.00
Pusslan Pederatlon 4.l3 32.ll
Turkey ll.38 34.37
Unlted Klngdom 56.48 78.39
Unlted States of Amerlca 58.79 74.00
5outce: |nternatlonal Telecommunlcatlons Unlon, world
telecommunlcatlons / |CT lndlcators database, 1une 20l0, and UNLSCO
|nstltute for Statlstlcs estlmatlons, Unlted Natlons Department of
Lconomlc and Soclal Affalrs (2009) wotlJ Poulot|on Ptosects: the 2008
kev|s|on, and UNLSCO |nstltute for Statlstlcs estlmatlons
quallty of educatlon. |n sum, the USA ls rellant on a vast
lnflow of forelgn researchers and other hlghly skllled
people to drlve the economy.
l5
|
n
t
r
o
d
u
c
t
l
o
n
1apan provldes a contrast. |t clearly lags behlnd other
hlghly developed countrles ln terms of sclentlflc
publlcatlons and GDP per caplta. |ts lnnovatlon system
appears weak when lt comes to translatlng the country's
blg lnvestment ln human research capltal and P&D lnto
sufflclent sclentlflc and economlc value. The UK suffers
from exactly the opposlte problem: lts performance ln
terms of sclentlflc publlcatlons and economlc wealth
creatlon ls by far superlor to lts lnvestment ln human
research capltal and P&D. Pussla, on the other hand,
shlnes when lt comes to lnvestment ln human capltal
but falls on all other counts. Chlna ls stlll typlcally ln a
catchlng-up phase: lts heavy lnvestment ln P&D has as
yet not pald off but, of course, lts economlc structure
remalns domlnated by non-technology-lntenslve
actlvltles.
Figure 5. The systemlc matchlng between key S&T lndlcators
5electeJ countt|es onJ te|ons
Note: 7he s|ze ol the c|tcles tellects the oulot|on s|ze lot eoch countty ot te|on stuJ|eJ.
5outce: UNU-MLP|T based on data from the UNLSCO |nstltute for Statlstlcs and world 8ank
India Africa USA Brazil Russia Japan Germany France UK Rep. of Korea China
0 10000 20000 30000 40000 50000 -1200 -1000 -800 -600 -400 -200 0
0
10
20
30
40
50
60
-3.5
-3.0
-2.5
-2.0
-1.5
-1.0
-0.5
0
Tertiary
education
P
u
b
l
i
c
a
t
i
o
n
s
R&D
G
D
P

p
e
r

c
a
p
i
t
a
|||SO S|||| |||O| 2010
l6
The natlonal blases ln Plgure 5 also polnt to some of the
lmpllcatlons for countrles of the lnternatlonal mlgratlon of
researchers and more broadly human capltal. |t ls not
surprlslng that there wlll be a lot of emlgratlon from a country
llke Pussla and a lot of lmmlgratlon towards the USA, glven
the current blases ln thelr natlonal lnnovatlon systems.
|S || |ObA| |O|OV| |||SS|O|
bA| |O| ||O\|||| ||A|O|`
The global recesslon ls llkely to have had a severe lmpact
on lnvestment ln knowledge across the globe. Many of the
knowledge lndlcators descrlbed for 2007 and earller may
have been affected ln the process and, hence, could not
rellably predlct the sltuatlon ln 2009 or 20l0. P&D budgets,
especlally, tend to be vulnerable to cutbacks ln tlmes of
crlsls. Patents and publlcatlons wlll ln turn be affected by
the drop ln P&D expendlture but thls wlll probably occur ln
the longer run and affect sclentlflc output less dlrectly,
owlng to plpellne effects that smother sharp fluctuatlons.
As for trends ln educatlon of the labour force, thls sector
tends to be less affected by short-term dlstortlons.
There are a couple of short-term lndlcators whlch mlght
shed some llght on the lmpact of the recesslon thus far.
Here, we use the OLCDs composlte leadlng lndlcator
(CL|), whlch ls avallable on short notlce. Thls lndlcator uses
monthly (de-trended) data on lndustrlal productlon as a
proxy for economlc actlvlty. |t ls a leadlng lndlcator
because lndustrlal productlon recovers early ln an
economlc cycle. A turnlng polnt ln the CL| slgnals that a
turnlng polnt ln the buslness cycle can be expected wlthln
6-9 months. Chlna showed a turnlng polnt as early as
November 2008 and, consequently, an upturn ln the
buslness cycle ln May-August 2009, as expected.
Figure 6. |ndustrlal productlon ln the 8P|C countrles, USA and Luro zone, 2006-20l0
80
100
120
2006 2007 2008 2009 2010
104.3
103.1
102.7
102.2
101.0
100.9
101.7
101.7
101.6
101.6
101.3
98.0
USA
Euro zone (16 countries)
China
Russia
Brazil
India
J M M J S N J M M J S N J M M J S N J M M J S N J M M
5outce: OLCD, Composlte Leadlng |ndlcators (Amplltude ad[usted serles): http://stats.oecd.org/|ndex.aspx!DatasetCodeML|_CL|
l7
we can also lnterpret from the lnformatlon ln Plgure 6
that 8razll was l0% above lts long-term level for
lndustrlal productlon ln 2007 before falllng brutally to
about 85% of thls value ln the flrst month of 2009.
|ndustrlal productlon ln |ndla and the Luro zone only
stumbled, falllng from around l03% to 90%. Pecovery ls
expected to be strong enough to ralse the level of
lndustrlal productlon above lts long-term trend level.
However, the data for the most recent months (1une
20l0) reveal that the rate of recovery ls slowlng down,
ralslng concerns about a posslble double dlp.
|n short, we can say that, between October 2008 and
March 2009, the flrst slgns of recovery appeared. Asla ln
general and Chlna ln partlcular were the flrst to recover.
|t ls unllkely that P&D expendlture ln Chlna has been
affected by the global economlc recesslon because
lndustrlal productlon fell only 7% below lts long-term
trend value for a relatlvely short perlod. Moreover,
clrcumstantlal evldence on flrms provlded by the LU's
P&D lnvestment scoreboard ln 2009 shows that Chlna's
P&D effort ln 2008 actually lncreased, at least ln
telecommunlcatlons. There ls no reason to assume that
2009 and 20l0 wlll be much dlfferent, slnce Chlna's
economy grew by more than 7% even ln 2007 and
2008.
Por 8razll and |ndla, on the other hand, lt ls llkely that
thelr total P&D effort wlll come under pressure ln 2008
and 2009, due to the relatlvely low level of lndustrlal
productlon over a prolonged perlod of tlme. |n fact,
between 1uly 2008 and March 20l0, lndustrlal
productlon remalned below lts long-term trend level.
On a brlghter note, these countrles have been catchlng
up to the developed countrles ln terms of GLPD for
several years now. One mlght therefore expect more of a
lull ln these countrles' rlslng P&D lntenslty than a
slgnlflcant drop.
As for the world's largest P&D-lntenslve flrms,
clrcumstantlal evldence for 2009 reveals that the ma[orlty
of the blg P&D spenders ln the USA cut thelr P&D
expendlture by 5-25% that year, whlle a mlnorlty
lncreased spendlng by 6-l9%. Overall though, the USA
and LU are most llkely to keep thelr total P&D lntenslty at
around 2007 levels. Thls means that both GDP and P&D
expendlture wlll decllne by equal shares, thereby keeplng
P&D lntenslty more or less constant over the year 2009-
20l0 (8attelle, 2009).
|
n
t
r
o
d
u
c
t
l
o
n
A |OS|| |OO| A ||||\|||A|
O|||||S A|| |||O|S
The cholce of countrles and reglons ln the uNl5CO
5c|ence keott 2010 nlcely reflects the heterogenelty
of S&T around the world, from the hlghly developed
OLCD natlons to the four large emerglng 8P|C
countrles and the large number of developlng
countrles whlch are playlng a growlng role ln the
global research effort. Here, we summarlze the most
lnslghtful concluslons emerglng from the reglonal
and country studles ln Chapters 2 to 2l.
|n the United States of America (Chapter 2), P&D has
prospered over the past flve years and contlnues to be
an absolute government prlorlty. A good example ls
the fundlng for the Natlonal Sclence Poundatlon,
whlch doubled at the request of the 8ush
admlnlstratlon ln 2007 and ls set to double agaln
under the Obama admlnlstratlon. Although the
recesslon born of the subprlme crlsls hlt the economy
hard ln 2009 and 20l0, unlversltles and research
centres have contlnued to recelve generous fundlng
from both publlc funds and prlvate endowments and
lndustrlal funds.
whereas the Obama admlnlstratlon lncluded a
slgnlflcant one-off lnvestment ln ST| that also
beneflted P&D ln the second stlmulus package
towards the end of 2009, there ls now a clear rlsk that
any lncrease ln federal fundlng wlll be offset by
reductlons ln fundlng by both state governments
and prlvate funds. Notwlthstandlng thls, one
lmportant commltment by the Obama
admlnlstratlon ls to lncrease GLPD from 2.7% to 3%
of GDP. The admlnlstratlon ls emphaslzlng energy
P&D, especlally clean energy.
Unllke publlc research, lndustrlal P&D appears to
have been hlt relatlvely hard by the recesslon wlth a
large number of researchers belng lald off. Among
the blggest P&D spenders have been the
pharmaceutlcal lndustrles, badly affected by the
recesslon. |n fact, the chapter notes that the
pharmaceutlcal lndustry was already showlng slgns
of stress before the recesslon, as the huge
lnvestment made ln P&D does not appear to have
resulted ln many 'blockbuster' drugs recently.
|||SO S|||| |||O| 2010
l8
The US unlverslty system stlll leads the world when lt
comes to research: ln 2006, 44% of all S&T artlcles
publlshed ln [ournals lndexed ln the SC| lncluded at
least one US-based author. Purthermore, of the top
25 lnstltutlons ranked by the Shanghal 1lao Tong
Unlverslty's |nstltute of Hlgher Lducatlon ln 2008,
l9 were based ln the USA.
Canada (Chapter 3) has been less affected by the
global economlc recesslon than elther the USA or
Lurope, thanks to lts strong banklng system and a
real-estate market that avolded many of lts
nelghbour's excesses. Purthermore, low lnflatlon
coupled wlth lncome from Canada's abundant natural
resources have cushloned the lmpact of the global
recesslon on the country's economy.
|n March 20l0, the federal government commltted to
lnvestlng ln a range of new measures to foster
research over the perlod 20l0-20ll. These lnclude
postdoctoral fellowshlps, as well as more general
research fundlng for grant counclls and reglonal
lnnovatlon clusters. A conslderable share of thls
fundlng goes towards research on partlcle and nuclear
physlcs, as well as next-generatlon satelllte
technology. wlth the USA next door, Canada cannot
afford to be complacent.
Steady lnvestment ln P&D appears to be paylng off:
between 2002 and 2008, the number of Canadlan
sclentlflc publlcatlons ln the SC| grew by nearly
l4 000. However, lf Canada can boast of a dynamlc
academlc sector and generous publlc spendlng on
ST| and P&D, many buslnesses have not yet
asslmllated a 'knowledge creatlon' culture. Canada's
productlvlty problem ls flrst and foremost a buslness
lnnovatlon problem. The result of the poor P&D
performance ln buslness ls that academlc research
often appears to be a surrogate for lndustrlal P&D.
The federal government has set out to foster publlc-
prlvate partnershlps recently vla two successful
lnltlatlves: an agreement between the federal
government and the Assoclatlon of Canadlan
Unlversltles and Colleges to double the volume of
research and trlple the number of research results
whlch are commerclallzed, and the Network of
Centres of Lxcellence, whlch now total l7 across the
country.
Chapter 4 on Latin America notes a perslstent and
glarlng lncome gap between rlch and poor across the
contlnent. ST| pollcles could play an lmportant role ln
reduclng lnequallty. However, lt ls provlng dlfflcult to
establlsh tles between ST| pollcles on the one hand
and soclal pollcles on the other. The structural
condltlons prlor to the global recesslon were
partlcularly favourable to reform, ln that they
comblned polltlcal stablllty wlth the longest perlod of
strong economlc growth (2002-2008) that the reglon
had seen slnce l980, thanks to a boomlng global
commodltles market.
Several Latln Amerlcan countrles have lmplemented
an array of pollcles to foster lnnovatlon, ln partlcular
Argentlna, 8razll and Chlle. However, desplte there
belng about 30 types of ST| pollcy lnstruments ln use
across the reglon, natlonal lnnovatlon systems
remaln weak. Thls ls the case even among such keen
proponents of ST| pollcles as 8razll and Chlle. The
ma[or stumbllng block ls the lack of llnkages
between the dlfferent actors of the natlonal
lnnovatlon system. Por lnstance, good research
comlng out of the local academlc sector does not
tend to be plcked up and used by the local
productlve sector. More generally, P&D lnvestment
remalns low and bureaucracles lnefflclent. Tralnlng
and bulldlng a crltlcal mass of hlghly skllled
personnel has become another burnlng lssue.
The economlc recesslon has generated an
employment crlsls that may well exacerbate poverty
ln the reglon and thus further lncrease the tenslon
between ST| pollcy and speclallzatlon, on the one
hand, and poverty allevlatlon and soclal pollcles on
the other.
Brazil (Chapter 5) experlenced a boomlng economy ln
the years leadlng up to the global recesslon. Such a
healthy economy should be conduclve to buslness
lnvestment. However, patent numbers remaln low and
P&D actlvltles slugglsh ln the buslness sector, leavlng
most of the fundlng effort to the publlc sector (55%).
|n addltlon, the ma[orlty of researchers are academlcs
(63%) and the 8razlllan economy ls lncreaslngly
sufferlng from a shortage of PhD graduates.
Pesearchers also remaln unevenly spread across the
country wlth natlonal output belng domlnated by a
handful of top unlversltles.
l9
The federal government ls consclous of the problem.
|n 2007, lt adopted a Plon ol Act|on |n 5c|ence,
7echnoloy onJ lnnovot|on lot 8toz|l|on 0eveloment
(2007-20l0) whlch sets out to ralse P&D expendlture
from l.07% of GDP ln 2007 to l.5% of GDP ln 20l0.
Another target ls to augment the number of
scholarshlps and fellowshlps avallable to unlverslty
students and researchers from l02 000 ln 2007 to
l70 000 by 20ll. One key ob[ectlve ls to nurture an
lnnovatlon-frlendly envlronment ln flrms by
strengthenlng lndustrlal, technologlcal and export
pollcles, and lncreaslng both the number of actlve
researchers ln the prlvate sector and the number of
buslness lncubators and technoparks.
Cuba (Chapter 6) ls a partlcularly lnterestlng case
study. Cuba's human development ls among the
hlghest ln the reglon, on a par wlth Mexlco. |n terms
of overall spendlng on S&T, however, lt has sllpped
below the reglonal mean, the consequence of a
sllghtly lesser effort on Cuba's part and, above all, a
greater commltment to S&T across Latln Amerlca.
8uslness fundlng ln Cuba has halved ln recent years
to [ust l8% of GLPD.
Cuban enrollment ln hlgher educatlon ls lmpresslve,
on the other hand, wlth flrst-year student rolls havlng
doubled between 2004-2005 and 2007-2008, thanks
largely to a surge ln medlcal students. what ls more,
ln 2008, 53.5% of S&T professlonals were women.
Many ST| professlonals work ln publlc research
lnstltutes across the country, although the low
number of researchers among P&D personnel (7%)
ls troubllng.
The research strategy ln Cuba ls centred around a
number of Natlonal Pesearch Programmes ln
Sclence and Technology. A recent programme
focuslng on |CT managed to lncrease |nternet access
from 2% of the populatlon ln 2006 to nearly l2% a
year later. Although Cuba ls known for the
development and productlon of pharmaceutlcals,
other prlorltles are emerglng. These lnclude energy
P&D and dlsaster monltorlng and mltlgatlon, ln llght
of the threat of stronger hurrlcanes, droughts, coral
bleachlng and floodlng ln future as a consequence
of cllmate change. Cuba has begun modernlzlng lts
research lnfrastructure, notably lts meteorologlcal
servlces.
|
n
t
r
o
d
u
c
t
l
o
n
The countrles of the Caribbean Common Market
(Chapter 7) have suffered acutely from the peak ln
lnternatlonal food and commodlty prlces ln recent
years. 1amalca, for lnstance, spent more on
petroleum lmports ln 2007 than the total value of lts
exports. Thls sltuatlon has been exacerbated by the
global recesslon, whlch has hlt the cruclal tourlst
lndustry hard.
Two of the reglon's largest countrles, 1amalca and
Trlnldad and Tobago, have now put together long-
term development plans (v|s|on 2030 and v|s|on 2020,
respectlvely) that emphaslze the lmportance of ST|
for development. Lxpendlture on P&D remalns
dlsmally low, however, and prlvate P&D morlbund.
Only the hlgher educatlon sector ls boomlng: two
new unlversltles have been establlshed slnce 2004 on
the lsland of Trlnldad and the lntroductlon of free
tertlary educatlon ln Trlnldad and Tobago ln 2006
caused student enrollment rates to rlse overnlght.
However, the leap ln the student populatlon has not
been matched by a proportlonate lncrease ln
academlc staff numbers, puttlng research under
straln. The reglon has great expectatlons for the
Carlbbean Sclence Poundatlon launched ln
September 20l0 to revltallze P&D.
As Chapter 8 on the European Union (EU) hlghllghts,
the LU ls lncreaslngly a heterogeneous group of
countrles. Although the new member states are
catchlng up ln economlc terms, there remalns a
yawnlng gap between the rlchest and poorest
member states. when lt comes to lnnovatlon, however,
thls heterogenelty knows no borders. Peglons wlthln a
country that perform partlcularly well ln lnnovatlon are
dotted across the LU rather than belng conflned to the
older (and rlcher) member states.
Although the LU ls the undlsputed world leader for
publlcatlons recorded ln the SC|, lt ls struggllng to
lncrease expendlture on P&D and develop
lnnovatlon. Thls ls vlslble ln lts lnablllty to meet both
the Llsbon and 8arcelona targets of ralslng GLPD to
3% of GDP by 20l0. Another lssue member states are
struggllng wlth across the LU concerns the
lnstltutlonal reforms of the unlverslty system. The
dual challenge here ls to lmprove the quallty of
research and revltallze the LU's poorly funded
lnstltutlons of hlgher educatlon.
|||SO S|||| |||O| 2010
20
On a more posltlve note, what sets the LU apart from
many other reglons ls lts wllllngness to acknowledge
that lt can only lmprove lts performance ln ST| and P&D
by poollng the capabllltles of member states. Thls
attltude has spawned a number of multllateral
Luropean agencles and programmes. These vary from
large research organlzatlons llke the Luropean
Organlzatlon for Nuclear Pesearch (CLPN) where
lndlvldual countrles collaborate on the LU's Pramework
Programmes for Pesearch and Technologlcal
Development to the 1olnt Technology |nltlatlve and
LUPLKA, deslgned to stlmulate research ln lndustry.
A number of new LU organlzatlons have been set up,
or are ln the process of belng set up, lncludlng the
Luropean Sclence Poundatlon and Luropean |nstltute
of |nnovatlon and Technology, as well as fundlng
agencles llke the Luropean Pesearch Councll.
Untll the global economlc recesslon hlt ln late 2008, all
countrles ln Southeast Europe (Chapter 9) were
growlng at an average rate of around 3% a year.
However, the reglon ls partlcularly heterogeneous ln
terms of lts soclo-economlc development, wlth a ten-
fold dlfference between the rlchest (such as Greece and
Slovenla) and poorest (Moldova) countrles. whereas the
most advanced countrles are lmplementlng LU-focused
strategles wlth an emphasls on lnnovatlon, the stragglers
are stlll at the stage of attemptlng to deslgn or
lmplement a baslc S&T pollcy and establlsh an P&D
system. Two of the smaller countrles are, of course, stlll ln
thelr lnfancy: Montenegro only galned lndependence ln
2006 and Kosovo ln 2008.
Today, demand for P&D and skllled personnel
remalns low ln all but Slovenla, desplte a growlng
number of tertlary graduates. Two reasons for the
lack of demand for P&D are the small slze of flrms
and thelr lack of capaclty. Por the non-LU members
ln the reglon, Luropean lntegratlon represents the
only vlable pro[ect for ensurlng soclal and polltlcal
coherence. wlthout strong ST| pollcles, the reglon ls
ln danger of falllng further behlnd the rest of Lurope.
Turkey (Chapter l0) has been emphaslzlng ST| pollcles ln
recent years. 8etween 2003 and 2007, GLPD more than
doubled and buslness expendlture on P&D grew by 60%.
Domestlc patent flllngs and grants also rose more than
four-fold from 2002 to 2007. |t ls the prlvate sector that
has been drlvlng economlc growth slnce 2003.
A number of pollcy measures have been put ln place
to support ST|. These lnclude the v|s|on 2023 Pro[ect
ln 2002-2004, the launch of the Turklsh Pesearch
Area ln 2004 and a ma[or flve-year lmplementatlon
plan for the Not|onol 5c|ence onJ 7echnoloy 5ttotey
(2005-20l0). The N|nth 0eveloment Plon (2007-
20l3) has llkewlse focused on ST| as a bulldlng block
for Turkey.
However, challenges remaln. The v|s|on 2023 Pro[ect
was a technology foreslght exerclse but lt has
unfortunately not spawned any pollcy lnltlatlves to
bulld capaclty ln prlorlty technology areas. Moreover,
the denslty of researchers remalns poor and
enrollment ln tertlary educatlon ls lower than for
countrles wlth a slmllar lncome. Turkey also has an
underdeveloped venture capltal market and an
lnsufflclent number of hlgh-growth flrms. The
government has lntroduced a number of measures
to stlmulate prlvate-sector P&D, foster unlverslty-
lndustry collaboratlon and develop lnternatlonal
co-operatlon ln P&D. These measures lnclude tax
lncentlves for technoparks, of whlch there were
l8 ln 2008.
The Russian Federation (Chapter ll) had been
experlenclng an economlc boom ln the years before
the severe economlc downturn towards the end of
2008. Thls was largely due to hlgh oll prlces, an lnltlal
weak currency and strong domestlc demand. 8oth
consumptlon and lnvestment were hlgh. The country
reacted to the crlsls by adoptlng an extenslve recovery
package but lt ls feared that thls package may
lncrease the government's tendency to lntervene
dlrectly ln the economy rather than furtherlng the
klnd of lnstltutlonal reform needed to brlng about
modernlzatlon, especlally as regards ST| pollcy.
wlthout such lnstltutlonal reforms, the natlonal
lnnovatlon system wlll contlnue to suffer from poor
llnkages between the dlfferent actors. Currently, there
ls a lack of co-ordlnatlon across departments,
a hlgh level of admlnlstratlve complexlty and poor
llnkages between sclence, academla and lndustry.
These factors all act as barrlers to co-operatlon and
lnnovatlon. A notable feature ls the lmbalance
between the country's ST| performance and the
growlng mass of flnanclal resources dedlcated to
P&D but [ealously guarded wlthln publlc research
2l
|
n
t
r
o
d
u
c
t
l
o
n
lnstltutlons where they are out of reach for lndustry
and unlversltles. As a result, unlversltles play a mlnor
role ln new knowledge creatlon: they contrlbute [ust
6.7% of GLPD, a stable flgure for the past two decades,
and only one ln three unlversltles performs P&D,
compared to half ln l995. Prlvate unlversltles hardly
perform any research at all. The hlgher educatlon
system has undergone wldespread reform ln recent
years wlth the lntroductlon of bachelor's and masters
programmes whlch now cohablt wlth the Sovlet
degree system. 8y 2009, more than half of unlverslty
staff held the equlvalent of a PhD.
ST| pollcles need to allow for greater academlc moblllty
and co-operatlon, they also need to lay the groundwork
for a radlcal modernlzatlon of the professlonal tralnlng
of sclentlsts and englneers. The latter polnt ls all the
more urgent ln llght of the country's agelng research
populatlon: 40% are above the offlclal retlrement age.
8oostlng support for unlverslty research has become
one of the most lmportant strateglc orlentatlons of ST|
and educatlon pollcles ln Pussla. Slnce 2006, the
Natlonal Prlorlty Pro[ect for Lducatlon and a follow-up
programme have provlded 84 unlversltles consldered
to be centres of excellence wlth an addltlonal
US$ 30 mllllon each approxlmately to promote human
resource development, hlgh-quallty P&D and
educatlonal pro[ects, as well as permlt the acqulsltlon
of research equlpment.
No country ln Central Asia (Chapter l2) devotes
more than 0.25% of GDP to P&D. Thls ls even the case
for Kazakhstan and Uzbeklstan, the countrles wlth
the most developed sclence systems. Other concerns
are the agelng 'Sovlet-generatlon' research
populatlon and an lnadequate legal framework
whlch ls partly responslble for the low level of
lnnovatlon by sclentlflc organlzatlons and prlvate
enterprlses.
ST| pollcy lnltlatlves ln the reglon lnclude the
|ntellectual Natlon 2020 programme unvelled ln
Kazakhstan ln 2009. |t plans to develop a network
of schools ln natural and exact sclences for glfted
puplls and to ralse GLPD to 2.5% of GDP by 2020.
Kazakhstan can already count on several technoparks.
Ta[lklstan has also adopted a plan for S&T coverlng
2007-20l5. As for Turkmenlstan, lt has also wltnessed
a revlval of sclence slnce 2007, after research was
vlrtually shut down for many years under the
prevlous presldency. |n Uzbeklstan, a key measure
has been the establlshment of a Commlttee for the
Co-ordlnatlon of the Development of Sclence and
Technology ln 2006. After ldentlfylng seven prlorlty
areas for P&D, the commlttee lnvlted unlversltles and
sclentlflc organlzatlons to submlt research proposals
wlthln a competltlve blddlng process. 8y the end of
20ll, some l098 pro[ects wlll have been
lmplemented wlthln 25 broad research programmes
ln baslc and applled research and experlmental
development.
Chapter l3 on the Arab States analyses the reasons
for the lack of a natlonal S&T strategy or pollcy ln
most Arab states, although all have sectoral pollcles
for agrlculture, water, energy and so on. Lven where
S&T strategles exlst, lnnovatlon tends to be absent
from these, prlmarlly due to weak llnkages between
publlc and prlvate P&D. However, 8ahraln, Morocco,
Qatar, Saudl Arabla, Tunlsla, the Unlted Arab Lmlrates,
followed more recently by 1ordan and Lgypt, are
tackllng thls lssue by settlng up sclence parks.
S&T pollcles and strategles are also beglnnlng to
emerge. Saudl Arabla adopted a natlonal plan for S&T
back ln 2003 and, ln 2006, Qatar lmplemented a flve-
year plan to lncrease GLPD to 2.8% (from 0.33%). The
planned submlsslon of an S&T strategy for the entlre
Arab reglon to the Arab summlt ln 20ll for adoptlon
ls another promlslng slgn. The future plan ls expected
to address the lmportant lssue of facllltatlng the
moblllty of sclentlsts wlthln the reglon and to
enhance collaboratlve research wlth the slzeable
communlty of expatrlate Arab sclentlsts. |t ls also
expected to propose both natlonal and pan-Arab
lnltlatlves ln about l4 prlorlty areas, lncludlng water,
food, agrlculture and energy. The plan may also
recommend the launch of an onllne Arab S&T
observatory, as a key to lmplementlng measures at
the country level wlll lle ln flrst ldentlfylng some of
the natlonal challenges that Arab countrles face.
Also promlslng ls the number of funds for ST| set up ln
the reglon ln recent years. These lnclude the 2008
LU-Lgypt |nnovatlon Pund and two natlonal funds:
the Mohammed bln Pashld Al Maktoum Poundatlon ln
the Unlted Arab Lmlrates (2007) and the Mlddle Last
Sclence Pund ln 1ordan (2009).
|||SO S|||| |||O| 2010
22
Chapter l4 on sub-Saharan Africa hlghllghts the
move by a growlng number of Afrlcan countrles to
enhance thelr S&T capaclty as part of poverty
allevlatlon strategles. |n 2008 alone, l4 countrles
requested UNLSCO's asslstance wlth sclence pollcy
revlews. Although GDP per caplta rose ln the
ma[orlty of Afrlcan countrles between 2002 and
2008, lt remalns low by world standards, a factor
whlch has an lmpact on lnvestment ln ST|. Moreover,
GLPD stlll attracts less publlc fundlng than the
mllltary, health or educatlon sectors. South Afrlca ls
the only country whlch comes close to the l% mark
for P&D lntenslty (0.93% ln 2007).
South Afrlca also domlnates sclentlflc publlcatlons,
representlng a 46.4% of the sub-contlnent's share, far
ahead of the two next most prollflc countrles, Nlgerla
(ll.4%) and Kenya (6.6%). Of note ls that the number
of artlcles recorded ln the SC| has progressed for all
sub-Saharan countrles, even lf only l7 could count
more than l00 artlcles ln thls database ln 2008.
A ma[or challenge ls the low llteracy rate and poor
quallty of educatlon, even lf both llteracy and
enrollment rates have cllmbed ln the past decade. To
address these lssues, the Afrlcan Unlon lssued a Plon
ol Act|on lot the 5econJ 0ecoJe ol lJucot|on lot Alt|co
ln 2006. Another ma[or challenge ls braln draln: at
least one-thlrd of all Afrlcan researchers were llvlng
and worklng abroad ln 2009. A growlng number of
countrles are tackllng the root cause of thls problem
by ralslng the salarles of academlcs and provldlng
other lncentlves. Cameroon, for lnstance, used the
wrltlng-off of part of lts debt to create a permanent
fund ln early 2009 whlch trlpled the salarles of
academlcs overnlght. The number of academlcs
appears to have already swelled by about one-thlrd
and the volume of sclentlflc artlcles produced by
state unlversltles has llkewlse rlsen.
Plve years after the adoptlon of Alt|cos 5c|ence onJ
7echnoloy Consol|JoteJ Plon ol Act|on (CPA) coverlng
the perlod 2008-20l3, progress has been made ln
blosclences and water research and the flrst set of
pan-Afrlcan P&D statlstlcs ls due to be dellvered ln
20l0. Concern has been volced ln some quarters,
however, at the rate of progress. The CPA ls lntended
to act as a framework for channelllng greater funds
lnto S&T across the contlnent but, flve years on, the
proposed mechanlsm for channelllng thls fundlng,
the Afrlcan Sclence and |nnovatlon Paclllty, has not
yet materlallzed.
South Asia (Chapter l5) has en[oyed reasonably
good growth rates ln the past few years and not
suffered unduly from the global recesslon, wlth the
notable exceptlon of Paklstan whlch has seen lts
growth rates drop from 6.8% ln 2007 to 2.7% ln
2009. Paklstan ls the country that spends the most
on P&D (0.67% of GDP ln 2007), |T and hlgher
educatlon of the countrles under study, whlch do
not lnclude |ndla and |ran. However, most P&D
fundlng ln Paklstan ls consumed by the mllltary
sector (60%).
The reglon suffers from a lack of lnvestment ln ST|.
Moreover, there ls a lack of llnkages between publlc
and prlvate actors and no unlverslty-lndustry
collaboratlon to speak of. |t ls noted ln the chapter
that, overall, Paklstan, 8angladesh and Srl Lanka seem
better at produclng baslc knowledge than
commerclallzlng lt. |t wlll be lnterestlng to follow the
fortunes of the Srl Lanka |nstltute of Nanotechnology,
whlch was set up ln 2008 wlthln a [olnt venture
between the Natlonal Sclence Poundatlon and
domestlc corporate glants that lnclude 8rlndlx,
Dlalog and Hayleys. The new lnstltute professes to
take 'an lndustry-focused approach'.
|n addltlon to the lack of lnnovatlon, South Asla
suffers from low levels of llteracy and educatlon.
Governments face the dual challenges of wldenlng
access whlle slmultaneously maklng the educatlon
system relevant to the natlonal economy. They are
aware of the task at hand: Afghanlstan, 8angladesh,
Paklstan and Srl Lanka are all at varlous stages of
hlgher educatlon reform. Portunately, they can count
on several hlgh-quallty academlc lnstltutlons ln the
reglon.
Iran (Chapter l6) ls heavlly rellant on lts oll lndustry,
whlch currently accounts for four-flfths of GDP.
Thls sltuatlon welghs heavlly on the country's
ST| pollcles, slnce these are not a prlorlty for
generatlng future prosperlty. wlth research belng
funded mostly (73%) out of the publlc purse and
wlth an lnterventlonlst government pursulng lts own
prlorltles, P&D tends to be focused on nuclear
23
technology, nanotechnology, satelllte launchlng and
stem cell research. Pollcy research bears llttle
relevance to natlonal lssues and remalns cut off from
soclo-economlc realltles.
The most recent document outllnlng |ran's strategy
for S&T ls enshrlned ln the loutth 0eveloment Plon
(2005-2009). |t focuses malnly on lmprovlng the
unlverslty system at a tlme of strong demand for
hlgher educatlon: 8l 000 students graduated ln
2009, compared to l0 000 nlne years earller.
India (Chapter l7) ls one of the world's fastest-
growlng economles, alongslde Chlna. Havlng been
relatlvely spared by the global recesslon, lt ls
pursulng a path of rapld growth. The past few years
have seen a rlse ln prlvate lnvestment ln P&D, wlth
the ma[orlty of new companles belonglng to
knowledge-lntenslve sectors. A growlng number of
forelgn companles are also establlshlng P&D centres
on |ndlan soll. Most of these forelgn centres focus on
|CTs. |n fact, |ndla has become the world's leadlng
exporter of |T servlces. Aerospace exports are also
growlng by 74% a year. Meanwhlle, ma[or |ndlan
companles llke Tata have been lnvestlng ln hlgh-tech
companles abroad, ln pursult of technology.
|n 2003, the government commltted to ralslng
overall research expendlture from 0.8% to 2% of GDP
by 2007. Although GLPD had only attalned 0.88% of
GDP ln 2008, thls target sent a clear slgnal that publlc
pollcy was focuslng on P&D. Moreover, the lleventh
l|ve-eot Plon to 20l2 not only emphaslzes
lnnovatlon but also foresees a masslve outlay on ST|
vla a budgetary lncrease of 220%.
There ls a general trend ln |ndla towards recognlzlng
the '|' ln ST| ln both the pollcy and buslness sectors.
Moreover, the adoptlon of the |ndlan Patent Act ln
2005 to brlng |ndla lnto compllance wlth the TP|PS
agreement has not caused the domestlc
pharmaceutlcal lndustry to slump, contrary to
predlctlons. The pharmaceutlcal lndustry ls
flourlshlng, even lf the domlnatlon of forelgn flrms ln
patents contlnues to cast a shadow. Another
challenge ls the steady flow of hlghly skllled people
out of |ndla and out of domestlc flrms unable to
compete wlth the advantages offered by thelr |ndla-
based forelgn rlvals. The blggest challenge of all,
|
n
t
r
o
d
u
c
t
l
o
n
however, wlll be for |ndla to lmprove both the
quantlty and quallty of |ndlan S&T personnel.
The central government's declslon to create
30 unlversltles across the country, lncludlng
l4 world-class lnnovatlon unlversltles, augurs
well for the future.
China (Chapter l8) has made great strldes ln
economlc development ln the past decade wlth
conslstently lmpresslve growth rates. |n August 20l0,
Chlna even overtook 1apan to become the second-
largest natlonal economy ln the world. |ts P&D
lntenslty has also been multlplled by a factor of slx.
Today, only the USA publlshes more sclentlflc artlcles,
although the lmpact factor of Chlnese artlcles ln the
SC| remalns much lower than for the Trlad, Chlna
flgurlng [ust behlnd the Pepubllc of Korea and on a
par wlth |ndla for cltatlons of sclentlflc papers.
The government has lssued a number of key pollcles
ln the past four years to malntaln a hlgh growth rate
and become an lnnovatlon-drlven natlon by 2020,
the ambltlous target of the Outl|ne ol the VeJ|um-
onJ lon-tetm Plon for Not|onol 5c|ence onJ
7echnoloy 0eveloment adopted ln 2005. The maln
mechanlsms lnclte enterprlses to lnvest more ln
lnnovatlon and Chlnese researchers to return home
from abroad. The government also plans to recrult
2000 forelgn experts over the next 5 -l0 years to
work ln natlonal laboratorles, leadlng enterprlses
and research lnstltutes, as well as ln a number of
unlversltles. Another target ls to ralse the GLPD/GDP
ratlo from l.5% to 2.5% by 2020.
|n parallel, the lleventh l|ve-eot Plon to 20l0 ls
developlng ST| lnfrastructure at a gruelllng pace,
wlth l2 new megafacllltles and 300 natlonal key
laboratorles planned, among other lnstltutlons.
Another focus ls the envlronment. As part of the
strategy to reduce energy consumptlon and
emlsslons of ma[or pollutants, the government plans
to ensure that non-fossll energy sources represent
l5% of energy consumptlon by 2020.
Today, the maln barrlers to lnnovatlon are the
rapldly growlng lnnovatlon rlsk that enterprlses face,
the lack of support for systemlc lnnovatlon and
exploratlon, and weak market demand for
lnnovatlon.
|||SO S|||| |||O| 2010
24
Japan (Chapter l9) was hlt hard by the global recesslon
ln 2008. After stagnatlng at around 2% between 2002
and 2007, growth ln GDP dropped below zero,
plunglng ma[or companles lnto dlstress and resultlng ln
bankruptcles and a surge ln unemployment rates.
1apanese manufacturers have tradltlonally excelled ln
steadlly lmprovlng productlon processes and
accumulatlng productlon know-how wlthln thelr
organlzatlons to achleve the ultlmate goal of hlgh-
quallty products at competltlve prlces. However, thls
1apanese model ls loslng lts effectlveness ln many
lndustrlal flelds, as Chlna, the Pepubllc of Korea and
other natlons wlth lower labour costs emerge as tough
competltors. Under such clrcumstances, 1apanese
manufacturers have come to belleve that they must
constantly lnnovate to survlve ln the global market.
One consequence of thls new mlndset has been the
rapld expanslon ln unlverslty-lndustry collaboratlon ln
recent years, resultlng ln numerous unlverslty start-ups.
|n parallel, both P&D expendlture and the number of
researchers seem to be rlslng ln the prlvate sector.
|n fact, 1apan retalns a domlnant ST| posltlon ln key
lndustrles such as automoblles, electronlc components,
dlgltal cameras and machlne tools.
|n 2004, all 1apanese unlversltles were seml-prlvatlzed
and turned lnto 'natlonal unlverslty corporatlons', wlth
both faculty and staff loslng thelr status as publlc
servants. The chapter argues that many academlc
pollcles lmported chlefly from the USA, such as
competltlve P&D fundlng, centres of excellence and a
shlft towards more frequent temporary academlc
posltlons, may have undermlned the unlque features of
the exlstlng unlverslty system by helplng the top
unlversltles but damaglng P&D capacltles at other
unlversltles and destroylng old domestlc research
networks.
Chapter 20 focuses on what ls probably the world's
most commltted country to ST|: the Republic of Korea.
|t had been en[oylng hlgh growth rates for a decade
before GDP shrank by 5.6% ln 2008. Nevertheless, by
2009, the economy was already expandlng agaln,
thanks to a government-led stlmulus package. Part of
that package lncluded greater P&D fundlng to
stlmulate natlonal ST|. As a result, publlc spendlng on
P&D actually grew ln 2008-2009.
The Pepubllc of Korea conslders ST| to be at the heart
of economlc progress and cruclal to achlevlng a
number of natlonal goals. One of the top prlorltles ls
to lncrease GLPD to an lmpresslve 5% by 20l2, up
from an already hlgh 3.4% ln 2008. Strong lnvestment
ls coupled wlth strong pollcles. Por lnstance, |nltlatlves
for Lstabllshlng a Natlonal Technology |nnovatlon
System was lmplemented ln 2004 wlth 30 prlorlty
tasks. |n 2008, the new government lmplemented a
follow-on strategy called the 5c|ence onJ 7echnoloy
8os|c Plon (2008-2013 whlch has set ltself as many as
50 prlorlty tasks. These two plans now constltute the
baslc framework for ST| pollcy. |n addltlon, a low
carbon, green growth pollcy was declared a key
natlonal agenda ln 2008.
The flnal chapter on Southeast Asia and Oceania
(Chapter 2l) covers a vast geographlcal area
stretchlng from Australla and New Zealand to
Slngapore, Thalland, |ndonesla and the 22 Paclflc
|sland countrles and terrltorles. The global economlc
recesslon has largely spared thls part of the world.
|n Cambodla, Thalland and Pl[l, sclence ls glven a low
prlorlty so the global recesslon has had llttle lmpact.
Countrles more attached to ST|, such as Slngapore,
Australla and New Zealand, reacted to the recesslon
by sharpenlng thelr ST| pollcles and allgnlng them
more on natlonal prlorltles. One P&D prlorlty common
to [ust about all countrles ln the reglon ls sustalnable
development and the role that ST| can play ln
combatlng cllmate change.
Slngapore stands out as the reglon's most rapldly
growlng lnvestor ln sclence. 8etween 2000 and 2007,
lts P&D lntenslty cllmbed from l.9% to 2.5%.
Accordlng to the world 8ank, only vlet Nam and
Slngapore lmproved thelr ranklng ln the Knowledge
|ndex between l995 and 2008. Growth has been
largely drlven by Slngapore-based sclentlsts, many of
whom have come from abroad to work ln lts well-
funded laboratorles. 8etween 2000 and 2007, the
number of PTL researchers rose by 50% to an
lmpresslve 6 088 per mllllon populatlon. A key
natlonal strategy has been to cluster research
lnstltutes ln |CTs and blomedlcal research lnto two
natlonal knowledge hubs. Thls strategy has pald off, as
Slngapore ls an emerglng hub for blomedlcal and
englneerlng technologles.
25
However, Singapore is not the only country in the
region to have shifted its focus from S&T policies to STI
policies. Moreover, there is a growing emphasis in the
region on cross-sector R&D, such as through
collaborative-project funding schemes. The face of
collaborative research is changing. The rapid rise of
China and India has had a knock-on effect on S&T
capacity in Southeast Asia and Oceania. For example,
the commodities boom led largely by India and China
in recent years fed mining-related R&D in Australia,
resulting in greater business R&D.
It is no coincidence that academics based in China and
India figure among the top three countries of origin
for co-authors in several countries in the region.
Researchers are also spending more time abroad as
part of their training and ongoing collaborative
projects. There is clearly a higher level of international
engagement and co-operation in the region than
before.
CONCLUSION
Key messages
What conclusions can be drawn from the analysis above?
First and foremost, the disparity in development levels
from one country and region to another remains striking.
In 2007, per-capita income in the USA was estimated to
be 30 times higher on average than in sub-Saharan
Africa. Differences in economic growth rates have been
compounded over the years, leading to divergence, big
time over the past 150 years in income levels between
rich and poor countries. In the late 19
th
century, for
instance, Nigeria was considered to be no more than a
decade behind the United Kingdom in terms of
technological development. The origin of this
divergence in economic growth can be found in the
disparate levels of investment in knowledge over long
periods of time. Even today, the USA still invests more in
R&D than the rest of the G7 countries combined. Four-
fifths of the worlds top universities also happen to be on
American soil.
The past decade has challenged this picture, largely
thanks to the proliferation of digital ICTs, which have
made codified knowledge accessible worldwide. For sure,
some early newcomers, like the Republic of Korea, had
been steadily catching up to, and even leap-frogging over,
I
n
t
r
o
d
u
c
t
i
o
n
countries since the 20
th
century by developing first their
industrial capacity then S&T. But others, such as China,
Brazil or India, have initiated a new, three-way process of
catching up simultaneously in the industrial, scientific and
technological spheres.
As a result, the past five years on which the present
UNESCO Science Report focuses have really begun to
challenge the traditional leadership of the USA. The
global economic recession has compounded the
situation, even if it is too early for this to be fully
encapsulated in the data. The USA has been harder hit
than Brazil, China or India, thereby enabling these three
countries to progress faster than they would have done
otherwise. Furthermore, as highlighted in the chapters
on China and India, we seem to be on the verge of a
structural break in the pattern of knowledge
contribution to growth at the level of the global
economy. This is also reflected in the arrival on the world
scene of large, multinational firms from emerging
countries which are moving into a wide variety of sectors
that range from mature industries such as steel-making,
automobile manufacturing and consumer goods to
high-tech industries like pharmaceuticals and aircraft
manufacturing. Companies in these emerging
economies are increasingly opting for cross-border
mergers and acquisitions to secure technological
knowledge overnight.
Thirdly, the increase in the stock of world knowledge, as
epitomized by new digital technologies and discoveries
in life sciences or nanotechnologies, is creating fantastic
opportunities for emerging nations to attain higher
levels of social welfare and productivity. It is in this
sense that the old notion of a technological gap can
today be considered a blessing for those economies
possessing sufficient absorptive capacity and efficiency
to enable them to exploit their advantage of relative
backwardness. Countries lagging behind can grow faster
than the early leaders of technology by building on the
backlog of unexploited technology and benefiting from
lower risks. They are already managing to leapfrog over
the expensive investment in infrastructure that
mobilized the finances of developed countries in the
20
th
century, thanks to the development of wireless
telecommunications and wireless education (via
satellites, etc), wireless energy (windmills, solar panels,
etc) and wireless health (telemedicine, portable medical
scanners, etc).
|||SO S|||| |||O| 2010
26
Other factors are also creatlng unlque advantages ln
terms of knowledge growth. Thls ls partlcularly well
lllustrated by the rapldly expandlng pool of hlghly skllled
labour ln Chlna and |ndla, among others, the large
numbers of redundant workers ln farmlng and petty
trade, the relatlve galn ln the replacement of obsolete
equlpment wlth state-of-the-art technologles and the
splllover effects of lnvestment ln new technology. The
recognltlon of the lmportance of knowledge acqulsltlon
ls a common thread runnlng through all chapters. |n
8angladesh, for lnstance, llght englneerlng ls produclng
lmport-substltutlon products that are creatlng
employment and allevlatlng poverty. Lndogenous
technologles lnclude ferrles, power plants, machlnery
and spare parts. 8ut 8angladesh ls also developlng the
hlgh-tech sector of pharmaceutlcals. |t ls now 97% self-
sufflclent ln pharmaceutlcals and even exports them to
Lurope.
Fourthly, there ls growlng recognltlon that lt ls the
systemlc 'congruence' between the varlous knowledge
components of the lnnovatlon system that counts when
lt comes to devlslng a successful growth strategy, as we
have seen ln Plgure 5. |n many malnly mlddle- and hlgh-
lncome countrles, there ls a dlstlnct shlft occurrlng from
S&T pollcy to ST| pollcy. Thls ls havlng the effect of
steerlng countrles away from the llnear approach
startlng wlth baslc research and endlng up wlth
lnnovatlon towards more complex, systemlc notlons of
lnnovatlon. Unlverslty-lndustry collaboratlon, centres of
excellence and competltlve research fundlng are all
becomlng popular among countrles looklng to lncrease
thelr ST| capaclty. However, as the chapter on 1apan
lllustrates, such shlfts are not easy to lmplement. At a
tlme when 1apan's global lnfluence ln P&D ls sllpplng
somewhat, the author of thls chapter argues that the
'lmported' pollcles clted above may have damaged the
exlstlng academlc system ln 1apan, favourlng the best
lnstltutlons to the detrlment of others whlch have been
allowed to fall behlnd. |t ls true that, now and then,
'lmported' pollcles wlll lndeed confllct wlth 'home-
grown' pollcles. To compllcate matters further, even
countrles whlch have lntegrated thls systemlc
congruence ln thelr ST| pollcles stlll tend to
underestlmate lt ln thelr overall development pollcles.
Fifthly, there ls a growlng emphasls ln ST| pollcy on
sustalnablllty and green technologles. Thls trend can be
found ln practlcally every slngle chapter of the uNl5CO
5c|ence keott, even ln parts of the world not generally
characterlzed by a large ST| effort, such as ln the Arab
reglon and sub-Saharan Afrlca. Thls holds not only for
clean energy and cllmate research but also for the
repercusslons on S&T flelds upstream. Space sclence and
technology, for example, are a rapldly growlng fleld for
many developlng and emerglng countrles. Drlven by
concerns about cllmate change and envlronmental
degradatlon, developlng countrles are attemptlng to
monltor thelr terrltory more closely, often vla North-
South or South-South collaboratlon, as ln the case of
8razll and Chlna for the deslgn of Larth observatlon
satellltes, or vla pro[ects llke Kopernlcus-Afrlca lnvolvlng
the Afrlcan Unlon and Luropean Unlon. At the same
tlme, space sclence and technology are of course belng
harnessed to provlde |CT lnfrastructure for use ln
wlreless appllcatlons ln health, educatlon and other
flelds. Cllmate change-related research has emerged as
an P&D prlorlty when lt was almost totally absent from
the uNl5CO 5c|ence keott 2005. As a general broad
pollcy comment, one can today reasonably argue that
laggard reglons or natlons always do well to lmprove
thelr absorptlve capaclty and remove any 'barrlers'
preventlng the flow of posltlve technologlcal splllovers
from technologlcally leadlng economles, be they from
the North or South.
Last but not least, natlonal ST| pollcles clearly face a
radlcally new global landscape today, one ln whlch the
terrltorlal pollcy focus ls comlng under severe pressure.
On the one hand, the steep drop ln the marglnal cost of
reproductlon and dlffuslon of lnformatlon has led to a
world ln whlch geographlcal borders are less and less
relevant for research and lnnovatlon. Knowledge
accumulatlon and knowledge dlffuslon are able to take
place at a faster pace, lnvolvlng a growlng number of
new entrants and provldlng a threat to establlshed
lnstltutlons and posltlons. Thls globallzlng trend affects
research and lnnovatlon ln a varlety of ways. On the
other hand, contrary to a posslbly somewhat slmpllstlc
reasonlng, globallzatlon does not lead to a flat world,
one ln whlch gaps ln research and lnnovatlon
capabllltles across countrles and reglons are constantly
narrowed. Qulte to the contrary, lf there ls clear evldence
of a concentratlon of knowledge productlon and
lnnovatlon emerglng octoss a wlder varlety of countrles
than before wlthln Asla, Afrlca and Latln Amerlca, thls
knowledge ls growlng at a hlghly dlfferentlated pace
w|th|n countrles.
27
||||||||S
8attelle (2009) Cloool k80 lunJ|n lotecost. Cleveland,
Ohlo, USA. Avallable at: www.battelle.org/news/
pdfs/2009PDPundlngflnalreport.pdf
Coe, D. T., Helpman, L., Hoffmalster, A.w. (l997) North-
South P&D splllovers. lconom|c 1outnol, l07, l34-l49.
Davld, P. and Poray, D. (2002) An lntroductlon to the
economy of the knowledge soclety. lntetnot|onol 5oc|ol
5c|ence 1outnol (uNl5CO) l7l, 9.
Dosl, G., Pavltt, K., Soete, L. (l990) 7he lconom|cs ol
7echn|col Chone onJ lntetnot|onol 7toJe. New ork
Unlverslty Press. washlngton Square, New ork.
Dunnewl[k, Theo (2008) Global Mlgratlon of the Hlghly
Skllled: A Tentatlve and Quantltatlve Approach.
uNu-Vlkl7 wotl|n Poet 2008-070.
Luropean Commlsslon (2009) lu lnJustt|ol k80 lnvestment
5coteoootJ. |nstltute for Prospectlve Technologlcal
Studles, Luropean Commlsslon.
Preeman, C. (l992) 7he lconom|cs ol loe. Prances Plnter,
London.
(l987) 7echnoloy Pol|cy onJ lconom|c Petlotmonce:
lessons ltom 1oon. Prances Plnter, London.
Preeman, C. and Soete, L. (2009) Developlng sclence,
technology and lnnovatlon lndlcators: what we can
learn from the past. keseotch Pol|cy 38 (4), pp. 583-589.
Krugman, Paul (l979) A model of lnnovatlon, technology
transfer and the world dlstrlbutlon of lncome. 1outnol
ol Pol|t|col lconomy, vol. 87, lssue 2, pages 253-266.
Soete, L. (2005) On the dynamlcs of lnnovatlon pollcy: a
Dutch perspectlve, ln: P. de Gl[sel and H. Schenk (eds)
7he 8|tth ol o New lconom|cs loculty |n the NethetlonJs.
Sprlnger, Dordrecht, pp. l27-l49.
(l98l) A general test of the technologlcal gap trade
theory. weltw|ttscholl|ches Atch|v ll7, 638-650.
Tl[ssen, P. and Hollanders, H. (2006) Uslng sclence and
technology lndlcators to support knowledge-based
economles. un|teJ Not|ons un|vets|ty Pol|cy 8t|el 11.
Zanatta, M. and Quelroz, S. (2007) The role of natlonal
pollcles ln the attractlon and promotlon of MNLs' P&D
actlvltles ln developlng countrles. lntetnot|onol kev|ew
ol Al|eJ lconom|cs, 2l(3), 4l9-435.
|
n
t
r
o
d
u
c
t
l
o
n
8orn ln the Netherlands ln l967, Hugo Hollanders
ls an economlst and Senlor Pesearch Pellow at UNU-
MLP|T, a thlnk tank whlch resulted from the 2006
merger of the Unlted Natlons Unlverslty |nstltute for
New Technologles and the Unlverslty of Maastrlcht's
Lconomlc and Soclal Pesearch and Tralnlng Centre
on |nnovatlon and Technology.
Dr Hollanders has over l5 years of experlence ln
lnnovatlon studles and lnnovatlon statlstlcs and has
been lnvolved ln varlous pro[ects for the Luropean
Commlsslon, lncludlng the 2000-2007 Trend Chart on
|nnovatlon Pollcles and the 2008-20l0 |NNO Metrlcs
pro[ect. wlthln these two pro[ects, he has been
responslble for the annual Luropean |nnovatlon
Scoreboard and has co-authored more than 30 reports
measurlng reglonal, sectoral and servlces lnnovatlon,
lnnovatlon efflclency, creatlvlty and deslgn. Hls current
research focus ls on reglonal lnnovatlon, lncludlng vla
several pro[ects funded by the Luropean Commlsslon.
Luc Soete was born ln 8russels, 8elglum, ln l950.
He ls currently Dlrector of UNU-MLP|T and Professor
of |nternatlonal Lconomlc Pelatlons (on leave) at the
School of 8uslness and Lconomlcs of Maastrlcht
Unlverslty. Professor Soete was the foundlng
dlrector of MLP|T, whlch he set up ln l988. He ls a
member of the Poyal Dutch Academy of Sclences
and of the Dutch Advlsory Councll for Sclence and
Technology Pollcy.
Professor Soete obtalned hls DPhll ln economlcs
from the Unlverslty of Sussex ln the UK. 8efore
comlng to Maastrlcht ln l986, he worked at the
Department of Lconomlcs of the Unlverslty of
Antwerp and at the |nstltute of Development
Studles and the Sclence Pollcy Pesearch Unlt at the
Unlverslty of Sussex. He has also worked for the
Department of Lconomlcs at Stanford Unlverslty ln
the USA.
Hls research lnterests span the lmpact of
technologlcal change and lnnovatlon on growth
and development, employment and lnternatlonal
trade and lnvestment.
w|th|n on ovetoll totomme thot
otooches one tt|ll|on Jollots,
Transformlng our Lconomy wlth
Sclence and Technology o|ms to ut
sc|ent|sts to wotl lool|n lot the next
teot J|scovety, cteot|n joos |n
cutt|n-eJe technolo|es onJ mol|n
smott |nvestments thot w|ll hel
ous|nesses |n evety commun|ty succeeJ
|n o loool economy.
Thomas Patchford and wllllam
8lanpled on the Obama
admlnlstratlon's plans for
stlmulatlng the economy
USA chapter [16] [P3]:Layout 1 18/10/10 17:57 Page 28
2
.
Unlted States of Amerlca
'. |cn.s |.tc||c.J .rJ \||||.n A. b|.rp|oJ
29
|||O|||O|
Pesearch and development (P&D) ln the Unlted States of
Amerlca (USA) have prospered over the flve years slnce the
uNl5CO 5c|ence keott 2005 was publlshed. The polltlcal
envlronment has remalned conduclve to a large federal role
ln defence and baslc research, whlle the unlversltles have
contlnued to strlve for excellence ln research and teachlng,
beneflclarles of generous federal subventlons and pro[ect
support. Operatlng ln a frlendly pollcy envlronment,
companles have lnvested unprecedented amounts ln
research. The threatenlng cloud on the horlzon for P&D ls
the global economlc recesslon.
The economlc downturn flrst became vlslble ln the USA ln
the last quarter of 2008, after the collapse of the country's
credlt system ln what has become known as the subprlme
mortgage crlsls. The crlsls flrst hlt the world's headllnes
after the federal government refused to ball out Lehman
8rothers. The flrm flled for Chapter ll bankruptcy
protectlon on l5 September 2008. Amerlcan |nternatlonal
Group, the world's largest lnsurer, was balled out the next
day at an eventual cost of between US$l34 bllllon and
US$l80 bllllon. |n the followlng weeks, several leadlng
lendlng lnstltutlons also folded, lncludlng 8ear Stearns.
Others would be saved |n exttem|s by federal lnterventlon.
8y the end of 2008, mllllons of mortgaged Amerlcan
homes had been selzed by credltors. 8etween 1une 2008
and 1une 2009, 2 mllllon [obs were lost. Unemployment
rose from nearly 4% to about l0% of the worklng
populatlon, a deterloratlon not seen ln over 25 years.
8y early 2009, two of the three leadlng car manufacturers
were havlng to be balled out by the federal government.
8oth General Motors and Chrysler were later reorganlzed
followlng bankruptcy. As of May 2009, GDP had
contracted by sllghtly more than 3% on an annual basls,
wlth a low of 6.4% for the flrst quarter.
At the tlme of wrltlng ln October 2009, GDP had
expanded for the flrst tlme ln a year ln the thlrd quarter at
an annual rate of 3.5%, accordlng to the Department of
Commerce. Lconomlsts were fearful, however, that the
recovery mlght not last, as government programmes to
stlmulate consumer spendlng were due to explre and
both publlc debt and unemployment kept rlslng steadlly.
|n the same lssue ln whlch lts 8reakthrough of the ear
was announced on l9 December 2008 (8ox l), the
Amerlcan [ournal 5c|ence featured a one-page artlcle
entltled 8reakdown of the year: flnanclal meltdown. The
credlt crlsls wlll undoubtedly have negatlve repercusslons
for lnvestment ln P&D ln the USA, as ln other countrles,
and may delay the commerclallzatlon of promlslng
technologles. Although the 5c|ence artlcle dld not polnt
the flnger at the economlsts whose rlsk models were
partlally responslble for the flnanclal crlsls, nor at the
handful of PhD physlclsts who were employed on hlgh
salarles by wall Street flrms to conduct such analyses,
they were clearly culpable to some extent for the
flnanclal meltdown.
S || || ObAVA A|V|||S|A|O|
On 20 1anuary 2009, 8arack H. Obama was sworn ln as the
USA's 44
th
Presldent after George w. 8ush's elght years ln offlce.
The global economlc recesslon Presldent Obama lnherlted has
provlded a unlque backdrop for hls admlnlstratlon and lts
stance on sclence and technology (S&T).
|n response to the deepenlng crlsls, the lncomlng Obama
admlnlstratlon proposed a second economlc stlmulus
package whlch was approved by Congress - the US
parllament - ln Pebruary 2009. Thls package lncluded
slgnlflcant one-tlme fundlng for federal S&T organlzatlons
through 20l0. The Admlnlstratlon's detalled budget
request for flscal year 20l0, submltted to Congress durlng
the flrst week of May 2009, also lncluded slgnlflcant
requests for these organlzatlons.
The presldent artlculated hls vlslon of the future ln an
address to the Natlonal Academy of Sclences on 29 Aprll
2009. He pledged an lncrease ln gross domestlc expendlture
on P&D (GLPD) from 2.7% to 3% of GDP, requlrlng a rlse ln
both government and lndustrlal expendlture. Thls, he
emphaslzed, would contrlbute to the development of less
expenslve solar cells, learnlng software that could provlde
superlor computer tutorlals and, above all, alternatlve, clean
energy sources. 'Lnergy,' he asserted, 'ls thls generatlon's
great pro[ect.' He suggested that the USA should commlt
ltself to reduclng carbon pollutlon by 50% by 2050 agalnst
the l990 base year. To thls end, he relterated hls lntentlon to
create an Advanced Pesearch Pro[ect Agency for Lnergy
(APPA-L) wlthln the Department of Lnergy. Thls agency
would be analogous to the Department of Defense's
Advanced Pesearch Pro[ect Agency (DAPPA) ln conductlng
hlgh-rlsk, hlgh-reward research.
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
Space shuttle
lnJeovout llftlng
off from NASA's
Kennedy Space
Center on
l5 1uly 2009 for a
rendezvous wlth
the team at the
|nternatlonal
Space Statlon
Photo: NA5A
|||SO S|||| |||O| 2010
|f there ls a common thread runnlng through Presldent
Obama's S&T pollcles, fundlng and people, lt ls a
commltment to a green future: reduclng greenhouse
gasses and uslng clean energy. Thls commltment ls
reflected ln stronger standards for vehlcle efflclency
(CAPL standards) and proposals for a 'cap and trade'
reglme to reduce greenhouse gas emlsslons.
There ls also a renewed emphasls on federal lnvolvement
ln lndustrlal technology development and a tllt towards
fewer controls on some controverslal research, such as that
utlllzlng stem cells. |t remalns to be seen how these trends
wlll endure beyond the current economlc recesslon.
The fundamental pollcles that have underglrded the
support for P&D ln the USA for more than a half a century
are expected to remaln ln place. These lnclude generous
federal support for baslc research and a pollcy
envlronment favourable to prlvate-sector fundlng of P&D.
Overall, the Obama admlnlstratlon and the Democratlc
ma[orlty ln Congress - the Presldent hlmself belng a
Democrat - are expected to be more amenable to
federal P&D expendlture than the Pepubllcan party,
especlally when lt comes to federal programmes that
strengthen lndustrlal P&D. Presldent Obama appears to
be engaged on sclence lssues and ls known as a 'sclence
guy'. Hls pollcy changes lnclude new guldellnes on
embryonlc stem cell research. These new guldellnes
allow federal fundlng for research only on new stem cell
llnes created from surplus embryos at fertlllty cllnlcs.
They lnclude rlgorous ellglblllty standards and llnes
created ln the laboratory to study partlcular dlseases are
not allowed. The New otl 7|mes, ln an edltorlal of 22
Aprll 2009, complalned that the new guldellnes were
'dlsappolntlng'. The guldellnes under Presldent 8ush,
themselves a polltlcal compromlse, permltted federal
fundlng of research on 2l cell llnes. The Obama
guldellnes also appear to be a polltlcal compromlse but
lean further towards the free sclentlflc enqulry end of
the spectrum. |n 1uly 2009, the Obama Admlnlstratlon
further modlfled lts rules regardlng stem cell research ln
response to crltlclsms reported ln the Aprll New otl
7|mes edltorlal.
Of greater structural pollcy lmportance ls an Obama
memorandum lnsulatlng sclentlflc declslons by federal
government offlclals from polltlcal lnfluence. Preedom of
sclentlflc enqulry ls a cornerstone of any effectlve sclence
30
pollcy reglme and, ln the modern world of federally
funded research, the government role ls central. Llfe for
dlssenters, even ln sclence, has always been tough. The
real test of thls pollcy wlll be whether federal fundlng of
sclentlflc oplnlons not 'polltlcally correct' wlll flourlsh.
Funding
Presldent Obama vlews lnvestment ln sclence, technology
and lnnovatlon (ST|) as lmportant components of the
natlon's economy, as emphaslzed ln both hls stlmulus
package and hls 7 May budget request for P&D ln hls
proposed budget for flscal year 20l0.
|n a speech to the Natlonal Academy of Sclences on
29 Aprll 2009, the presldent promlsed to meet two
lmportant benchmarks:
I l|tstly, that the natlon would carry GLPD to 3% of GDP
by the tlme he left offlce, compared wlth the unofflclal
estlmate of 2.7% for 2008. Thls ratlo has never reached
or exceeded 3%, lt peaked at 2.9%, ln l962,
I seconJly, that the research and experlmentatlon tax
credlt would be made permanent. Thls ls a tax credlt
for P&D lnvestment by lndustrlal flrms whlch has been
renewed by Congress perlodlcally.
The presldent's promlse has been greeted favourably by
lndustry. 8oth pledges requlre substantlal lnvestment by
lndustry and a concomltant favourable lndustrlal research
pollcy envlronment.
People
Materlal to the effects of these budget lncreases are the S&T
leaders ln the new admlnlstratlon. They have the
responslblllty to lmplement these lncreases wlsely and to
advlse on how best to deploy S&T ln the servlce of the natlon.
The Obama admlnlstratlon has a strong S&T team. The
fact that lmportant appolntments were made early on
sent a posltlve slgnal. Presldent Obama's cholce for
Sclence Advlsor and Asslstant to the Presldent for Sclence
and Technology was 1ohn Holdren, former head of the
Harvard Kennedy School's Sclence, Technology, Publlc
Pollcy Program at the 8elfer Center for Sclence and
|nternatlonal Affalrs. Holdren ls a strong supporter of
controls on greenhouse gases. He has also, ln the past,
expressed support for clean coal and advanced nuclear
technologles. Holdren has ldentlfled flve ma[or
challenges for the natlon: applylng S&T to (l) the
|r|toJ St.tos c| Ano.|c.
3l
economy, (2) publlc health, (3) energy, (4) envlronment,
and (5) natlonal and homeland securlty.
Other stars ln the Obama sclence galaxy lnclude Lnergy
Secretary Steven Chu, who ls Lawrence 8erkeley Natlonal
Laboratory Dlrector and a Nobel Laureate ln physlcs. 1ane
Lubchenco, a marlne sclentlst from Oregon State Unlverslty,
heads the Natlonal Oceanographlc and Atmospherlc
Admlnlstratlon (NOAA). Llsa 1ackson, a chemlcal englneer, ls
the Chalr of the Lnvlronmental Protectlon Agency. These
organlzatlons have rarely, lf ever, been headed by sclentlsts
ln the past. Prancls Colllns, former head of the Human
Genome Pro[ect, has been nomlnated Dlrector of the
Natlonal |nstltutes of Health (N|H). Peglna 8en[amln, an
Alabama famlly physlclan who served for almost two
decades as one of the few doctors ln a shrlmplng vlllage
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
Box 1: 8reakthroughs of the year
Sc|ort|sts .c.k|r .t Ano.|c.r
|rst|tJt|crs n.ry c| t|on |c.o|r
bc.r c. .c.k|r |r cc||.bc..t|cr .|t|
sc|ort|sts |.cn ct|o. ccJrt.|os |.vo
ccrt|rJoJ tc cbt.|r |npc.t.rt .osJ|ts
.c.css . b.c.J spoct.Jn c| sc|ort|||c
||o|Js s|rco t|o UNESCO Science Report
2005 ..s pJb||s|oJ. |oso
b.o.kt|.cJ|s |rc|JJo bct|
J|sccvo.|os .|t| pctort|.| |c.
ccnno.c|.| .pp||c.t|cr .rJ t|cso
t|.t so.vo p.|n..||y tc Joopor |Jn.r
JrJo.st.rJ|r c| t|o p|ys|c.| .rJ
||v|r |r|vo.so.
|.c| |oconbo., Science, t|o
.ospoctoJ cJ.r.| c| t|o Ano.|c.r
Asscc|.t|cr |c. t|o AJv.rconort c|
Sc|orco (AAAS), pJb||s|os .r ..t|c|o cr
.|.t |t ort|t|os t|o b.o.kt|.cJ| c| t|o
+o... |o.o ..o t|o .|rro.s |r .ocort
yo..s |.cn t|o |SA .rJ o|so.|o.o.
(2004) Martian exploration
Science so|octoJ t.c .cbcts |.Jrc|oJ
by t|o |.t|cr.| Ao.cr.Jt|cs .rJ
Sp.co AJn|r|st..t|cr (|ASA) .s |ts
b.o.kt|.cJ| c| t|o yo... Opportunity
.rJ Spirit, .||c| .c.noJ cvo.
J|||o.ort pc.t|crs c| V..s, bct|
J|sccvo.oJ ov|Jorco t|.t ..to. n.y
crco |.vo ox|stoJ cr t|o p|.rot.
|| ..to. J|J crco ox|st cr V..s, .s
..s ccr||.noJ |r 2008 by ct|o.
V..t|.r .cvo. .cbcts, t|or scno |c.n
c| |||o n.y crco |.vo ox|stoJ, c. n.y
st||| ox|st, cr t|o p|.rot.
t|.t |o.o|n.r |.J, |r |.ct, p.cvoJ t|o
|c|rc..o ccroctJ.o.
(2006) Evolution in action
Science |ccJsoJ cr . p.|. c| .osJ|ts
.||c| JooporoJ cJ. JrJo.st.rJ|r
c| |...|r|.r ovc|Jt|cr, .s .o|| .s t|o
.o|.t|crs||p bot.oor |Jn.rs .rJ
ct|o. p.|n.tos. |o ||.st c| t|oso
b.o.kt|.cJ|s cccJ..oJ |r Soptonbo.
.|or .r |rto.r.t|cr.| to.n
pJb||s|oJ t|o orcno c| t|o
c||np.r.oo. |oso .osJ|ts |rJ|c.toJ
t|.t |Jn.rs .rJ c||nps J|||o. by cr|y
.bcJt 1 |r t|o rJc|oct|Jo b.sos c|
t|o|. .ospoct|vo orcnos, c. by
.pp.cx|n.to|y 4 c| t|o|. ||A. |o
soccrJ sot c| .osJ|ts ccrco.roJ t|o
ono.orco c| ro. spoc|os, .||c|
|c.n .|or ox|st|r pcpJ|.t|crs c|
spoc|os bo|r tc .J.pt |r J|||o.ort
..ys .rJ ovortJ.||y stcp
|rto.b.ooJ|r. .c sop...to to.ns c|
.oso..c|o.s |cJrJ ov|Jorco |c. t|o
..ys |r .||c| t||s spoc|.t|cr cccJ.s |r
|J.cpo.r b|.ckc.ps, . typo c| ...b|o.
|cJrJ |r o.n.ry .rJ AJst.|., .s .o||
.s |r |J.cpo.r cc.r bc.o.s ||v|r
t|.cJ|cJt \osto.r |J.cpo.
(2007) Human genetic variation
and disease
|r 2001, t|o so,Jorc|r c| t|o
|Jn.r orcno ..s ccnp|otoJ .rJ
|ts .osJ|ts .o.o n.Jo .v.||.b|o tc
continued
(2005) The Poincar Conjecture
|r 1904, t|o |.orc| n.t|on.t|c|.r
|or.| |c|rc..o .Jv.rcoJ . ccroctJ.o
|r t|o b..rc| c| n.t|on.t|cs krc.r
.s tcpc|cy t|.t |s, t|o stJJy c| t|o
sJ.|.cos c| nJ|t|J|nors|cr.| cbocts.
(|o sJ.|.co c| . t|.ooJ|nors|cr.|
cboct |.s t.c J|nors|crs, t|.t c| .r
|J|nors|cr.| cboct, |1
J|nors|crs.) |c|rc..o p.cvoJ t|.t
J|||o.orcos |r sJ.|.cos c| .ry
|J|nors|cr.| cboct J|||o. cr|y |r
t|o rJnbo. c| t|o|. |c|os. |o t|or
ccroctJ.oJ t|.t . t|.ooJ|nors|cr.|
sp.co t|.t |s t|o sJ.|.co c| . |cJ.
J|nors|cr.| cboct c.rrct ||Jo .ry
|rto.ost|r tcpc|cy |.cn .|.t |o
.o|o..oJ tc .s t|o |JrJ.nort.| .cJp.
V.t|on.t|c|.rs |.J p.cvoJ
.r.|ccJs st.tonorts |c. sp.cos c|
ovo.y J|nors|cr |||o. t|.r t|.oo by
t|o o..|y 1980s bJt p.cc| c| |c|rc..os
c.||r.| ccroctJ.o |c. t|.oo
J|nors|cr.| sp.cos ..s rct
|c.t|ccn|r Jrt|| 2002 .|or t|o
|Jss|.r n.t|on.t|c|.r, .|c.|
|o.o|n.r, .|c |.J cc||.bc..toJ
o..||o. .|t| t|o Ano.|c.r
n.t|on.t|c|.r ||c|..J |.n||tcr, bJ||t
cr |.n||tcrs .c.k tc pJb||s| t|o ||.st
c| t|.oo p.po.s Joncrst..t|r |c.
.ry typo c| t|.ooJ|nors|cr.| sJ.|.co
c.r ovc|vo |rtc .rct|o. .|t|cJt
orccJrto.|r .ry .c.Jb|ccks, krc.r
tc typc|c|sts .s 's|rJ|..|t|os'. |r 2006,
tcpc|c|sts .o.c|oJ t|o ccrsorsJs
|||SO S|||| |||O| 2010
32
Box 1: Cont|nueJ
.oso..c|o.s t|.cJ|cJt t|o .c.|J.
orot|c|sts t|or tJ.roJ t|o|. .ttort|cr
tc |c. n|rJto J|||o.orcos |r t|o
orcnos c| |rJ|v|JJ.|s J|||o.ort|.to
t|on |.cn cro .rct|o.. |r 2005, t|o
||s \o||ccno .Jst .oc.J|toJ
200 .oso..c|o.s |.cn sovo..| ccJrt.|os
tc .r.|yso t|o ||A c| 1 000 pocp|o.
S|r|||c.rt .osJ|ts |c. 200 |ccJsoJ cr
typo 2 (.JJ|tcrsot) J|.botos oros,
|rc|JJ|r t|o J|sccvo.y c| |cJ. ro.
J|.botos.sscc|.toJ oro v..|.rts.
|o. oro .sscc|.t|crs rc. ox|st |c.
|o..t J|so.so, b.o.st c.rco., .ost|oss
|o syrJ.cno, .t.|.| ||b.|||.t|cr,
|.Jccn., .nyct.cp|c |.to..| sc|o.cs|s,
nJ|t|p|o sc|o.cs|s, .|oJn.tc|J ..t|.|t|s,
cc|c.oct.| c.rco., .rky|cs|r
spcrJy||t|s .rJ .Jtc|nnJro J|so.sos.
(2008) Seeing exoplanets
|.|c. tc 2008, .st.crcno.s |.J
sJccooJoJ |r Js|r |rJ|.oct not|cJs
tc |Jort||y cvo. 300 oxcp|.rots, t|.t |s,
p|.rots c.b|t|r st..s ct|o. t|.r cJ.
SJr. |o ncst ccnncr c| t|oso
|rJ|.oct not|cJs no.sJ.os t|o s|||t
.cbb||r c| . st.., |rJ|c.t|r v..|.t|cr
c| t|o ..v|t.t|cr.| .tt..ct|cr bot.oor
t|o st.. .rJ . n.ss|vo, c.b|t|r cboct.
|J.|r 2008, .t |o.st |cJ. .cJps
.opc.toJ J|.oct, to|osccp|c
cbso.v.t|crs c| t|o |||t |.cn t|o
nct|o. st.. by c.b|t|r oxcp|.rots.
S|rco t|o |||t on|ttoJ |.cn t|o st..
|tso|| |s s|r|||c.rt|y b.||to. t|.r t|o
|||t .o||octoJ |.cn . J.J|to. p|.rot,
scp||st|c.toJ toc|r|,Jos ..o .o,J|.oJ
tc p|rpc|rt t|o |.tto.. |xcp|.rots
|Jort|||oJ t|Js |.. |rc|JJ|r t|cso
.opc.toJ p.|c. tc 2008 ..o typ|c.||y
ccrs|Jo..b|y nc.o n.ss|vo t|.r t|o
p|.rot 'Jp|to., |tso|| cro n||||cr t|nos
nc.o n.ss|vo t|.r |..t|.
S|r|||c.rt toc|rc|c|c.| .Jv.rcos .|||
bo .o,J|.oJ || oxcp|.rots .|t| n.ssos
ccnp...b|o tc |..t| ..o tc bo
JotoctoJ.
Other frontier discoveries
|r .ocort yo..s, .Jrro.Jp J|sccvo.|os
|.vo |rc|JJoJ.
I (2004) t|o J|sccvo.y by AJst..||.r
.oso..c|o.s c| . ro., t|ry spoc|os
c| |cn|r|J |r |rJcros|. krc.r .s
t|o |cbb|t,
I (2005) t|o J|sccvo.y by
.st.cp|ys|c|sts c| t|o ||.st krc.r
b|r..y syston c| pJ|s..s. |Jrro.s
Jp |c. 2005 .|sc |rc|JJoJ t|o
|.rJ|r c| t|o ||.st |Jn.rn.Jo
cboct cr . nccr c| .rct|o.
p|.rot, |t.r, . s.to|||to c| S.tJ.r,
I (2006) t|o |Jort|||c.t|cr by p|.rt
nc|ocJ|.. b|c|c|sts c| t|o |Jort|ty
c| ||c.|or, . s|r.| t|.t |r|t|.tos t|o
so.scr.| Jovo|cpnort c| ||c.o.s,
I (2006) So,Jorc|r c| nc.o t|.r
cro n||||cr b.so p.|.s c|
|o.rJo.t|.| ||A, ccnp|otoJ by
.oso..c|o.s |r |J.cpo .rJ t|o
|SA, ccrc|JJ|r t|.t
|o.rJo.t|.|s J|vo.oJ |.cn cJ.
c.r .rcostc.s .pp.cx|n.to|y
450 000 yo..s .c .rJ sJost|r
t|.t |o.rJo.t|.|s .rJ ncJo.r
|Jn.rs n.y |.vo |rto.b.oJ,
I (200) t|o Joncrst..t|cr by
|.c|c|c|sts t|.t t|o .o.t |co
s|oots ccvo.|r .oor|.rJ .rJ
Art..ct|c. ..o s|.|rk|r .t .
ccrs|Jo..b|y .o.to. ..to t|.r
|.J p.ov|cJs|y boor oxpoctoJ,
I (2008) t|o J|sccvo.y t|.t, .|or
J|||o.ort c|.ssos c| c.yst.|s c|
sJbst.rcos krc.r .s t..rs|t|cr
cx|Jos ..o p|.coJ |r |.yo.s, t|o
.osJ|ts ccJ|J |o..|J t|o b|.t| c|
ro. typos c| n|c.cJov|cos tc
.|v.| t|cso .||c| rc. Jcn|r.to
t|o o|oct.cr|cs |rJJst.y, s|||ccr
b.soJ Jov|cos,
I (2008) . syston.t|c sJ.voy c|
n.ry oros |r c.rco. co||s
JotoctoJ orot|c n|st.kos .||c|
|oJ tc t|o b.o.kJc.r c| rc.n.|
co|| J|v|s|cr. |r 2008, .opc.ts cr
t|o orot|c ||..s |o.J|r tc
p.rc.o.t|c c.rco. .rJ
||cb|.stcn., t.c c| t|o ncst
Jo.J|y |c.ns c| c.rco., .o.o
.rrcJrcoJ,
I (2008) . ro. c.t.|yst, . n|xtJ.o c|
ccb.|t .rJ p|csp|c.Js, Jsos
o|oct.|c|ty tc sop...to ..to.
nc|ocJ|os |rtc t|o|. ccrst|tJort
|yJ.cor .rJ cxyor .tcns. ||
Jovo|cpoJ cr .r |rJJst.|.| sc.|o,
t||s c.t.|yst ccJ|J so.vo .s t|o
b.s|s |c. stc.|r oro.y Jo.|voJ
|.cn .|rJ, sc|.. .rJ ct|o.
scJ.cos |c. |.to. Jso. |oso..c|o.s
|.vo krc.r |c. scno t|no t|.t
p|.t|rJn p.cv|Jos . c.t.|yst |c.
t|o sop...t|cr c| ..to. |rtc |ts
ccrst|tJorts. |c.ovo., s|rco
p|.t|rJn |s ...o .rJ oxpors|vo,
t|o ro.|y |Jort|||oJ
ccb.|tp|csp|c.Js c.t.|yst ccJ|J
p.cv|Jo t|o no.rs |c. n.k|r
s|r|||c.rt|y nc.o o||oct|vo Jso c|
.oro..b|o oro.y scJ.cos.
5outce: authors
33
along the Gulf of Mexlco coast, has been nomlnated
Surgeon General, a posltlon often called 'the natlon's
physlclan'. Genetlclsts Harold varmus, a Nobel Laureate and
former Dlrector of N|H, and Lrlc Lander of the
Massachusetts |nstltute of Technology have been named
Co-Chalrs of the Presldent's Councll of Advlsors on Sclence
and Technology.
|| ||||
R&D expenditure
GLPD ln the USA has contlnued to rlse slnce the turn of
the century, reachlng an estlmated US $368.l bllllon ln
2007. Prlvate lndustry contrlbuted approxlmately 67% of
the total and the federal government 27% (Plgure l).
These numbers are derlved from data provlded by the
Natlonal Sclence Poundatlon (NSP). Thls body ls requlred
by law to gather, analyse and dlssemlnate a large varlety
of data related to S&T, lncludlng GLPD. whereas data on
federal government expendlture are readlly accesslble to
the NSP, those related to lndustry and other fundlng
sources are obtalned vla surveys, whlch requlre more tlme
to gather and analyse. Por thls reason, GLPD data
appearlng ln subsequent sectlons of the present chapter
whlch were obtalned from other sources are sometlmes
glven for 2008 or, ln rare cases, 2009. Addltlonally, the P&D
8udget Program of the Amerlcan Assoclatlon for the
Advancement of Sclence (AAAS) provldes estlmates of
federal expendlture for both 2008 and 2009. These data,
however, relate to the presldent's requested budget
submltted to Congress ln Pebruary or March each year,
rather than to actual congresslonal approprlatlons whlch
are not flnallzed untll late the same year or, ln some cases,
early the followlng year.
Plgure 2 shows trends ln GLPD by fundlng source between
l990 and 2007, expressed ln both current and 2000
constant (that ls, lnflatlon-ad[usted) US dollars.
The USA conslstently lnvests more money ln P&D than
the rest of the G8 countrles comblned. |ts share of G7
expendlture on P&D has fluctuated between 48% and
53% over the past 25 years and has exceeded 50% slnce
l997.
l
|n 2006, the USA's share of the G7 total was 53%.
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
l. Pusslan data only go back to l990, whlch ls why comparlsons datlng
back to the l980s speak of the G7 rather than the G8.
US$ 64.1 billion
basic research
US$ 24.7 billion
state governments,
colleges, universities,
private non-prot
organizations
US$ 222.5 billion
development
US$ 81.2 billion
applied research
US$ 245.0 billion
private industry

US$ 98.3 billion
federal government

17.0
7.0
27.0
22.0
60.0
67.0
Figure 1: GLPD ln the USA by type of research and source of funds, 2007 (%)
Note: percentages may not add up to l00% because of roundlng
5outce: Natlonal Sclence Poundatlon
7ye ol teseotch 5outce ol lunJs
|||SO S|||| |||O| 2010
|n 2007, the ratlo of GLPD to GDP ln the USA was 2.67%,
down from lts most recent hlgh of 2.8l% ln 2003. The
NSP's unofflclal estlmate for 2008 ls 2.70%. wlth a
GLPD/GDP ratlo of 3.67% ln 2007, 1apan ls the only G8
country wlth a hlgher ratlo. However, several smaller
countrles have also boasted hlgher GLPD/GDP ratlos than
the USA ln recent years: |srael 4.7l% (2005), Sweden
3.64% (2007), Plnland 3.47% (2007), Pepubllc of Korea
3.37% (2008), Swltzerland 2.93% (2004), and |celand 2.86%
(2003).
Plgure 3 shows the trend ln GLPD for the USA and the
other G8 countrles slnce l990. Usually, but not always,
hlgh GLPD/GDP ratlos for smaller countrles slgnal the
presence of large multlnatlonal companles wlth
assoclated large P&D budgets. Such ls also the case ln the
USA. |n 2004, P&D expendlture for multlnatlonal
34
corporatlons headquartered ln the USA amounted to
approxlmately US$l52.4 bllllon. Mlcrosoft, for example,
lnvested US$7.8 bllllon ln P&D, the hlghest of any
multlnatlonal corporatlon. Others headquartered ln the
USA wlth slgnlflcant expendlture were Pflzer
(US$7.7 bllllon), Pord (US$7.4 bllllon), General Motors
(US$6.5 bllllon), |8M (US$5.7 bllllon), 1ohnson and
1ohnson (US$5.2 bllllon) and |ntel ($4.8 bllllon).
|| A|| || |||||A| O\|||V||
Federal funding
|n flscal year 2008, coverlng the perlod to 30 September
2008, the federal government obllgated an estlmated
US$ll2.8 bllllon for GLPD. Table l shows the estlmated
breakdown of federal expendlture on P&D ln 2008 by
1990 1992 1994 1996 1998 2000 2002 2004 2006
Industry
Federal
Other
Industry
Federal
Other
0
50
100
150
200
250
0
50
100
150
200
250
C
u
r
r
e
n
t

U
S
$

m
i
l
l
i
o
n
s
C
o
n
s
t
a
n
t

U
S
$

m
i
l
l
i
o
n
s
98 330
245 027
24 739
82 158
204 725
20 671
1990 1992 1994 1996 1998 2000 2002 2004 2006
Figure 2: GLPD ln the USA by source of funds, l990-2007
ln m|ll|ons ol cuttent onJ constont 2000 Jollots
Note: Data for 2007 are prellmlnary.
35
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
Figure 3: Trends ln GLPD ln the G8 countrles, l990-2006
ln constont 2000 u55o|ll|ons onJ os o etcentoe ol C0P
Germany
France
USA
Japan
United Kingdom
Italy
Canada
Russian Federation
0.5
1.0
1.5
2.0
2.5
3.0
3.5
0
50
100
150
200
250
300
2
0
0
0

c
o
n
s
t
a
n
t

U
S
$

b
i
l
l
i
o
n
s
P
e
r
c
e
n
t
a
g
e

o
f

G
D
P
294.9
120.4
57.1
35.8
31.1
19.7
16.6
16.0
2.62
2.53
2.11
1.94
1.78
1.08
1.09
3.39
1990 1992 1994 1996 1998 2000 2002 2004 2006 1990 1992 1994 1996 1998 2000 2002 2004 2006
Note: based on data provlded to the OLCD by NSP and other US statlstlcal agencles. OLCD statlstlcal guldellnes for tallylng natlonal P&D expendlture
dlffer sllghtly from those used by the USA. Data on 1apanese P&D ln l996 and later years may not be conslstent wlth data ln earller years because of
changes ln methodologyConverslons of forelgn currencles to US dollars are calculated by the OLCD based on each country's GDP lmpllclt prlce
deflator and purchaslng power parlty exchange rates.
5outce: OLCD (2008), Vo|n 5c|ence onJ 7echnoloy lnJ|cotots, volume 2008/l
|||SO S|||| |||O| 2010
36
ma[or soclo-economlc ob[ectlve. Of the total, a llttle
over half was devoted to natlonal defence and one-
flfth to health. The USA ls unlque both among
countrles of the Organlsatlon for Lconomlc
Co-operatlon and Development (OLCD) and G7
countrles ln lts heavy emphasls on defence and health.
Principal supporting agencies
Although more than 25 federal agencles report GLPD
obllgatlons, only seven reported GLPD obllgatlons ln
excess of US$l bllllon ln 2007. The budget of these
agencles accounted for over 96% of federal GLPD, or
approxlmately US$l08 bllllon.
2
The prlnclpal fundlng sources and performers of P&D ln
the Department of Health and Human Servlces are the
Natlonal |nstltutes of Health. A slgnlflcant change slnce
the uNl5CO 5c|ence keott 2005 ln terms of federal
support for P&D ls that seven rather than slx federal
agencles are now ln the bllllon-dollar P&D club and
account for over 96% of federal expendlture (Table 2). The
Department of Homeland Securlty, created ln response to
the [lhadlst attacks on the USA of ll September 200l,
comblned bureaux wlthln several exlstlng cablnet
departments, lt has now [olned the ranks of those prlnclpal
performers and supporters of federal expendlture on P&D.
The American Reinvestment and Recovery Act (2009)
On 9 Pebruary 2009, Congress enacted the Amerlcan
Pecovery and Pelnvestment Act, commonly known as the
stlmulus package, whlch Presldent 8arack Obama slgned
lnto law a week later, on l7 Pebruary. The ratlonale and
general outllne of the Act had been proposed by Obama
on 6 1anuary, two weeks prlor to hls lnauguratlon. The
approxlmately US$800 bllllon stlmulus package contalns
substantlal fundlng for S&T, ln excess of US$30 bllllon.
These lnvestments are made ln the context of the Obama
admlnlstratlon's emphasls on clean energy, educatlon,
baslc research, health care, broadband communlcatlons,
medlcal dlscoverles and lnfrastructure such as roads and
schools. Speclflc P&D lncreases found ln the stlmulus
package lnclude:
Table 1: Pederal P&D ln the USA by ma[or soclo-economlc ob[ectlve, 2007-2009
8uJet outhot|ty |n m|ll|ons ol Jollots
20082009
2007 2008 2009 Dollar Percentage Share of total
Actual Estimate Budget change change 2009 (%)
Defence` 82 658 8l 500 84 513 3 0l3 3.7 57.4
Non-defence 59 276 60 94l 62 848 l 907 3.l 42.6
Space l0 988 ll 676 12 334 657 5.6 8.4
Health 30 396 30 663 30 813 l50 0.5 20.9
Lnergy l 922 2 460 2 474 l4 0.6 1.7
General Sclence 8 7l2 8 744 10 225 l 48l l6.9 6.9
Lnvlronment 2 096 2 l53 2 060 -93 -4.3 1.4
Agrlculture l 950 l 972 1 637 -335 -l7.0 1.1
Transportatlon l 380 l 359 1 366 7 0.5 0.9
Commerce 5l6 557 576 l9 3.3 0.4
|nternatlonal 246 255 255 0 0.0 0.2
1ustlce 369 355 356 l 0.3 0.2
All other 700 746 752 6 0.8 0.5
Total R&D 141 933 142 441 147 361 4 920 3.5 100.0
` |ncludes Department of Defense, defence P&D ln the Department of Lnergy and defence-related P&D ln the Department of Homeland Securlty
Note: Classlflcatlons generally follow the government's budget functlon categorles, wlth the exceptlon of health. All flgures are rounded to the nearest
mllllon. Changes are calculated from unrounded flgures.
5outce: AAAS estlmates based on data from OM8 and agency budget [ustlflcatlons
2. The US$l08 bllllon total exceeds the US$98.3 bllllon total federal P&D
approprlatlons for flscal year 2007, slnce several agencles are permltted to
carry over unexpended funds from one flscal year to the next, lncludlng
the Department of Defense.
37
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
I National Science Foundation: US$3 bllllon, lncludlng
US$2.5 bllllon for research and related actlvltles,
US$400 mllllon to bulld ma[or research facllltles and
US$l00 mllllon for lmprovlng lnstructlon ln sclence,
mathematlcs and englneerlng.
I National Institutes of Health (NIH): US$l0 bllllon,
lncludlng US$l.3 bllllon for the Natlonal Center for
Pesearch Pesources (US$l bllllon of whlch ls for
competltlve awards, constructlon and renovatlon of
extramural research facllltles), US$8.2 bllllon for the Offlce
of the Dlrector (US$7.4 bllllon for lnstltutes, centres and a
Common Pund), and US$500 mllllon for repalr and
lmprovement of N|H bulldlngs and facllltles.
I Department of Energy: US$l8.4 bllllon, US$l6.8 bllllon
of whlch ls for energy efflclency, renewable energy sources
and batterles and the remalnder for sclence programmes.
I Department of Lnergy's new Advanced Research
Project Agency: US$400 mllllon ls provlded for hlgh-
rlsk, hlgh-payoff research lnto energy sources and
energy efflclency.
I National Aeronautics and Space Administration
(NASA): US$l bllllon, lncludlng US$400 mllllon for
sclence, US$l50 mllllon for aeronautlcs and
US$400 mllllon for exploratlon.
I National Institute of Standards and Technology
(NIST): US$600 mllllon total lncludlng US$220 mllllon
for research, competltlve grants, fellowshlps and
equlpment, US$360 mllllon ls to address malntenance
and constructlon of N|ST facllltles.
I US Geological Survey: US$l40 mllllon compared wlth
a total 2009 budget of US$l.04 bllllon for surveys,
lnvestlgatlons and research.
I Department of Defense: US$300 mllllon for research,
testlng and evaluatlon, ln addltlon to the energy lnltlatlve
of the Advanced Pesearch Pro[ect Agency noted above.
President Obamas budget request for 2010
On 7 May 2009, Presldent Obama submltted hls detalled
budget request to Congress for flscal year 20l0 beglnnlng on
l October 2009. Thls lncluded an appeal for P&D of
US$l47.4 bllllon, an lncrease of US$555 mllllon over the
prevlous flscal year approprlated by Congress and an amount
over and above that provlded ln the Pebruary stlmulus
package. Of thls amount, US$29.4 bllllon was earmarked for
baslc research (Table 2), US$29.7 bllllon for applled research
and the balance for technologlcal development.
|n flscal year 2007, Congress had accepted the 8ush
admlnlstratlon's request to double the budgets of the
Natlonal Sclence Poundatlon (NSP), the Offlce of Sclence of
the Department of Lnergy and the Natlonal |nstltute of
Standards and Technology. The Obama admlnlstratlon's flscal
year 20l0 request ls on track to double the budget of these
three organlzatlons by flscal year 20l6.
The role of mission agencies
wlth a slngle exceptlon, all of the federal government's
cablnet departments and lndependent agencles that
perform and/or support P&D do so ln pursult of thelr
congresslonally mandated mlsslons. The exceptlon, the NSP,
was mandated by Congress at the tlme of lts creatlon ln l950
to 'advance the progress of sclence' by supportlng sclence
and englneerlng research ln unlversltles, colleges and other
non-proflt lnstltutlons, as well as mathematlcs, sclence and
englneerlng educatlon at all levels. The NSP has slnce
en[oyed functlonal autonomy.
Table 2: 8aslc research budget for the prlmary US federal
agencles, 2003 and 2008
Basic research Basic
budget in research
2003 in 2008
(US$ billions) (US$ billions)
Natlonal |nstltutes of Health l4.l l6.5
Natlonal Sclence Poundatlon 3.4 4.0
Department of Lnergy 2.6 3.5
Natlonal Aeronautlcs and
Space Admlnlstratlon (NASA) 2.4 2.3
Department of Defense l.4 l.8
Department of Agrlculture 0.9 0.9
Department of Homeland Securlty - 0.3
Total for the agencies
listed here 24.8 29.4
Total for all federal agencies 30.3
5outce: AAAS, Patchford and 8lanpled (2005) Unlted States of Amerlca.
|n. uNl5CO 5c|ence keott 2005
Of the federal government's US$94.2 bllllon ln P&D
expendlture for 2007, US$24.4 bllllon was devoted to
actlvltles ln laboratorles and other facllltles managed
dlrectly by a federal department or agency. Among the
latter, the 27 research facllltles of the Natlonal |nstltutes of
Health (N|H), most of them located ln 8ethesda ln the
State of Maryland, lmmedlately north of washlngton, DC,
provlde the prlnclpal example. |n 2007, [ust under l0% of
N|H's US$28.4 bllllon budget was allocated to research ln
these 27 facllltles. The remalnder was allocated to awards
for unlverslty faculty, most often ln medlcal schools, ln the
form of research grants based on competltlve, peer-
revlewed proposals. Many of these research pro[ects
lnvolve large, expenslve epldemlologlcal studles.
Federally Funded R&D Centers
An addltlonal US$l3.2 bllllon from the 2007 federal
budget for P&D was allocated to the 37 Pederally Punded
Pesearch and Development Centers (PPPDCs), often called
natlonal laboratorles. Speclflc to the USA, these centres
are managed by unlversltles, companles and non-proflt
lnstltutlons on behalf of the federal government and wlth
lts full support. Of these 37 centres, l6 are unlverslty-
managed, 5 are lndustry-managed and l6 are managed
by non-proflt organlzatlons.
Slxteen of the PPPDCs are funded by the Department of
Lnergy (DoL) and managed on lts behalf. These
l6 organlzatlons performed P&D funded to the tune of
almost US$9 bllllon durlng flscal year 2006, three-
quarters of the P&D performed by all the PPPDCs
comblned. Approxlmately 60% of DoL's P&D budget ls
allocated to supportlng these facllltles. DoL-supported
PPPDCs lnclude the Los Alamos, Llvermore and Sandla
Natlonal Laboratorles, whlch were orlglnally establlshed
for the purpose of developlng nuclear weapons,
beglnnlng wlth Los Alamos ln l943. Although the flrst
two had been managed from the outset by the
Unlverslty of Callfornla, DoL announced ln 2003 lts
lntentlon to open up thelr management to blds from
other potentlal contractors. 8oth are now managed by
consortla whlch lnclude both the Unlverslty of Callfornla
and a number of lndustrlal organlzatlons. Pour of the
PPPDCs reported expendlture on P&D of more than
US$l bllllon ln flscal year 2006: Los Alamos Natlonal
Laboratory, Sandla Natlonal Laboratory, the 1et
Propulslon Laboratory (managed by the Callfornla
|nstltute of Technology on behalf of NASA) and the
Llvermore Natlonal Laboratory.
DoL-supported natlonal laboratorles also lnclude several
whose purpose ls to house and malntaln large-scale
research facllltles on behalf of unlverslty users groups,
lncludlng the Lrnest Orlando Lawrence 8erkeley
Laboratory managed by the Unlverslty of Callfornla and
the Perml Natlonal Accelerator Laboratory managed by a
consortlum of unlversltles known as Assoclated
Unlversltles |nc.
|n addltlon to those supported by DoL, nlne PPPDCs are
supported by the Department of Defense (DoD), an
addltlonal flve by the Natlonal Sclence Poundatlon whlch,
by law, cannot operate lts own research facllltles, and one
each by NASA, the N|H, the Department of Homeland
Securlty, the Nuclear Pegulatory Commlsslon, the Natlonal
Securlty Agency and the |nternal Pevenue Servlce.
S || ||||S|+
The effect of the recession on industrial R&D
The year 2008 began wlth an optlmlstlc outlook for
lndustrlal P&D fundlng. The annual |ndustrlal Pesearch
|nstltute (|P|) survey of pro[ectlons of member companles
- whlch perform the ma[orlty of lndustrlal P&D ln the USA
- lndlcated robust growth for total company P&D.
Companles planned to lncrease hlrlng of new graduates
to conduct P&D. The ratlo of P&D to sales was pro[ected to
rlse, lndlcatlng an lncrease ln technologlcal lntenslty.
The economlc cllmate deterlorated dramatlcally
throughout 2008 and well lnto 2009. Although lndustrlal
P&D rose to lts hlghest level ln 2007 and 2008, rellable
pro[ectlons ln mld-20l0 showed a levelllng out ln 2009
and even a modest reductlon ln 20l0. Pflzer |nc.
announced ln 1anuary 2009 that lt was laylng off as many
as 800 researchers, 5-8% of lts l0 000 research employees.
Pflzer has the blggest P&D budget of any drug-maker
(US$7.5 bllllon). The large pharmaceutlcal companles have
had a lot of trouble deslgnlng effectlve strategles for P&D,
due to the 'lumpy' or lrregular pay-off resultlng from the
'blockbuster' drug model that requlres a huge flnanclal
lnvestment ln development and testlng. Some lndustry
experts call for 'blg pharmas' to buy more of the new drugs
for thelr plpellnes rather than develop these ln house.
On 29 Aprll 2009, the |P| halled the Obama admlnlstratlon's
P&D spendlng plans as 'the largest commltment to sclentlflc
research and lnnovatlon ln US hlstory, more than what was
|||SO S|||| |||O| 2010
38
39
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
spent at the helght of the space race ln l964'. However,
palnful changes are llkely ln lndustry. As |P| Presldent Ldward
8ernsteln noted, 'Now more than ever, P&D groups are under
pressure to restructure thelr organlzatlonal and
technologlcal capabllltles ln key areas.'
The buslness-orlented woll 5tteet 1outnol took a generally
optlmlstlc vlew of P&D ln lndustry ln a front-page artlcle
dated 6 Aprll 2009. The 1outnol provldes a contrastlng vlew of
multlnatlonals Apple and Motorola, polntlng out that Apple
boosted P&D spendlng by 42% between l999 and 2002,
resultlng ln the lPod and lTunes llnes. Motorola, on the other
hand, slashed P&D spendlng by l3% ln 2002, causlng P&D
expendlture to trall revenue. Motorola's market share and
stock prlce have slnce plummeted. The 1outnol states, ' P&D
spenders say they've learned from past downturns that they
must lnvest through tough tlmes lf they hope to compete
when the economy lmproves.'
The bottom llne appears to be a llkellhood of substantlal
reductlons ln lndustrlal P&D durlng the economlc recesslon,
probably lagglng behlnd the economlc lndlcators by a year
or so, both on the way down and on the way up. The carrot of
future products and sales may well llmlt the depth of the
P&D recesslon but turmoll ls llkely. Thls wlll cause many
companles to rethlnk thelr overall P&D and lnnovatlon
strategles, probably strengthenlng the open lnnovatlon
optlon growlng so popular.
Pormal research strategles and budgets for 2009 may show
small lncreases but early lndlcatlons are that 2009 and
probably 20l0 wlll llkely show contractlons ln fundlng of
lndustrlal P&D. |n some companles, there have already been
large lay-offs of research staff, resultlng from economlc
pressure and a reallzatlon that money alone wlll not flll the
product plpellne.
An impending downturn in funding for
industrial R&D
The lmpendlng downturn ln fundlng of lndustrlal P&D wlll
come as somethlng of a 'culture shock', as lndustrlal P&D has
prospered ln recent decades ln the USA. |n 2007, the last year
for whlch NSP estlmates are avallable, lndustry funded 67%
of natlonal P&D and performed 72%. A year earller, the
flgures were 65% and 7l% respectlvely. wlth hlndslght, thls
appears to be a fluctuatlon rather than a trend: ln 2007, the
ratlo of lndustrlal GLPD to GDP was l.88%, compared wlth
l.85% ln 200l, comparable ratlos for federal expendlture
were 0.64% and 0.69%, respectlvely.
The overall growth ln GLPD has far outpaced that for GDP ln
real terms for over 50 years, wlth lndustrlal P&D growlng
much faster than federal P&D. Por example, ln l953, the non-
federal (mostly lndustry) GLPD/GDP ratlo (0.63%) was only
one-thlrd that of 2007 (l.95%). The comparable federal
numbers are 0.73% and 0.7l%, a sllght decrease over thls
long perlod. |ndustrlal P&D has contrlbuted most of the real
growth ln US P&D. Thls trend demonstrates the lncreaslng
lmportance of lndustrlal technology ln a growlng US
economy. Companles have been puttlng thelr money where
thelr mouths are.
A market advantage dependent on spending enough
Technologlcal lntenslty varles between lndustrles,
companles and countrles. |t ls relatlvely easy, ln prlnclple,
to measure lnput to the lnnovatlon chaln, the ultlmate
reason companles lnvest ln P&D. Measurlng output ls
much more dlfflcult, slnce management, government
pollcy envlronments and pure luck play such lmportant
roles. |t ls probable that market advantage depends on a
company spendlng 'enough' on P&D, accordlng to the
norms of lts lndustry group, beyond that, managerlal and
strateglc conslderatlons - not to mentlon luck - appear to
control the outcome.
Measures of technologlcal lntenslty lnclude the ratlo
of P&D to net sales, GLPD/GDP ratlo, hlgh-tech
manufacturlng exports, patents and P&D per employee.
Lach of these presents problems. Por example, hlgh-tech
products can be manufactured and assembled by
multlnatlonal companles ln countrles wlth llttle sclentlflc
lnfrastructure. Nothlng more than a moderately educated
labour force, lncentlves and good management are
necessary.
Plgure 4 shows the US trade balance for hlgh-tech goods.
The swlng from a surplus for the USA to a large deflclt
over the perlod from the mld-l990s to the present
occurred ln splte of the USA's lead ln technology durlng
thls perlod. Competltlve conslderatlons led to less
expenslve offshore manufacturlng strategles, wlth Chlna
belng the preferred host country, followed by |ndla.
The GLPD/GDP ratlo tends to fluctuate ln the USA between
2.5% and 3%, dependlng on the relatlve growth of P&D
and GDP. Most large lndustrlallzed countrles have slmllar
ratlos. The ratlo for non-federal P&D has steadlly lncreased
slnce l953, from about 0.7% to about 2%, a healthy
lndlcator of the technologlcal lntenslty of lndustry.
|||SO S|||| |||O| 2010
40
Table 3: Pundlng of lndustrlal P&D ln the USA by ma[or lndustry, 2003, 2005 and 2007
u55 m|ll|ons
All R&D Federal R&D
2003 2005 2007 2003 2005 2007
All lndustrles 200 724 226 l59 269 267 l7 798 2l 909 26 585
Manufacturlng lndustrles l20 858 l58 l90 l87 477 l3 l33 l5 635 l8 l70
Non-manufacturlng lndustrles 79 866 67 969 8l 790 4665 6 274 8 4l5
Chemlcals 23 00l 42 995 46 329` 307 l69 2ll`
Machlnery 6 304 8 53l 9 865 80 l09 69
Computers and electronlc products 39 00l 48 296` 58 599 6 506 8 522` 8 838
Aerospace products and parts l3 205 l5 005 l8 436 5 356 4 076 5 040
Software x l6 926 ` x 33 `
Professlonal/S&T servlces, lncludlng P&D servlces 27 967 32 02l 40 533 4 237 5 839 7 608
X data for 2003 and 2004 have been suppressed by the source to prevent dlsclosure of confldentlal lnformatlon.
` data are for 2006 because the data for 2005 or 2007 have been suppressed by the source to prevent dlsclosure of confldentlal lnformatlon.
|f no data at all are glven, thls means the data for 2006 have also been suppressed.
5outce: Natlonal Sclence 8oard (20l0) 5c|ence onJ ln|neet|n lnJ|cotots
Figure 4: Trade balance for hlgh-tech goods ln the USA, l995-2008
Othet countt|es onJ te|ons ote |ven lot comot|son
Notes: Here, the Luropean Unlon excludes Cyprus, Lstonla, Latvla, Llthuanla, Luxembourg, Malta and Slovenla. Chlna lncludes Hong Kong.
5outce: Natlonal Sclence 8oard (20l0) 5c|ence onJ ln|neet|n lnJ|cotots
-90
-60
-30
0
30
60
90
l20
l50
l996 l995 l997 l998 l999 2000 200l 2002 2003 2004 2005 2006 2007 2008
China
1apan
Luropean Union
USA
-l5.23
-6.4l
-22.26
8l.08
-79.63
l28.66
-32.2l
48.85
4l
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
One commonly used measure ls the P&D/net sales ratlo. Thls
ratlo ln the USA currently hovers around 3.7% for those
companles dolng P&D (Table 3). There ls a huge dlfference ln
thls ratlo from one lndustry to another, wlth the P&D/net
sales ratlo for software and |nternet belng l0 tlmes that of
chemlcals and energy. wlthln partlcular lndustrles, large
companles tend to have hlgher ratlos than small ones.
Multinational companies
Multlnatlonal companles are among the largest lnvestors ln
P&D (Table 4). Of the l9 that spend more that US$4 bllllon on
P&D annually, seven are headquartered ln the USA (namely,
Mlcrosoft, Pflzer, Pord, General Motors, |8M, 1ohnson and
1ohnson, and |ntel, whose total P&D expendlture ln 2004
totalled US$45.l bllllon), four ln 1apan, three ln Germany, two
ln Swltzerland and one each ln Plnland, the Pepubllc of Korea
and the UK. The P&D/net sales ratlo for larger multlnatlonal
companles tends to be hlgher than that for smaller (though
stlll large) companles, repllcatlng the dlstrlbutlon pattern for
US companles.
US multlnatlonals comprlse US parent companles and thelr
forelgn afflllates. Llke most multlnatlonals, US multlnatlonals
conduct research ln many of the countrles ln whlch they do
buslness. The reasons for thls often relate to deslgnlng
products and servlces for local markets or adaptlng them to
local markets. Over the past decade, about 85% of the
comblned global P&D expendlture by US multlnatlonals has
been spent at home. Porelgn afflllates' P&D expendlture grew
at a faster rate than US parents and the share of forelgn
afflllates' P&D expendlture wlthln US multlnatlonals rose
one-thlrd. Perhaps more lmportant are changes ln the
geographlcal dlstrlbutlon of thls expendlture (Plgure 5).
Trends in technology trade
The balance of trade ln technology ls one measure that has
been recelvlng substantlal attentlon ln recent years. 'Trade ln
technology' means trade ln lntellectual property measured
by the payment of royaltles and llcenslng fees. Plgure 6
shows the contlnulng strength of the USA by thls measure.
The USA malntalns an lmpresslve trade surplus ln lntellectual
property. Not all of thls trade ln lntellectual property ls
'technology' ln the usual sense of understandlng by sclentlsts
and englneers, and the ma[orlty of the trade takes place
between afflllated companles. |t does, however, provlde a
stable and somewhat lntellectually defendable marker for
natlonal technologlcal strength over tlme.
The servlces sector has grown faster than manufacturlng for
at least two decades and ls drlvlng economlc actlvlty around
the world. The world 8ank estlmates that servlces accounted
for 56% of the global economy ln l980 as opposed to 68%
ln 2003. Knowledge-lntenslve servlces are both hlgh-tech-
orlented and market-orlented. They more than doubled
from l986 to 2005, from US$4.5 trllllon to US$ll.5 trllllon ln
constant dollars, growlng at an lnflatlon-ad[usted rate of 4.8%,
compared wlth 2.7% for other servlces durlng thls perlod.
Servlce-sector P&D has also grown rapldly. Although thls
growth ls lmpresslve, the manufacturlng sector ls stlll more
technologlcally lntenslve than the servlces sector.
An R&D crisis in big pharma
The large pharmaceutlcal companles, almost all of whlch are
multlnatlonal, have been among the blggest spenders on
P&D. |n response to these large lnfuslons of research fundlng,
they have ln the past produced a steady stream of
'blockbuster' drugs. 8y keeplng a stream of new
pharmaceutlcals ln the plpellne, they have assured lnvestors
of greater proflts, ln splte of the very large lnvestments
requlred ln cllnlcal trlals and other costs lncurred ln brlnglng
new products to market.
|n recent years, thls buslness plan appears to have ceased
worklng effectlvely. The money has contlnued to pour lnto
Company R&D Company R&D/
sales ratio (%)
2003 2005 2007 2003 2005 2007
l82 926 204 250 242 682 3.2 3.3 3.5
l07 725 l42 555 l69 307 3.l 3.6 3.7
75 20l 6l 695 73 375 3.3 2.0 0.9
22 693 42 826 55 3l9 5.6 6.9 7.9
6224 8 422 9 796 4.2 3.6 3.7
32 495 42 463 49 760 9.3 9.0 8.4
7 849 l0 928 l3 397 3.5 4.8 5.l
l5 095 l6 893 l9 634 23.4 2l.9 l9.6
23 730 26 l8l 32 924 l0.2 l0.0 9.5
|||SO S|||| |||O| 2010
42
T
a
b
l
e

4
:

T
o
p

P
&
D

s
p
e
n
d
l
n
g

c
o
r
p
o
r
a
t
l
o
n
s
,

2
0
0
3

a
n
d

2
0
0
4
R
&
D

r
a
n
k
R
&
D

e
x
p
e
n
s
e

(
$

m
i
l
l
i
o
n
s
)
S
a
l
e
s

(
$

m
i
l
l
i
o
n
s
)
R
&
D

i
n
t
e
n
s
i
t
y

(
%
)
C
o
m
p
a
n
y

(
c
o
u
n
t
r
y
)
2
0
0
4
2
0
0
3
2
0
0
4
2
0
0
3
C
h
a
n
g
e

(
%
)
2
0
0
4
2
0
0
3
2
0
0
4
2
0
0
3
P
o
r
d

M
o
t
o
r

(
U
S
A
)
l
2
7

4
0
0
7

5
0
0
-
l
.
3
l
7
l

6
5
2
l
6
4

l
9
6
4
.
3
4
.
6
D
a
l
m
l
e
r
C
h
r
y
s
l
e
r

(
G
e
r
m
a
n
y
)
2
4
7

l
8
7
7

0
7
6
l
.
6
l
8
0

4
4
8
l
7
3

3
0
7
4
.
0
4
.
l
T
o
y
o
t
a

M
o
t
o
r

(
1
a
p
a
n
)
3
6
7

0
5
2
6

3
7
2
l
0
.
7
l
7
3

2
5
4
l
6
l

5
l
7
4
.
l
3
.
9
P
f
l
z
e
r

(
U
S
A
)
4
3
6

6
l
3
7

l
3
l
-
7
.
3
5
2

5
l
6
4
5

l
8
8
l
2
.
6
l
5
.
8
G
e
n
e
r
a
l

M
o
t
o
r
s

(
U
S
A
)
5
7
6

5
0
0
5

7
0
0
l
4
.
0
l
9
0

8
l
2
l
8
2

0
0
5
3
.
4
3
.
l
S
l
e
m
e
n
s

(
G
e
r
m
a
n
y
)
6
5
6

4
3
l
6

4
3
6
-
0
.
l
9
5

4
8
0
9
4

2
9
3
6
.
7
6
.
8
M
l
c
r
o
s
o
f
t

(
U
S
A
)
7
l
6

l
8
4
7

7
7
9
-
2
0
.
5
3
9

7
8
8
3
6

8
3
5
l
5
.
5
2
l
.
l

M
a
t
s
u
s
h
l
t
a

L
l
e
c
t
r
l
c

|
n
d
u
s
t
r
l
a
l

(
1
a
p
a
n
)
8
8
5

7
4
8
5

4
0
9
6
.
3
8
l

3
7
7
6
9

8
5
4
7
.
l
7
.
7
G
l
a
x
o
S
m
l
t
h
K
l
l
n
e

(
U
K
)
9
9
5

2
5
l
5

l
6
2
l
.
7
3
7

6
5
5
3
9

6
5
6
l
3
.
9
l
3
.
0
1
o
h
n
s
o
n

&

1
o
h
n
s
o
n

(
U
S
A
)
l
0
l
3
5

2
0
3
4

6
8
4
l
l
.
l
4
7

3
4
8
4
l

8
6
2
l
l
.
0
l
l
.
2
|
n
t
e
r
n
a
t
l
o
n
a
l

8
u
s
l
n
e
s
s

M
a
c
h
l
n
e
s

(
U
S
A
)
l
l
l
0
5

l
6
7
5

0
6
8
2
.
0
9
6

2
9
3
8
9

l
3
l
5
.
4
5
.
7
v
o
l
k
s
w
a
g
e
n

(
G
e
r
m
a
n
y
)
l
2
l
4
4

8
2
3
4

4
7
9
7
.
7
l
l
3

0
0
4
l
l
0

7
0
5
4
.
3
4
.
0
|
n
t
e
l

(
U
S
A
)
l
3
l
5
4

7
7
8
4

3
6
0
9
.
6
3
4

2
0
9
3
0

l
4
l
l
4
.
0
l
4
.
5
N
o
k
l
a

(
P
l
n
l
a
n
d
)
l
4
l
2
4

7
4
2
4

7
7
6
-
0
.
7
3
7

l
7
6
3
7

4
l
5
l
2
.
8
l
2
.
8
S
o
n
y

(
1
a
p
a
n
)
l
5
l
l
4

6
8
8
4

8
0
5
-
2
.
4
6
6

8
6
4
7
0

0
0
9
7
.
0
6
.
9
S
a
m
s
u
n
g

L
l
e
c
t
r
o
n
l
c
s

(
P
e
p
.

o
f

K
o
r
e
a
)
l
6
2
5
4

5
2
9
3

3
3
7
3
5
.
7
7
7

4
9
4
6
l

2
8
4
5
.
8
5
.
4
H
o
n
d
a

M
o
t
o
r

(
1
a
p
a
n
)
l
7
l
6
4

3
6
8
4

l
9
3
4
.
2
8
0

7
8
4
7
6

2
3
l
5
.
4
5
.
5
N
o
v
a
r
t
l
s

(
S
w
l
t
z
e
r
l
a
n
d
)
l
8
2
0
4

2
0
7
3

7
5
6
l
2
.
0
2
8

2
4
7
2
4

8
6
4
l
4
.
9
l
5
.
l
P
o
c
h
e

H
o
l
d
l
n
g

(
S
w
l
t
z
e
r
l
a
n
d
)
l
9
l
7
4

l
9
2
3

9
2
5
6
.
8
2
5

7
4
2
2
5

6
9
8
l
6
.
3
l
5
.
3
M
e
r
c
k

(
U
S
A
)
2
0
2
9
3

8
8
5
3

l
7
8
2
2
.
2
2
3

4
3
0
2
2

4
8
6
l
6
.
6
l
4
.
l
A
s
t
r
a
Z
e
n
e
c
a

(
U
K
)
2
l
2
3
3

8
0
3
3

4
5
l
l
0
.
2
2
l

4
2
6
l
8

8
4
9
l
7
.
7
l
8
.
3
N
l
s
s
a
n

M
o
t
o
r

(
1
a
p
a
n
)
2
2
2
8
3

7
l
8
3

3
0
9
l
2
.
4
8
0

0
9
4
6
9

3
8
2
4
.
6
4
.
8
P
o
b
e
r
t

8
o
s
c
h

(
G
e
r
m
a
n
y
)
2
3
2
4
3

6
8
l
3

3
6
6
9
.
4
5
0

8
l
8
4
6

l
8
2
7
.
2
7
.
3
H
l
t
a
c
h
l

(
1
a
p
a
n
)
2
4
2
2
3

6
3
0
3

4
7
2
4
.
5
8
4

3
0
4
8
0

6
l
9
4
.
3
4
.
3
H
e
w
l
e
t
t
-
P
a
c
k
a
r
d

(
U
S
A
)
2
5
2
l
3

5
0
6
3

6
5
2
-
4
.
0
7
9

9
0
5
7
3

0
6
l
4
.
4
5
.
0
U
K

U
n
l
t
e
d

K
l
n
g
d
o
m
5
o
u
t
c
e
:
|
n
s
t
l
t
u
t
e

o
f

L
l
e
c
t
r
o
n
l
c
s

a
n
d

L
l
e
c
t
r
o
n
l
c
s

L
n
g
l
n
e
e
r
s

(
|
L
L
L
)
,

|
L
L
L

S
p
e
c
t
r
u
m

T
o
p

l
0
0

P
&
D

S
p
e
n
d
e
r
s
,

S
t
a
n
d
a
r
d

&

P
o
o
r
's

d
a
t
a

(
2
0
0
5
)
,

h
t
t
p
:
/
/
w
w
w
.
s
p
e
c
t
r
u
m
.
l
e
e
e
.
o
r
g
/
d
e
c
0
5
/
2
3
9
5
,

a
c
c
e
s
s
e
d

2
4

A
p
r
l
l

2
0
0
7
,
.
N
a
t
l
o
n
a
l

S
c
l
e
n
c
e

8
o
a
r
d

(
2
0
0
8
)
5
c
|
e
n
c
e

o
n
J

l
n
|
n
e
e
t
|
n

l
n
J
|
c
o
t
o
t
s

2
0
0
8
43
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
P&D but the new blockbusters have not come out the
other end. Thls came to a head ln early 2009 when the
drug-maker Pflzer lald off 800 researchers. Thls admlsslon
that results had not kept up wlth the bllllons of P&D
dollars belng lnvested sent shlvers through the lndustry
and the wlder blomedlcal research communlty.
The case of the rlslng pharmaceutlcal lndustry ln |ndla
provldes an lnterestlng contrast (see oe 368). 8locon, a
leadlng |ndlan pharmaceutlcal company headquartered
ln 8angalore, has yet to produce a product wlth lts label
for sale anywhere ln the world - even ln |ndla - although
lt may soon market a drug for treatlng dlabetes whlch
can be admlnlstered orally. Pather, the company has
developed crltlcal enzymes that lt sells or llcenses to
large pharmaceutlcal concerns. 8locon also arranges, ln
|ndla, for cllnlcal trlals of new drugs and has recelved
approval to do so from the US Pood and Drug
Admlnlstratlon.
O||| ||||||S A|| ||||O|V||S
Uncertain times for state funding of university
research
The approxlmately US$ l8.0 bllllon (4.9%) of total US
GLPD not generated ln 2006 by elther lndustry or the
federal government was accounted for malnly by colleges
and unlversltles from thelr own funds (US$ 9.9 bllllon) and
non-proflt organlzatlons other than colleges and
unlversltles (US$ 8.l bllllon).
8y far the largest fractlon of the research funds expended
by colleges and unlversltles from thelr own funds ln 2006
came from elther dlrected grants from state governments
or from general funds allocated from those same sources.
State government budgets suffered conslderably because
of the economlc downturn startlng ln December 2007.
Unllke the federal government, many states cannot run
Figure 5: Peglonal shares of P&D performed abroad by forelgn afflllates of US multlnatlonals, l994-2004 (%)
0
10
20
30
40
50
60
70
80
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004
Europe
Canada
Japan
Asia/Pacic excluding Japan
Latin America/other Western Hemisphere
Middle East
Africa
9.8
6.3
3.2
3.0
0.1
11.6
65.9
Note: Data for ma[orlty-owned afflllates. Prellmlnary estlmates for 2004.
5outce: 8ureau of Lconomlc Analysls, Survey of US Dlrect |nvestment Abroad (annual serles). See appendlx table 4-45, Natlonal Sclence 8oard (2008)
5c|ence onJ ln|neet|n lnJ|cotots 2008
deflclts, as they are obllged to balance thelr budgets from
year to year. One result has been that state support for
educatlon at all levels has been sub[ect to often severe
budget cuts. |n the case of state unlversltles, these cuts
lnvolve thelr research as well as thelr lnstructlonal
budgets. State governments provlde negllglble support to
prlvate unlversltles.
States dlffer conslderably ln terms of the amount of P&D
performed wlthln thelr borders by unlversltles, lndustry
and federal government facllltles, lncludlng PPPDCs.
vlrtually all of these actlvltles are funded by lndustry or by
the federal government. |n 2005, 59% of total US P&D was
performed ln l0 of the country's 50 states. Callfornla alone
accounted for approxlmately one-flfth of all US P&D that
year. Pederal P&D accounted for 85% of P&D ln New
Mexlco, the state ln whlch the two largest PPPDCs ln terms
of performance are located: the Los Alamos Natlonal
Laboratory and the Sandla Natlonal Laboratory.
Non-profit bodies leaning towards basic and
applied research
|n 2006, non-proflt lnstltutlons other than unlversltles and
colleges lnvested approxlmately US$8.l bllllon ln P&D, wlth
vlrtually the entlre amount belng devoted to baslc and
applled research rather than development. 8etween l986
and 2005, P&D fundlng from the academlc and non-proflt
sectors grew at an annual rate of almost 6%, greater than
that of elther the lndustrlal or federal sectors, although lt
decllned sllghtly between 2005 and 2006.
Non-proflt organlzatlons ln the USA both fund and
perform research, although typlcally each such body
emphaslzes one or the other of these functlons. Non-
proflt organlzatlons depend heavlly upon endowments,
whlch contracted conslderably wlth the economlc
downturn that became apparent durlng 2008. Thls has
obllged non-proflt organlzatlons to reduce the level of
thelr actlvltles for the duratlon of the crlsls.
|||SO S|||| |||O| 2010
44
Figure 6: US trade recelpts and payments for lntellectual property, l989-2005
0
20
40
60
80
100
Payments
Share of trade volume
Receipts
0
10
20
30
40
50
60
1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
U
S
$

b
i
l
l
i
o
n
s
P
e
r
c
e
n
t
a
g
e

s
h
a
r
e
57.4
24.5
70.1
5outce: 8ureau of Lconomlc Analysls, Survey of Current 8uslness 86(l0):50-54 (2006). See appendlx table 6-22, Natlonal Sclence 8oard (2008) 5c|ence
onJ ln|neet|n lnJ|cotots 2008
45
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
Two examples of non-proflt organlzatlons are the Carnegle
|nstltutlon and the Howard Hughes Medlcal |nstltute.
we shall not dwell on the former, as lt has already been
proflled ln the uNl5CO 5c|ence keott 2005. we could say
a few words about the Howard Hughes Medlcal |nstltute,
though. |t was founded ln l953 by the avlator and
lndustrlallst of the same name. The lnstltute ls
headquartered ln Chevy Chase ln the State of Maryland
and has an endowment of US$l8.7 bllllon. |t typlcally
commlts almost US$700 mllllon per year to blomedlcal
research through a competltlve grants programme.
Currently, lts 300 lnvestlgators are located ln
64 unlversltles, research lnstltutes, medlcal schools and
afflllated hospltals. The lnstltute also dlstrlbutes more
than US$80 mllllon annually for sclence educatlon.
||||S || || |||\||S|+ S+S|V
Slnce the end of the Second world war, US unlversltles
have moved from the perlphery of the natlon's research
system to a posltlon at lts vltal centre. Although, ln 2006,
they performed only about l4% of natlonal P&D ln dollar
terms, they performed 57% of the country's baslc research.
Thls functlon has become lncreaslngly lmportant as
lndustry has largely abandoned ln-house baslc research ln
favour of more focused, short-term applled P&D offerlng a
more rapld return on lnvestment (8ox 2 and Plgure 7).
8etween l995 and 2002, the number of patents granted
to unlversltles lncreased substantlally, as dld the royalty
lncome derlved from llcenslng those patents. Patents peaked
at [ust under 3 300 ln 2002 before decllnlng to about 2 700 ln
2005. However, the medlan net royaltles from unlverslty-held
patents grew from approxlmately US$600 000 ln 2002 to
over US$900 000 ln 2005. Lven though these amounts are
small compared to the total US$47.8 bllllon ln P&D
performed by unlversltles ln 2006, these data lndlcate that an
lncreaslng fractlon of unlverslty research ls potentlally
avallable for exploltatlon by lndustry. At the same tlme,
unlversltles are at least equally lmportant as the source of
new generatlons of sclentlsts and englneers. Some crltlcs
contend that they may be neglectlng thelr teachlng
functlon ln favour of research, partlcularly ln dlsclpllnes that
have a reasonable potentlal for commerclal development.
when unlverslty-lndustry research partnershlps emerged
durlng the late l970s, conslderable concern was expressed
that unlversltles could become '[ob shops' for lndustry.
These concerns have not materlallzed, although a few
lesser unlversltles may have followed thls course. Dlsputes
between unlversltles and lndustrlal partners over the
shares of lncome derlved from thelr research
collaboratlons are rare, prlmarlly because contracts
detalllng these and other essentlal matters are negotlated
ln advance.
One area where concern does seem to be growlng ln the
USA, especlally among [ournal publlshers, ls the rlsk of a
confllct of lnterest between sclentlflc researchers and prlvate
lndustry affectlng the results of some research (8ox 3).
The essential role of research universities
The bulk of academlc research and advanced teachlng at
graduate level are carrled out by a relatlvely small number
of US unlversltles. Accordlng to the Carnegle Poundatlon
for the Advancement of Teachlng, there are currently
approxlmately 3 400 degree-grantlng lnstltutlons ln the
USA servlng approxlmately l4.5 mllllon students. Among
these, l27 are classlfled as research unlversltles by the
foundatlon, deflned as belng lnstltutlons that offer a full
range of baccalaureate and graduate programmes and
obtaln more than US$l5.5 mllllon annually ln federal
grants. Panked ln order of thelr P&D performance, the
top l00 US unlversltles account for 80% of all such
expendlture and the top 200 for 96%.
The impact of the economic recession on universities
|n 2006, the total budget for unlverslty P&D amounted
to US$47.8 bllllon. The federal government flnanced two-
thlrds of thls and lndustry a llttle less than one-flfth.
The great ma[orlty of unlverslty P&D was devoted to
baslc research (Plgure 8).
The economlc recesslon has had an lmpact on all US
lnstltutlons of hlgher educatlon, research unlversltles
lncluded. Prlvate unlversltles depend on lncome from
thelr endowments to support both thelr research and
lnstructlonal actlvltles. The value of these endowments,
and therefore the lncome from them, have decreased
markedly slnce 2007. Por example, the lncome on
endowments of Harvard and ale have decreased by
approxlmately 25%, or approxlmately US$50 mllllon,
obllglng these unlversltles to cut back on thelr research
and teachlng programmes.
Typlcally, the research of new faculty members ls supported
for up to two years by thelr unlversltles untll they succeed ln
|||SO S|||| |||O| 2010
46
Box 2: 8aslc research: a cornerstone of US sclence pollcy for 65 years
SJppc.t |c. b.s|c .oso..c| |.s boor .
cc.ro.stcro c| |S sc|orco pc||cy ovo.
s|rco 1945, .|or \.rrov.. bJs|
p.osortoJ ||s |r||Jort|.| .opc.t,
ort|t|oJ Science the Endless Frontier, tc
|.os|Jort |...y .Jn.r. |r ||s .opc.t,
bJs| ..JoJ t|.t t|o |oJo..|
cvo.rnort rct cr|y |.J t|o
.Jt|c.|ty bJt .|sc t|o cb||.t|cr tc
sJppc.t .oso..c| p..t|cJ|..|y b.s|c
.oso..c| |r Jr|vo.s|t|os .rJ ct|o.
rcrp.c||t c..r|..t|crs.
|o |npc.t.rco c| |oJo..|
|rvostnort |r b.s|c .oso..c| |.s |cr
co.soJ tc bo . pc||t|c.||y ccrtort|cJs
|ssJo. |oJo..| |rvostnort |r b.s|c
.oso..c| |.s boor sJppc.toJ by bct|
t|o |opJb||c.r .rJ |oncc..t|c
p.os|Jort|.| .Jn|r|st..t|crs |c.
Joc.Jos. bct| pc||t|c.| p..t|os |r
cr.oss |.vo Jp|o|J t||s pcs|t|cr, t|o
cr|y |ssJos |r J|spJto bo|r t|o |ovo| c|
sJppc.t .rJ |ts J|st.|bJt|cr .ncr
.orc|os, p.c..nnos .rJ J|sc|p||ros.
Scno J|s..oonorts .ncr t|o t.c
p..t|os |.vo .|sc ..|sor cvo. t|o
.pp.cp.|.toross c| |oJo..| sJppc.t |c.
scno p.occnpot|t|vo || |r |rJJst.y.
||s J|s..oonort ccrco.rs || t|.t
||os cr t|o bcJrJ..y bot.oor .oso..c|
.rJ ccnno.c|.| Jovo|cpnort,
.osJ|t|r |r .|.t ..o scnot|nos c.||oJ
oro.|c c. or.b||r toc|rc|c|os', sJc|
.s ccnbJst|cr .rJ cc..cs|cr. |o.o ..o
.|sc so.|cJs J|s..oonorts .bcJt .
p.cpcs.| tc bJ||J . sp.co b.so cr t|o
Vccr c. tc JrJo.t.ko .r |r|.b|toJ
n|ss|cr tc V..s.
|.|c. tc t|o SoccrJ \c.|J \.., t|o
|oJo..| cvo.rnort p.cv|JoJ .|ncst
rc sJppc.t |c. b.s|c .oso..c| |r
Jr|vo.s|t|os .rJ po.|c.noJ ||tt|o c. rc
b.s|c .oso..c| |r |ts c.r |.bc..tc.|os.
|oso..c| |r p.|v.to Jr|vo.s|t|os ..s
sJppc.toJ |.cn t|o|. orJc.norts
.rJ by p.|v.to ccnp.r|os .rJ
p|||.rt|.cp|c c..r|..t|crs. |oso..c|
|r st.to Jr|vo.s|t|os ..s .|sc sJppc.toJ,
|r p..t, by t|o cvo.rnorts c| t|o|.
.ospoct|vo st.tos. |.rks |r |..o
no.sJ.o tc t|o ..Jnorts p.osortoJ
|r Science the Endless Frontier, t||s
s|tJ.t|cr bo.r tc c|.ro sc t|.t, by
1953, t|o ||.st yo.. |r .||c| ccrs|stort
J.t. .o.o .t|o.oJ, t|o |oJo..|
cvo.rnort boc.no .rJ |.s
.on.|roJ ovo. s|rco t|o p.|rc|p.|
sJppc.to. c| b.s|c .oso..c| (||J.o ).
5outce: authors
Figure 7: 8aslc research ln the USA by performlng sector and source of funds, 2007 (%)
Performers of basic research

Source of funds for basic research
Federal
government Industry

State governments,
non-prot organizations
and universities

US colleges and
universities, includes
university-managed FFRDCs
Federal government
Industry and
industry-managed
FFRDCs
Non-prot organizations
and non-prot-managed FFRDCs

15.5
21.0
15.0
60.0
60.0
17.0
7.5
47
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
wlnnlng external research grants. 8ut unlversltles can no
longer afford to be qulte so generous. |nnovatlve lnstructlonal
programmes are also belng scaled back, as are funds for
undergraduate scholarshlps. |n the case of state unlversltles,
slgnlflcant budget reductlons have been the order of the day
for thelr lnstltutlons of hlgher learnlng, wlth the effects of
such cutbacks belng comparable to the reduced endowment
lncome of prlvate unlversltles, as state governments struggle
to balance thelr budgets - unllke the federal government,
state governments must balance thelr budgets annually.
Although state unlversltles, llke prlvate unlversltles,
support the large ma[orlty of thelr research on federal
grants and, to a lesser extent, on grants from non-proflt
organlzatlons, they also depend heavlly upon state
government approprlatlons. State governments
themselves are sufferlng from a sheer drop ln revenue
recelpts from unemployed and underemployed resldents
who are now paylng less lncome tax than prevlously.
Some of these austerlty measures may be offset by
addltlonal federal fundlng from the very large federal
economlc stlmulus programme.
Growing competition for research universities
8y several yardstlcks, US research unlversltles quallfy as
the world's best ln sclence and englneerlng, taken
collectlvely. Por example, ln 2006, approxlmately 44% of
the approxlmately 890 000 S&T artlcles publlshed ln
[ournals around the world llsted by Thomson Peuters,
source of the Sclence Cltatlon |ndex (SC|), lnvolved at least
one US author. Of the latter, 74% were from academla.
US research unlversltles remaln the destlnatlon of cholce
for many forelgn graduate students. Slnce 2003, the
Shanghal 1lao Tong Unlverslty's |nstltute of Hlgher
Lducatlon has ranked the world's top 500 unlversltles ln
terms of the quallty of thelr teachlng and research.
Amerlcan unlversltles have conslstently domlnated the
upper tler of these annual ranklngs slnce they were flrst
publlshed. Of the top 25 lnstltutlons ranked ln 2008,
l9 were Amerlcan. The others were the Unlversltles of
Cambrldge (4
th
), Oxford (l0
th
), Tokyo (l9
th
) and Kyoto (23
rd
),
as well as the Swlss Pederal |nstltute and Toronto
Unlverslty, whlch tled for 24
th
place.
That a Chlnese organlzatlon should have declded to carry out
exhaustlve perlodlc surveys to rank the world's leadlng
unlversltles may ltself suggest that Chlnese unlversltles lntend
to become lnternatlonally competltlve. One posslble lndlcator
of thls lntentlon ls that Tslnghua Unlverslty ln 8el[lng seems to
have reached lts goal of offerlng 50% of all lts graduate
courses ln Lngllsh by 2008. Not only does thls reflect the
unlverslty's deslre to guarantee that lts doctoral reclplents are
proflclent ln Lngllsh, lt also slgnals Tslnghua's lntentlon of
attractlng slgnlflcant numbers of forelgn students.
Type of research performed Source of funds
Basic research
Development
Applied
research
Federal
government
Universities
Industry
State and local
governments,
non-prot
organizations,
individual
philanthropy
4.0
11.0
7.0
19.0
22.0
75.0
64.0
Figure 8: Unlverslty P&D ln the USA by type of research and source of funds, 2006 (%)
Note: percentages may not add up to l00% because of roundlng
|||SO S|||| |||O| 2010
48
Box 3: Growlng concern about confllct of lnterest ln sclentlflc [ournals
Ac.Jon|c |rst|tJt|crs |r n.ry
ccJrt.|os |.vo .ospcrJoJ tc
Joc||r|r pJb||c |JrJ|r |r .ocort
yo..s by Jovo|cp|r .oso..c|
cc||.bc..t|crs .|t| p.|v.to |rJJst.y.
||s |.s |o|poJ tc bccst t|o .ovorJo
c| Jr|vo.s|t|os .rJ |vor . nc.o
ccnno.c|.| ||.vcJ. tc .c.Jon|c
.oso..c| ccrJJctoJ .|t||r t|oso
pJb||cp.|v.to p..tro.s||ps.
|o pJb||s|o.s c| scno sc|ort|||c
.rJ noJ|c.| cJ.r.|s |r t|o |SA ..o
boccn|r |rc.o.s|r|y ccrco.roJ,
|c.ovo., t|.t t|o ccrJJct c| sc|orco
c.r bo |r||JorcoJ by b|.sos |rt.cJJcoJ
by ccr|||cts c| |rto.ost bot.oor
sc|ort|||c |rvost|.tc.s .rJ p.|v.to
|rJJst.y (cc.ro. et al., 2009).
Oro ccrso,Jorco c| t|oso
p.c|||o..t|r |rJJst.y.c.Jon|c
cc||.bc..t|crs, cbso.vos t|o Asscc|.to
|J|tc.|r||o| c| t|o |S cJ.r.|
Addiction, |cn.s b.bc. c| t|o
|r|vo.s|ty c| crroct|cJt |o.|t|
orto., |.s boor t|o c.o.t|cr c| .o.|
.s .o|| .s .pp..ort ccr|||cts c|
|rto.ost, p..t|cJ|..|y |r t|o c.so c|
J.ro.cJs ccrsJnpt|cr |rJJst.|os,
sJc| .s .|cc|c|, tcb.ccc .rJ
.nb||r' (b.bc., 2009).
by .Jt|c.s ..|t|r |r t|o|. cJ.r.|s.
|oy ..|to t|.t c..r|..t|crs ..o
p.y|r .o.to. .ttort|cr tc ccr|||ct c|
|rto.ost J|sc|csJ.o |r t|o ccrtoxt c|
.oJo||r|r t|o .J|os c| or.onort
bot.oor .c.Jon|c |rvost|.tc.s .rJ
p.|v.to |rJJst.y. |o rooJ |c.
ccnncr st.rJ..Js |r Jo||r|r
ccr|||cts c| |rto.ost |.s rovo. boor
.o.to., t|oy .JJ.
Accc.J|r tc b.bc., t|o ccnncr
st.rJ..J s|cJ|J .pp|y tc t|o ccnp|ox
.rJ .c.|r ||r.rc|.| ....ronorts
t|.t |.vo Jovo|cpoJ |r .ocort yo..s
bot.oor vostoJ |rto.osts .rJ
|rJoporJort sc|ort|sts. |t s|cJ|J .|sc
.pp|y tc s|tJ.t|crs .|o.o . p..t|cJ|..
.Jt|c. |.s st.cr rcr||r.rc|.|
|rto.osts t|.t t|o .o.Jo. c| ||s c. |o.
sc|c|..|y .c.k s|cJ|J ..rt tc krc.
.bcJt |r c.Jo. tc JJo t|o no.r|r
.rJ v.|Jo c| . p..t|cJ|.. pJb||c.t|cr.
||r.||y, t|o pc||cy s|cJ|J bo
ccrs|stort .c.css cJ.r.|s |r . ||o|J
c| stJJy |r c.Jo. tc p.ovort scno
.Jt|c.s .rJ t|o|. spcrsc.s |.cn
.n|r t|o syston.
5outce: 8abor (2009), Goozner et ol. (2009)
cr|||cts c| |rto.ost |.vo .|sc boor
p.cn|rort |r c.sos .|o.o ||r.rc|.|
|rto.osts |.vo ccnp.cn|soJ p.t|ort
c..o, |o s.ys, sJc| .s .|or t|o
ro.t|vo s|Jo o||octs c| oxpo.|nort.|
J.Js boccno krc.r cr|y .|to. t|oy
|.vo boor .Js|oJ tc n..kot .|t|cJt
.pp.cp.|.to sc|ort|||c ov.|J.t|cr, c.
.|or t|o cJtccnos c| pcs|t|vo t.|.|s
..o pJb||s|oJ so|oct|vo|y, .s .|t| t|o
so|oct|vo so.ctcr|r .oJpt.ko |r||b|tc.
.rt|Jop.oss.rts |r t|o |SA, Josc.|boJ
by ||.sc| et al. (2008).
|vor |r c.sos .|o.o t|o .Jt|c. c|
. .oso..c| p.po. J|sc|csos t|o |Jort|ty
c| ||s c. |o. spcrsc. |r t|o cJ.r.|, t||s
c.r bo n|s|o.J|r. |r cro |rst.rco, .
sc|ort|st ..|t|r .bcJt |o. .oso..c| |r
.o|.t|cr tc .JJ|ct|cr tc .nb||r JJ|y
|Jort|||oJ |o. spcrsc. .s bo|r .
.oso..c| cort.o .|t||r . .ospoctoJ |S
Jr|vo.s|ty. |t tJ.roJ cJt t|.t t|o cort.o
..s |JrJoJ by . p.|v.to |cJrJ.t|cr
.||c| ..s |tso|| |JrJoJ by c.s|rcs
|r t|o ccJrt.ys .nb||r c.p|t.|, t|o
c|ty c| |.s \o.s!
cc.ro. et al. (2009) p.cpcso
ncJo| J|Jo||ros |c. sc|ort|||c .rJ
noJ|c.| cJ.r.|s tc .Jcpt tc orsJ.o
t|o J|sc|csJ.o c| ccr|||ct c| |rto.ost
Desplte thelr hlgh quallty, US research unlversltles face
growlng lnternatlonal competltlon. |n 2002, the USA
produced 30.9% of the world's artlcles ln sclence and
englneerlng, authorshlp belng domlnated by academla.
Thls compared wlth a neat l0.0% for 1apan and 84.0% for
all OLCD countrles. Comparable percentages for 2008
were 27.7%, 7.6% and 76.4%. Chlna exhlblted the most
strlklng lncrease ln lts share of the world's natural sclence
and englneerlng artlcles, rlslng from 5.2% ln 2002 to
l0.6% ln 2008 (see oe l0).
A growing fragmentation of research universities
One problem faclng US research unlversltles ls a
consequence of thelr phenomenal success. As research
has advanced, lt has become lncreaslngly speclallzed.
Consequently, many unlverslty departments whose
facultles conducted research ln a number of sub-
speclaltles have fragmented lnto lndependent
departments, each devoted to one of these sub-
speclaltles. Thls ls percelved by many as belng
problematlc, slnce lt dllutes the fundamental role of
research unlversltles as lnstltutlons for the dlscovery and
transmlsslon of fundamental knowledge. Moreover, many
unlversltles that were once prlmarlly lnstltutlons wlthln a
core college of arts and sclences plus a few professlonal
schools, such as law and medlclne, now lnclude less
'academlc' schools devoted to what are consldered more
'practlcal' currlcula such as flnance and marketlng. whlle
ln ltself, thls may not be a problem, lt has led to further
fragmentatlon of research unlversltles.
49
A resistant glass ceiling
Por the past three decades, the Natlonal Sclence Poundatlon
(NSP) and other federal agencles have mounted ma[or
programmes ln concert wlth professlonal sclence and
englneerlng socletles to convlnce more women and ethnlc
mlnorltles to seek careers ln sclence and englneerlng.
However, there ls lndlsputable evldence that many of
these talented female and ethnlc mlnorlty PhDs contlnue
to encounter the proverblal 'glass celllng' as they attempt
to advance ln the conservatlve, slow-to-change academlc
hlerarchy (Plgures 9 and l0).
A vulnerable university environment
A problem unlque to research unlversltles supported by state
governments, as opposed to prlvate unlversltles, ls the
dependence of thelr budgets on the changlng whlms of state
governors and leglslatures. Although leadlng state
unlversltles derlve the bulk of thelr research budgets from
federal grants, fundlng from state governments remalns the
bedrock of thelr research and teachlng programmes. whlle
one state governor and state leglslature may recognlze the
lmportance of the research and educatlonal offerlngs of thelr
unlverslty, thelr successors -faced wlth budget deflclts - may
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
Figure 9: Share of doctorates awarded to female US
cltlzens, l985, l995 and 2005 (%)
N
o
n
-
s
c
i
e
n
c
e

&
e
n
g
i
n
e
e
r
i
n
g

e
l
d
s

S
o
c
i
a
l

&

b
e
h
a
v
i
o
u
r
a
l

s
c
i
e
n
c
e
s
L
i
f
e

s
c
i
e
n
c
e
s
P
h
y
s
i
c
a
l

s
c
i
e
n
c
e
s
M
a
t
h
e
m
a
t
i
c
s

&
c
o
m
p
u
t
e
r

s
c
i
e
n
c
e
s
E
n
g
i
n
e
e
r
i
n
g
2005
1995
1985
49.2
59.1
54.9
44.7
60.3
55.6
34.8
52.8
46.1
16.5
30.6
23.8
16.6
23.6
9.3
19.8
15.7
5outce: Natlonal Sclence 8oard (2008) 5c|ence onJ
ln|neet|n lnJ|cotots
Figure 10: Doctorates awarded to US cltlzens ln sclence and englneerlng, by ethnlc mlnorlty, l985-2005
Black
American Indian/ Alaska Native
Hispanic
1985 1987 1989 1991 1993 1995 1997 1999 2001 2003 2005
763
754
70
0
100
200
300
400
500
600
700
800
5outce: Natlonal Sclence 8oard (2008) 5c|ence onJ ln|neet|n lnJ|cotots. Natlonal Sclence Poundatlon, Dlvlslon of Sclence Pesources Statlstlcs, Survey of
Larned Doctorates, webCASPAP database: http://webcaspar.nsf.gov. See appendlx table 2-32.
|||SO S|||| |||O| 2010
50
declde that sharp reductlons ln unlverslty budgets can do
llttle harm ln the short run. They fall to understand that
reconstltutlng a dlmlnlshed educatlonal lnstltutlon takes
many years to accompllsh. Thls problem has become
lncreaslngly apparent durlng the current economlc
recesslon.
Although many, lf not most, lndlvldual faculty are
economlc and polltlcal llberals - at least wlth the money
of others! -research unlversltles ln the USA are
fundamentally conservatlve lnstltutlons. when they do
change, they most often do so slowly and dellberately.
The evolutlon of Amerlcan colleges lnto research
unlversltles proceeded slowly followlng the Amerlcan Clvll
war (l86l-l865). Only durlng the past 60 years have
those unlversltles flourlshed and become the core of the
country's S&T system. Clearly, US research unlversltles
cannot afford to rest on thelr laurels or assume that the
publlc understands and appreclates the essentlal role they
play ln the furtherance of soclety's fundamental goals.
The quallty of the research and teachlng provlded by Last
Aslan unlversltles has been rapldly lmprovlng ln the past
few years. Chlnese unlversltles ln partlcular asplre to
compete wlth unlversltles throughout the world and
above all those ln the USA - and could do so wlth
conslderable success.
||VA| ||SO|||S |r S
Characteristics of the labour force
Lstlmates of the slze of the US sclence and englneerlng
(S&L) labour force vary dependlng on whlch crlterla are
used to deflne who ls a sclentlst or englneer: educatlon,
occupatlon, fleld of degree, fleld of employment and so
on. |n 2006, l7.0 mllllon lndlvlduals had at least one
degree ln a fleld of sclence or englneerlng, a flgure that
cllmbed to 2l.4 mllllon lf one added related flelds such as
health or technology.
|n 2004, approxlmately l5 530 lndlvlduals reported they
had recelved a sclence or englneerlng degree at the
bachelor's or hlgher level durlng the prevlous year.
Among these, approxlmately 5 l20 (33%) were
employed dlrectly as englneers or ln sclentlflc
occupatlons, whereas the remalnder (approxlmately
l0 400 graduates) were employed ln posltlons not
dlrectly related to sclence or englneerlng. Among the
latter, two-thlrds sald that thelr posltlons were at least
somewhat related to thelr degrees, lncludlng many ln
management, marketlng and sales.
|n 2003, 59% of all degree-holders ln a sclentlflc fleld or
englneerlng were employed ln the for-proflt sector and
l3% by government, wlth the non-proflt sector, four-year
colleges and unlversltles, other educatlonal lnstltutlons
and self-employment accountlng for the balance. Among
those wlth doctorates ln a scentlflc fleld or englneerlng,
44% were worklng ln four-year colleges and unlversltles,
33% ln the for-proflt sector and 9% ln government.
No sign of a supply crisis in higher education
Plgure ll lllustrates the trends ln bachelor's degrees
awarded by US colleges and unlversltles ln selected
sclence and englneerlng flelds over a 20-year perlod.
Plgure l2 shows comparable trends for doctoral degrees
awarded durlng the same perlod.
Although concerns have been volced for well over a decade
now that too few US undergraduate students are chooslng
to speclallze ln S&T flelds, a ma[or 'supply crlsls' has yet to
materlallze. One posslble legltlmate ground for these
concerns used to be that the unlverslty-age cohort ln the
US populatlon was steadlly decllnlng. However, that trend
has recently reversed. Lnrollment ln US lnstltutlons of
hlgher educatlon rose from l2.7 mllllon ln l986 to
l6.9 mllllon ln 2004. The number of lndlvlduals aged
20-24 years ln the US populatlon ls expected to keep rlslng
through 2050. However, the demographlc composltlon of
thls populatlon ls expected to change, wlth the rlse ln
enrollment pro[ected to come malnly from mlnorlty groups,
partlcularly Aslans and Hlspanlcs. The dual challenge wlll be
to ensure that the percentage of students who elect to
speclallze ln S&T flelds remalns at least constant and that
the educatlon they recelve fulflls the employment
requlrements for at least the flrst half of the 2l
st
century.
Among the l6.9 mllllon students attendlng US colleges
and unlversltles ln 2004, approxlmately 583 000 (3.5%)
were enrolled ln sclence and englneerlng programmes,
deflned as lnvolvlng tradltlonal dlsclpllnary or
lnterdlsclpllnary studles. The number of bachelor's and
master's degrees awarded by US colleges and unlversltles
ln sclence and englneerlng flelds reached new helghts ln
2005 of approxlmately 466 000 and l20 000 respectlvely.
All but computer sclence experlenced lncreases, however,
ln the latter fleld, the number of bachelor's degrees had
already lncreased sharply from l998 to 2004 before
5l
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
decllnlng ln 2005. The number of doctoral degrees
awarded by US lnstltutlons of hlgher educatlon also
reached a new peak of almost 30 000 ln 2005, the strongest
growth belng ln englneerlng and ln the blologlcal and
agrlcultural sclences. vlrtually all of the growth ln
doctorates reflected hlgher numbers of temporary vlsa
holders. These students earned l0 800 (36%) of the
doctorates awarded ln sclence and englneerlng ln the
USA ln 2005, compared wlth 5 000 (2l%) ln l985.
Foreign students most numerous in
PhD programmes
Porelgn students on temporary vlsas earn a larger
proportlon of thelr degrees at the doctoral level than at
any other level. |n 2005, students ln thls category earned
50% or more of all doctoral degrees awarded ln the USA
ln mathematlcs, computer sclences, physlcs and
englneerlng. Proportlons were conslderably lower ln other
sclentlflc flelds: [ust 26% ln the blologlcal sclences, for
example, and 22% ln medlcal sclences and other llfe
sclences. 8etween l985 and 2005, all but two of the top
l0 countrles sendlng doctoral candldates ln sclence and
englneerlng to the USA were ln Asla, wlth Canada and
Mexlco belng the two exceptlons. Durlng thls 20-year
perlod, students from Chlna, Chlnese Talpel, |ndla and the
Pepubllc of Korea earned more than half of all doctorates
ln S&T flelds awarded ln the USA to students from forelgn
countrles. |n 2005, 3500 of these doctorates went to
Chlnese natlonals, followed by l 250 |ndlans and an
approxlmately equal number of Koreans.
Figure 11: 8achelor's degrees earned ln selected S&T flelds, l985-2005
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
Social/ behavioral sciences
Engineering
Biological/ agricultural sciences
Computer sciences
Physical sciences
Mathematics
0
50
100
150
200
250
230.38
85.09
66.13
50.56
18.99
14.84
T
h
o
u
s
a
n
d
s
Note: Physlcal sclences lnclude Larth, atmospherlc and ocean sclences. Data are not avallable for l999.
5outce: Natlonal Center for Lducatlon Statlstlcs, |ntegrated Postsecondary Lducatlon Data System, Completlons Survey, Natlonal Sclence Poundatlon,
Dlvlslon of Sclence Pesources Statlstlcs, webCASPAP database: http://webcaspar.nsf.gov. See appendlx table 2-27, Natlonal Sclence 8oard (2008)
5c|ence onJ ln|neet|n lnJ|cotots 2008
8etween l985 and 2004, the number of doctoral
degrees awarded by Chlnese unlversltles rose from close
to zero to approxlmately l4 000, compared to the sllghtly
more than 20 000 awarded ln the USA. Thls means that
Chlna has now become the world's second-largest
producer of PhDs ln sclence and englneerlng, followed
by Germany, the UK, 1apan and the Pepubllc of Korea.
Thls trend reflects the growlng quallty of graduate
educatlon ln Chlna's unlversltles. Lnrollment ln
englneerlng has grown less rapldly than ln other flelds,
however, reflectlng burgeonlng opportunltles ln
buslness, educatlon and law. |n l994, 46% of bachelor's
degrees were ln englneerlng. 8y 2004, that proportlon
had dropped to 37%.
Porelgn enrollment ln US graduate schools contlnues to be
substantlal, partlcularly as concerns Aslan students. |n 2005,
forelgn students who had passed thelr unlverslty entrance
exam for the bachelor's degree outslde the USA accounted
for 60% of all students enrolled ln PhD programmes ln
englneerlng at Amerlcan unlversltles, 38% of those enrolled
ln natural sclences and 2l% of those enrolled ln the
behavloural and soclal sclences. Prance and the UK
contlnue to compete wlth the USA for forelgn students and,
ln recent years, Australla and 1apan have [olned the fray,
wlth relatlve success ln attractlng students from Asla.
Of the approxlmately 3.4 mllllon lmmlgrant sclentlsts and
englneers now worklng ln the USA, approxlmately 30%
orlglnally came to study. |n 2005, somewhat more than
70% had plans to stay once they completed thelr degree
and 50% had flrm offers of employment. 8etween 2002
and 2005, more than 90% of Chlnese reclplents of a US
doctorate ln sclence or englneerlng reported plans to stay
ln the USA and 60% that they had accepted flrm offers for
employment or postdoctoral research posltlons. The
flgures for |ndlan reclplents of a US doctorate were slmllar:
88% and 63%.
|||SO S|||| |||O| 2010
52
Figure 12: Doctoral degrees earned ln the USA ln selected S&T flelds, l985-2005
Notes: Physlcal sclences lnclude Larth, atmospherlc and ocean sclences.
5outce: Natlonal Sclence Poundatlon, Dlvlslon of Sclence Pesources Statlstlcs, Survey of Larned Doctorates, webCASPAP database:
http://webcaspar.nsf.gov. See appendlx table 2-3l, Natlonal Sclence 8oard (2008) 5c|ence onJ ln|neet|n lnJ|cotots 2008
Engineering Mathematics
Computer sciences
Physical sciences
Biological/ agricultural sciences
Social/ behavioural sciences
Medical/other life sciences
1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005
0
1
2
3
4
5
6
7
8
T
h
o
u
s
a
n
d
s
7.47
7.41
6.40
4.36
1.78
1.20
1.14
53
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
|A||| OO|S || ||
VA|A|V||
Decldlng on the amount and dlstrlbutlon of P&D funds,
be lt ln government or lndustry, ls the easy part of
management. Measurlng output ls much harder but
even that ls not as hard as ensurlng an adequate
output. To be successful ln managlng P&D, you need the
rlght tools and the ablllty to apply these deftly.
|f you are ln government, you are golng to use very
dlfferent P&D management tools from those used ln
lndustrlal P&D. whereas the former seeks a maxlmum
soclal return, the latter ls looklng for a maxlmum
(malnly short-term) economlc return on lnvestment for
stockholders or other owners. Accountablllty ls thus
not the same ln government and lndustry. Thls ls made
more complex by the dlfflculty ln measurlng return on
anythlng other than very short-term development
efforts.
New government tools
The US government has recognlzed the dlfflculty ln
measurlng the effectlveness of government lnvestment
ln baslc research and both mathematlcs and sclence
educatlon. Some years ago, ln the mldst of efforts to
hold federal agencles more accountable for thelr
expendlture, the Government Performance and Pesults
Act of l993 (GPPA) was enacted. Applylng thls to baslc
research programmes, such as those supported by the
NSP, proved extremely challenglng. The result was the
development of a measurement metrlc qulte dlfferent
from the usual GPPA approach and the establlshment ln
2002 of an NSP Advlsory Commlttee for GPPA
Performance Assessment. Thls commlttee provldes
advlce and recommendatlons to the NSP dlrector
regardlng NSP's performance under the GPPA.
The GPPA as applled to the NSP focuses on
demonstratlng slgnlflcant achlevement for four long-
term qualltatlve and strateglc goals. These are: dlscovery,
learnlng, research lnfrastructure, and stewardshlp.
Admlttedly, lt ls very dlfflcult to quantlfy progress
towards these broad goals.
The commlttee's report of 3l 1uly 2008 commends NSP
for meetlng lts goals and for lmplementlng some of the
commlttee's recommendatlons from the prevlous year.
|n thls revlew, the commlttee randomly selected
'hlghllghts' NSP submltted from lts programme whlch
were evaluated agalnst stated crlterla. The bottom llne ls
that, over tlme, thls evaluatlve process has been effectlve
ln assesslng and lmprovlng the quallty of the NSP
research portfollo.
New tools for industrial R&D
|ndustrlal P&D marches to a very dlfferent drummer.
As noted above, the tlme-frame ls much more lmmedlate.
Thls ls true for several reasons. Por one thlng, the dlscount
rate means that results recognlzed ln the medlum to long
term are worth less than short-term results. Another ls that
lntellectual property ls more dlfflcult to deflne and protect
as one moves further lnto the future. One characterlstlc
common to both lndustrlal and government-supported
research ls the need for excellent human resources. Good
people are lndeed necessary but not a sufflclent condltlon
for success ln P&D.
|ndustrlal P&D managers use a varlety of tools to
maxlmlze the return on P&D lnvestment. These tools
lnclude recrultlng and retalnlng excellent staff who are
team players, recognlzlng the lmportance of lntellectual
property and belng amenable to rapld changes ln order
to meet customer needs and adapt to new technology
platforms and organlzatlonal reallgnments.
Obtalnlng knowledge requlred for the development
of new products and processes ls a key ob[ectlve of
companles. The classlc 'make or buy' optlons are now
more complex.
Knowledge feeds the lnnovatlon process. Although
the best knowledge (technology ln many cases) may
be avallable, lt may not be enough ln ltself to spur
lnnovatlon. |nnovatlon requlres vlslon, acceptance of
new ldeas, rlsk-taklng and an understandlng of
markets. |t often lnvolves teams of sclentlsts, englneers
and marketers and the ablllty to support networks
wlthln the organlzatlon or company that utlllzes a
common language understood by sclentlsts and sales
personnel allke.
How have thlngs changed! Charles Larson, presldent-
emerltus of the |ndustrlal Pesearch |nstltute, recently
compared effectlveness of lndustrlal P&D now and
l0 years ago. He concluded that thlngs had not
changed as much as expected. Pesearchers are more
buslness-orlented today but are not taklng more rlsks.
Technology intelligence, although important, is less so
than projected a decade ago. Information technology
has had less of an impact than expected. Teams are the
norm. Management remains a challenge and the
innovation system is not yet integrated adequately in
many, if not most, companies.
Spend wisely for R&D effectiveness
A raft of studies over several decades have indicated
that greater R&D spending results in better sales and
profit margins. The market has translated this
indication into higher stock prices for the benefit of
the companys stockholders. In his 1987 Nobel Prize
Lecture, economist Robert Solow alluded to the
growth accounting work of the late Edward Denison.
Solow stated that gross output per hour of work in the
US economy doubled between 1909 and 1949; and
some seven-eighths of that increase could be
attributed to technical change in the broadest
sense [I]n the thirty years since then [t]he main
refinement has been to unpack technical progress in
the broadest sense into a number of constituents of
which various human-capital variables and
technological change in the narrow sense are the
most important. 34 % of recorded growth is
credited to the growth of knowledge or
technological progress in the narrow sense.
Over the last generation, companies have changed
their approach to R&D. Time horizons have been
shortened. Intellectual property is vigorously
protected. Knowledge needed for innovation is
obtained in the cheapest way possible.
Some analyses in recent years have found little or no
correlation between R&D spending, on the one hand,
and the growth in sales, earnings or shareholder returns
for the company on the other. These results imply that
just putting more money into R&D does not ensure an
economic advantage. These same studies show that
companies which under-spend by investing
substantially less in R&D than their competitors do
poorly. The answer to this conundrum appears to be
spend wisely. This means using all R&D management
tools available in the toolbox and using them cleverly.
This is a tall order. Companies, at least before the
current recession, tended to ignore these correlations
and were tempted merely to accelerate their spending
on R&D in an effort to become more competitive.
INTERNATIONAL SCIENTIFIC
CO-OPERATION AND COMPETITION
On a global scale, we are seeing both growing
co-operation and competition in R&D. This holds true for
industry but also for academia and government research
installations. The importance of international co-operation
for science throughout the world was emphasized at the
Fourth World Science Forum in Budapest, Hungary, on
10 November 2009, also World Science Day.
International co-authorship
International co-operation has long been regarded as an
essential aspect of non-proprietary research, particularly
when it comes to basic research. The rise of the Internet
has galvanized co-operation in cross-border academic
research, especially that between individual investigators
and their institutions. In 2005, approximately 27% of SCI
papers published by scientists and engineers working in
US institutions had at least one co-author from a non-US
institution, compared with approximately 17% in 1995.
This varied among scientific disciplines. For example, in
astronomy, 58% of all US papers had foreign co-authors in
2005, compared with 42% in 1995; the share of
co-authored papers in physics was 38% in 2005, up from
28% in 1995, whereas 33% of those in the geosciences
were co-authored in 2005, up from 28% in 1995.
Trends in co-operation in small science and
megascience
The past decade has seen an atrophy of formal,
government-to-government research co-operation
protocols and an increase in projects between individuals.
Today, the role of governments in small science is to
provide a policy framework that encourages such
co-operation, including the provision of financial support.
The Internet has served as an enabler of this dispersed
co-operation. Without the speed and ease of
communication and the virtually unlimited data available
on the web, co-operation in small science would be a
much more modest affair. This burgeoning collaboration is
reflected in the scientific literature.
Megascience projects predominantly concern basic
research involving very expensive central facilities or
large, distributed research programmes spread over many
geographical locations. Megascience projects are often
too costly for any one country to fund and execute.
54
USA chapter [1] [Ed2]:Layout 1 25/11/10 10:28 Page 54
55
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
They need greater lnvolvement by governments and the
lnstltutlons of organlzed sclence. The USA took the lead ln
establlshlng the OLCD Megasclence Porum ln l992, now
the OLCD Global Sclence Porum.
Llke 1apan, the USA also supports the Luropean-led Large
Hadron Colllder (LHC) at the Luropean Organlzatlon for
Nuclear Pesearch (CLPN) ln Geneva, Swltzerland, where
colllslons between protons and antl-protons at hlgher
energles than ever achleved before wlll permlt the recreatlon
of condltlons prevalllng ln the early Unlverse. After the LHC
came through lts flrst operatlonal tests wlth flylng colours ln
September 2008, lt was antlclpated that experlments could
begln by mld-2009. However, an unfortunate malfunctlon of
one of lts crltlcal elements threatened to delay thls promlslng
Jeout. The LHC was repalred, however, and restarted ln
November 2009.
The USA ls also a partlclpant ln the |nternatlonal
Thermonuclear Lxperlmental Peactor (|TLP) now under
constructlon ln the south of Prance (see oe l58). |TLP ls
the largest, most ambltlous lnternatlonal collaboratlve
sclentlflc pro[ect ever concelved and lmplemented.
Unfortunately, due to lnactlon by Congress, the USA was
unable to meet lts commltment to the pro[ect ln 2008.
whereas many other countrles make multl-year
commltments to co-operatlve pro[ects, US commltments
are often held hostage to the country's annual budget
process. Thls shortcomlng ln the US pollcy framework ls
long-standlng and may be lnsoluble.
Research alliances, outsourcing and offshoring
|ndustrlal P&D contlnues lts drlve for greater efflclency. Thls
means qulcker results that are closer-coupled to buslness
strategy. Hundreds of new alllances ln technology or research
are formed each year by companles ln areas such as
lnformatlon technology (|T), blotechnology, advanced
materlals and automotlve technology. Not surprlslngly, the
ma[orlty of such alllances lnvolve companles headquartered
ln the USA, western Lurope and 1apan. |t ls not uncommon
for companles to co-operate closely ln developlng
technology ln one llne of buslness or ln one geographlcal
market, whlle competlng flercely wlth another. The common
goal ls to develop technology-lntenslve products at mlnlmum
cost whlle preservlng a market advantage wherever posslble.
Alllances, partnershlps and outsourclng have become
more common wlth other companles, offshore P&D
centres, federal laboratorles and unlversltles.
These partnershlps are not llmlted to peers, they
lncreaslngly lnvolve customers, to ensure the products
developed are what customers want. Accesslng, co-
ordlnatlng and movlng thls knowledge results ln
lnvestments ln |T.
Perhaps the strongest trend ln P&D management
relates to 'open lnnovatlon'. 'Open lnnovatlon' has come
to encompass all sorts of outsourclng and co-operatlve
actlvltles wlth government laboratorles, unlversltles and
other companles. Progress ls belng made thanks to
smarter P&D strategles but the target contlnues to be
eluslve ln the face of relentless global competltlon.
Open lnnovatlon means that companles have evolved
from a stance of 'maklng' the technology they use to
'buylng' large portlons of lt. Shorter product cycles
dlctated by changlng markets demand that lnnovatlons
adhere to shorter tlmellnes. The results of these changes
have dramatlcally lmpacted the ways companles obtaln
technology. These changes lnclude more outsourclng of
P&D, llcenslng technology from other companles and
unlversltles, greater use of consortla and alllances for
pre-competltlve and other research, outsourclng
fundamental research to unlversltles and contracts wlth
federal laboratorles. These trends reflect attempts to
lnvest lnnovatlon resources ln a smarter way.
|n part because S&T ls correctly percelved to be a
slgnlflcant prerequlslte for soclo-economlc
development, competltlon among companles
headquartered ln dlfferent countrles has become
lntense. Many US-based companles have moved crltlcal
components of thelr operatlons to other countrles
where tralned human resources can be obtalned more
cheaply. Thls has created conslderable controversy ln
the USA because of the lmpllcatlons for employment.
However, companles also recognlze that, ln order to
succeed, they need to become lntegral to what
Auerswald and 8ranscomb (2008) have referred to as the
'globally networked enterprlse' ln an artlcle publlshed ln
7echnoloy |n 5oc|ety. To thls end, companles ln several
lndustrles, most promlnently |T and pharmaceutlcals, have
establlshed P&D centres ln several countrles. The most
promlnent of these - located prlmarlly ln Chlna and |ndla -
do more than slmply conduct P&D to adapt companles'
products to local markets. Pather, thelr P&D alms to
develop new products that can be marketed worldwlde.
ComparingS&T qualityandquantityinternationally
Earlier sections of the present chapter referred to
international comparisons of the quantity and quality of
R&D and R&D institutions. Here, we shall summarize some
of these rankings:
I The USAhas invested more in GERDthan all the other G7
countries combined for more than a decade. In 2006, its
share of all such G7 expenditure was 53%of the total.
I For several years, the US GERD/GDP ratio among the
G7 countries has been second only to Japans. In 2007,
the respective ratios for Japan, the USA, Germany,
France and the UK were 3.4%, 2.7% 2.5%, 2.0% and
1.8%.
I The European Union is the favoured destination for
R&D shares by foreign affiliates of multinational
corporations, accounting for 66% in 2006, well ahead
of Canada (10%) and Japan (6%).
I The US trade volume in intellectual property is by far
the worlds largest, accounting for 70% of the world
total in 2006.
I The number of triadic patent applications
3
filed by
inventors in the USA in 2003 acounted for
approximately 37% of all 54 000 triadic patents filed in
that year, up from 35% in 2000. In 2003, inventors in
the European Union filed 28% of such applications,
down from 30% in 2000. Asian (primarily Chinese
including Taiwanese Indian and South Korean)
inventors filed 28% of all triadic patent applications in
2003, about the same percentage as in 2000.
I In 2005, the percentage of SCI publications with at
least one author from an American institution
exceeded that of the European Union. The USA
accounted for 27% of the total, compared with 26% for
the European Union. The share of publications with at
at least one Asian author increased from 16% in 1995
to 19% in 2005.
I According to the annual surveys conducted by
Shanghai Jiao Tong University, in 2008, 19 of the top-
ranked 25 universities were American (see page 47).
I In 2004, the USA ranked fourth in terms of its
expenditure on basic research as a fraction of GDP:
0.48%. The USA was preceded by Switzerland (0.84%),
Israel (0.76%) and France (0.52%). Denmark (0.46%) and
the Republic of Korea (0.44%) ranked fifth and sixth
respectively. The highest ranking G7 country in
addition to the USA and France was Japan, which
ranked eleventh at 0.36%.
SCIENCE, TECHNOLOGY ANDTHE
PUBLIC
A stronginterest inscienceamongthe
general public
Periodic surveys commissioned by the National Science
Foundation for almost 30 years indicate strong and
consistent public support for scientific research. For example,
70%of the approximately 2 000 respondents to surveys in
2001 and 2006 agreed that the benefits of scientific research
outweighed harmful results; approximately 80%of those
surveyed during both years agreed that the government
should fund basic research. In 2006, approximately 60%of
those surveyed said that they had visited an informal science
institution, such as a museumor a zoo, during the past year,
a proportion that has remained roughly constant since 1979.
According to data published in Science andEngineering
Indicators 2008, public interest in S&T elsewhere in the world,
including Europe and Japan (but excluding China), is lower
than in the USA.
Although the US public is largely supportive of scientific
research, it generally has relatively poor factual
knowledge about science. In the surveys conducted in
2001 and 2006, the mean of the correct answers to
12 factual questions was approximately 6.5. Factual
knowledge is positively related to the level of formal
schooling, income and the number of courses taken in
science and mathematics in tertiary education. People
who score well on survey questions that test for
information typically learned at school also appear to
know more about nanotechnology and the Earths polar
regions, topics that have not been central to the content
of science education in the USA.
Surveys indicate that a reasonable fraction of respondents
do pay attention to, and form definitive attitudes towards,
specific science-related issues. For example, between 2005
and 2007, the percentage of Americans expressing agreat
56
3. Triadic applications refers to applications to the patent offices of the
USA, European Union and Japan.
57
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
deal' of worry about 'the quallty of the envlronment' rose
from 35% to 43%. whlle there ls strong posltlve support
for research ln general, attltudes towards some speclflc
appllcatlons are more problematlc. |n 2005, two-thlrds of
Amerlcans sald that they supported 'the use of products
and processes that lnvolve blotechnology'. Slmllarly, when
surveys ask about medlcal technologles that are to be
derlved from stem cell research ln the context of
antlclpated health beneflts, publlc response ls relatlvely
posltlve. 8ut technologles that lnvolve clonlng human
embryos ellclt strong negatlve responses.
Confidence in scientists
Desplte the fact that only a small mlnorlty of the US publlc
belleves lt ls well-lnformed about S&T and desplte mlsglvlngs
about speclflc research appllcatlons, publlc confldence ln the
leadershlp of the sclentlflc communlty, lncludlng ln
medlclne, was second only to lts confldence ln the mllltary ln
2006 and conslderably greater than lts confldence ln other
lnstltutlons, such as organlzed labour, ma[or companles and
the executlve and leglslatlve branches of the US government.
The only lnstltutlon whose leadershlp approached the level
of publlc confldence en[oyed by sclence and medlclne was
the US Supreme Court.
O|||S|O|
A cloudy future
The future of P&D ln the USA ls cloudy, more so than ln
decades. Thls ls ln no small part due to the global economlc
recesslon now upon us. |ndustrlal research and research
supported by states and endowed funds are llkely to take a
substantlal hlt, at least ln the short term. They are closely
coupled to the economy and flnanclal markets, both of
whlch were ln a downward splral ln 2009. State unlversltles
are especlally vulnerable to cutbacks, whlch were already
belng felt ln a ma[orlty of the states ln 2009.
Por the short term, lt appears that P&D ln the USA
functlons llke some of the toxlc assets so often mentloned
as a root cause of the economlc crlsls: future valuatlons
are murky. Any lncrease ln federal fundlng over the short
term, for reasons noted below, wlll probably be offset by
decreases ln fundlng by states, foundatlons and lndustry,
all deeply wounded by the economlc recesslon.
The 2009 Global P&D Pundlng Porecast from8ottelle onJ
k80 Vooz|ne was lssued ln December 2008. The economlc
recesslon was well-recognlzed by that tlme, although lt
rapldly worsened ln 2009. Thls forecast, whlch uses a
varlety of data sources, acknowledges the uncertaln
economlc cllmate, lncludlng slower sales and lower
earnlngs. |n splte of thls dark cloud, the forecast ls for
about 2% growth ln US GLPD (PPP) ln 2009. Glven the
deflatlonary pressures worldwlde, thls would probably
translate lnto 2% or more real growth. we shall see lf thls
ls the real outcome.
As tlme goes by, the popularlty of new and tested
management tools ln both the publlc and prlvate sectors
wlll lncrease. |n lndustry 'open lnnovatlon' strategles appear
to be growlng more wldespread. '8etter management'
appears to have broad support both ln lndustry and ln
government. Thls ls llkely to be enhanced by the
government's deepenlng role ln lnnovatlon, lncludlng lts
more dlrect fundlng of 'generlc or enabllng technologles'.
whether these changes and the economlc downturn
generally wlll substantlally shlft the balance between
publlc sector and prlvate sector support of P&D remalns
to be seen. Pederal support of P&D may actually lncrease
ln the short term as part of fundlng for an economlc
stlmulus package. Certalnly, ln the short term, the
balance seems llkely to shlft towards the publlc sector ln
general and the federal government ln partlcular. The
longer the economlc recesslon lasts, the more llkely thls
wlll be the case.
The Obama admlnlstratlon's plans for stlmulatlng the
economy lnclude bllllons of dollars for S&T. Thls Amerlcan
Pecovery and Pelnvestment lnltlatlve lncludes both
short-term economlc stlmull to [ump-start the economy
and a longer-term component that alms to lay the
groundwork for transformlng the economy ln the 2l
st
century. wlthln an overall programme that approaches
one trllllon dollars, 7tonslotm|n out lconomy w|th 5c|ence
onJ 7echnoloy alms to 'put sclentlsts to work looklng for
the next great dlscovery, creatlng [obs ln cuttlng-edge
technologles and maklng smart lnvestments that wlll
help buslnesses ln every communlty succeed ln a global
economy'.
The extent to whlch Congress - and the natlon as a
whole - wlll accept Presldent Obama's vlslon of the
future, partlcularly durlng the most severe economlc
recesslon ln 70 years, remalns to be seen. The future ls
both unfathomable and lncredlbly challenglng.
Natlonal Sclence 8oard (20l0) 5c|ence onJ ln|neet|n
lnJ|cotots 2010. Natlonal Sclence Poundatlon,
Arllngton, vA.
(2008) 5c|ence onJ ln|neet|n lnJ|cotots 2008. Two
volumes. Natlonal Sclence Poundatlon, Arllngton, vA:
(volume l, NS8 08-0l, volume 2 NS8 08-02).
(2004) 5c|ence onJ ln|neet|n lnJ|cotots 2004. Two
volumes. Natlonal Sclence Poundatlon, Arllngton, vA
(volume l, NS8 04-0l, volume 2, NS8 04-02).
Natlonal Sclence Poundatlon (2008) Not|onol Pottetns ol
k80 kesoutces: 2007 0oto uJote. Dlvlslon of Sclence
Pesources Statlstlcs Data Update NSP 08-3l8. Arllngton,
vlrglnla, USA.
OLCD (2008) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots,
volume 2008/l. Organlsatlon for Lconomlc
Co-operatlon and Development, Parls.
Patchford, 1. Thomas and 8lanpled, wllllam A. (2005)
Unlted States of Amerlca, ln: uNl5CO 5c|ence keott 2005,
pp. 25-43. UNLSCO, Parls. Avallable at:
www.unesco.org/sclence/
psd/publlcatlons/sclence_report2005.pdf
Patchford, 1. Thomas and Colombo, Umberto (l996)
Megasclence. wotlJ 5c|ence keott 1996, pp. 2l4-224.
UNLSCO, Parls.
Sclence and Trade Pollcy Program (2008) Proceedlngs of
the Chlna, |ndla, USA workshop on Sclence,
Technology and |nnovatlon Pollcy. 8angalore, |ndla,
1uly 2008. George Mason Unlverslty School of Law.
Avallable at www.law.gmu.edu/nctl/stpp/us_chlna.php
\|bS||S
Amet|con lnst|tute ol Phys|cs 8ullet|n ol 5c|ence Pol|cy News:
www.alp.org/fyl/
Natlonal Sclence Poundatlon: www.nsf.gov
Offlce of Sclence and Technology Pollcy :
www.whltehouse.gov/admlnlstratlon/eop/ostp
|||SO S|||| |||O| 2010
58
||||||||S
AAAS (2009) k80 8uJet Ptotom. Amerlcan Assoclatlon
for the Advancement of Sclence. Avallable at:
www.aaas.org/spp/rd/fy09.htm
Atklnson, Plchard C. and 8lanpled, wllllam A. (2008)
Pesearch unlversltles: core of the US sclence and
technology system. 7echnoloy |n 5oc|ety, 30: pp. 30-48.
Auerswald and 8rauscomb (2008) Pesearch and
lnnovatlon ln a networked world.
7echnoloy |n 5oc|ety 30, numbers 3-4.
8abor, T. (2009) Towards a common standard for confllct of
lnterest dlsclosure. AJJ|ct|on. Soclety for the Study of
Addlctlon, volume l04, lssue ll.
8lanpled, wllllam A., Patchford, 1. Thomas, Nlchols, Podney w.
(2008) 5ec|ol lssue: Ch|no, lnJ|o onJ the un|teJ 5totes.
7echnoloy |n 5oc|ety, 30, August-November 2008.
8reakthrough of the ear. 5c|ence, 306 (l7 December
2004), pp. 20l0-l2, 3l0 (23 December 2005),
pp. l878-79, 3l4 (22 December 2006), pp. l848-49,
3l8 (2l December 2007), pp. l842-43, and 322
(l9 December 2008), p. l768.
8ush, vannevar (l945) 5c|ence - the lnJless ltont|et.
Government Prlntlng Offlce, washlngton, DC.
Peprlnted by Natlonal Sclence Poundatlon, l990.
Golden, wllllam T. and Patchford, 1. Thomas (guest eds)
(l997) 7echnoloy |n soc|ety. 5ec|ol lssue: 5c|ence,
ln|neet|n, onJ 7echnoloy |n Covetnment onJ lnJustty
AtounJ the wotlJ: 7tonslot|n lnowleJe |nto Powet onJ
weolth, l9(3/4), August/November l997. Llsevler,
Oxford.
Goozner, M., Caplan, A., Moreno, 1. 8arnett, S., Kramer, T.,
8abor, T. P. Husser, w. C. (2009) A common standard for
confllct of lnterest dlsclosure ln addlctlon [ournals.
AJJ|ct|on. volume l04, |ssue ll.
Klrsch, |., Deacon, 8., Huedo-Medlna, T.8., Scoborla, A.,
Moore, T.1., 1ohnson, 8. T. (2008) |nltlal severlty and
antldepressant beneflts: a meta-analysls of data
submltted to the Pood and Drug Admlnlstratlon.
Plo5 VeJ 5: p. 260-268.
59
U
n
l
t
e
d

S
t
a
t
e
s

o
f

A
m
e
r
l
c
a
J. Thomas Ratchford (Tom) ls prlnclpal at Sclence,
Trade and Technology Assoclates (STTA) - a
consultlng flrm that provldes analytlc, buslness and
advlsory servlces for domestlc and forelgn corporate,
educatlonal and not-for-proflt cllents. He recently
retlred from a posltlon as Dlstlngulshed vlsltlng
Professor at the George Mason Unlverslty Law School
ln the washlngton, DC area, where he had dlrected
the Program on Sclence and Trade Pollcy.
Dr Patchford was born ln the state of South Carollna
ln l935. 8y educatlon a condensed matter physlclst,
he began hls career as a professor of physlcs. He was
sldetracked lnto pollcy ln the late l960s as a
Congresslonal Pellow of the Amerlcan Polltlcal
Sclence Assoclatlon. |n the l970s, he was one of the
flrst sclentlsts to serve the Congress full tlme. |n the
late l980s and early l990s, he was Assoclate Dlrector
for Pollcy and |nternatlonal Affalrs at the whlte House
Offlce of Sclence and Technology Pollcy (OSTP). Prlor
to hls conflrmatlon by the US Senate to hls OSTP
posltlon ln l989, he was the Assoclate Lxecutlve
Offlcer of the Amerlcan Assoclatlon for the
Advancement of Sclence.
Dr Patchford has publlshed extenslvely on both
sclence for pollcy and pollcy for sclence, wlth
emphasls ln recent years on Asla, especlally Chlna
and |ndla. He has co-authored all the chapters on the
USA ln the uNl5CO 5c|ence keott slnce the serles
began ln l993.
William A. Blanpied was a staff member at the
Natlonal Sclence Poundatlon (NSP) ln the USA from
l976 untll hls retlrement ln 1anuary 2003. Prom l999
to 2002, he was Dlrector of the NSP's Tokyo Peglonal
Offlce. Pollowlng hls retlrement, he was appolnted
vlsltlng Senlor Pesearch Scholar ln the Sclence and
Trade Pollcy Program at George Mason Unlverslty ln
Arllngton, USA. He retlred from that posltlon at the
end of 2008.
Dr 8lanpled recelved hls PhD ln Physlcs from
Prlnceton Unlverslty ln l959. He ls a fellow of the
Amerlcan Physlcal Soclety and the Amerlcan
Assoclatlon for the Advancement of Sclence. He ls
the author or co-author of four books, as well as
numerous artlcles ln peer revlewed, professlonal
[ournals.
|n Aprll 2003, he was deslgnated as an |nternatlonal
Afflllated Pellow of the Natlonal |nstltute for Sclence
and Technology Pollcy. |n the fourth quarter of the
same year, he served as a guest lecturer ln the School
of Pollcy and Management at Tslnghua Unlverslty ln
8el[lng.
wh|le ConoJo |s o telot|vely sol|J
etlotmet |n sc|ence, technoloy onJ
|nnovot|on, |t neeJs to o|m lot o o|et
tole on the wotlJ stoe.
Paul Dufour
Canada [13] [P3]:Layout 1 18/10/10 18:06 Page 60
3
.
Canada
|.J| |J|cJ.
6l
|||O|||O|
The present chapter descrlbes the evolutlon over the
past decade of the sclence and lnnovatlon systems of
Canada, a northern natlon that has tradltlonally relled
on lts natural resources and geography for soclo-economlc
progress. we shall examlne what Canada has done to
moblllze the lnternatlonal currency of knowledge and
skllls for competltlve advantage whlle managlng lts more
conventlonal assets ln a sustalnable and responslble
manner. we shall also polnt to some longstandlng
structural characterlstlcs of the economy that have
contrlbuted to the contlnued poor performance of
lndustrlal research and development (P&D) and lnnovatlon.
8y default, the publlc research sector - and lnstltutlons of
hlgher educatlon ln partlcular - has largely come to be seen
by pollcy-makers as a surrogate for lnnovatlon.
Canada ls unquestlonably a ma[or player ln global sclence,
wlth conslderable assets. we shall descrlbe some of the
more recent experlments that have made Canada one of
the world's premler sclence and research players. we shall
also underscore the current challenges Canada faces ln
overcomlng the prlnclple weaknesses ln lts approach to
lnnovatlon. Thls comes at a tlme when the world ls faced
wlth a severe economlc recesslon. Canada has not been
spared but has perhaps been affected to a lesser extent
than other countrles. Thanks to lts comparatlve strengths
- a banklng system among the strongest ln the world and
a real estate market that has avolded the excesses seen ln
other countrles - a more rapld recovery ls predlcted.
Purthermore, core lnflatlon ls at lts lowest polnt ln over
50 years and commodlty lncome from the country's
conslderable natural resources has helped to mltlgate the
negatlve lmpact on the economy. As ln other countrles,
unemployment has rlsen - lt stood at 7.9% natlonally as of
1une 20l0. |n recent years, real GDP has grown (Plgure l),
from CAN$l.09l trllllon ln 2004 to CAN$l.226 trllllon ln
2008, wlth GDP per caplta currently at approxlmately
CAN$46 000 per annum. A two-year stlmulus package of
CAN$62 bllllon to 20l0/20ll ls ln place, representlng
about 4.2% of GDP, wlth a deflclt pro[ected by the federal
government at around CAN$50.2 bllllon ln 2009/20l0.
l
C
a
n
a
d
a
Figure 1: Annual growth ln GLPD and GDP ln Canada, l967-2007 (%)
0
5
10
15
20
25
2007 2000 1995 1990 1985 1980 1975 1970 1967
GERD
% change
GDP
5outce: Statlstlcs Canada
l. |n 1uly 2009, the 8ank of Canada declared that Canada was on the path
to recovery from recesslon.
The Canadlan
Coast Guard
vessel Louls S.
St Laurent
Photo: Notutol
kesoutces ConoJo
|||SO S|||| |||O| 2010
Canada ls a G8 economy (Plgure 2) wlth a populatlon of
34 mllllon ln a North Amerlcan lntegrated economy.
An offlclally Prench and Lngllsh blllngual natlon, lt has an
agelng but hlghly educated and multl-ethnlc populatlon.
Canada covers a huge land mass - second only to the
Pusslan Pederatlon ln slze - and ls exposed to extreme
cllmates, straddllng as lt does the Arctlc Clrcle. |ts vast
terrltory ls well connected by sophlstlcated lnformatlon
and communlcatlon technology (|CT) networks. Also of
note ls that Canada has no constltutlonally deflned
dlvlslon of labour ln relatlon to sclence and technology
(S&T), belng a federated state whlch practlces power-
sharlng among the central government, the ten provlnces
and three terrltorles that make up lts polltlcal landscape.
Canada has a number of structural and cultural
characterlstlcs that mark lts approach to sclence and
lnnovatlon. |n recent years, baslc questlons have
emerged as a result of the federal 5c|ence onJ 7echnoloy
5ttotey released by the mlnorlty Conservatlve Party
government ln May 2007 (Government of Canada, 2007).
The strategy's four prlnclples are: promotlng world-class
excellence, focuslng on prlorltles, fosterlng partnershlps
and enhanclng accountablllty. Por example, are prlorlty
areas sufflclently focused on future lnvestments! |f
Canada wants to compete, how should lt do so and on
what basls! How does one assess lmpact! And what roles
do skllls, educatlon, talent and lngenulty play ln all of
thls! As the central government possesses no Mlnlstry
of Lducatlon and no full-tlme, dedlcated Cablnet-level
Mlnlster for Sclence,
2
these are lndeed crltlcal questlons
of natlonal lmportance, partlcularly ln the context of
the current economlc recesslon, ma[or lndustrlal
restructurlng and slgnlflcant new lnvestments ln S&T
and lnnovatlon by the US admlnlstratlon (see oe 36).
As a result, a natlonal debate has resurfaced on the
potentlal loss of Canada's braln power to lts nelghbour to
the south and on Canada's future global competltlveness.
Purthermore, a recent report by the government's
Sclence, Technology and |nnovatlon Councll (ST|C) has
noted that, whlle Canada ls a relatlvely solld performer ln
ST|, lt needs to alm for a blgger role on the world stage.
As the report puts lt, 'whlle we have been good, we now
need to be great' (ST|C, 2009).
62
||||S || |||O\A|O|
The end of a long investment cycle?
Several observers have noted that a country llke Canada,
sltuated lmmedlately to the north of the world's largest
knowledge superpower, cannot afford to remaln
complacent about lts own approach to lnnovatlon. Over
the dozen years slnce l997, federal and provlnclal
governments have lnvested a comblned amount of well
over CAN$20 bllllon ln P&D (Table l), much of lt ln the
academlc and medlcal research sectors but lncreaslngly ln
speclflc targeted areas where Canada and lts reglons have
a competltlve advantage. These areas, notlonally deflned
by the current federal S&T strategy, lnclude natural
resources and energy, envlronmental sclence and
technologles, health and related llfe sclences and |CTs.
Canada ls also a global player ln such dlsclpllnary flelds as
astronomy and space sclence, cllnlcal medlclne and
genomlcs, Larth sclences and mathematlcs (CCA, 2006).
8etween 2002 and 2008, the number of Canadlan
publlcatlons lnventorled ln the Sclence Cltatlon |ndex rose
from 30 305 to 43 539, an lncrease spread evenly across all
ma[or flelds of sclence (Plgure 3).
|n terms of overall refereed [ournal publlcatlons, Canada
ranks slxth ln the world (Plgure 4). Some 60% of Canadlan
sclentlflc papers are co-authored wlth the country's
largest sclentlflc partners, the Unlted Klngdom and USA
(Sclence-Metrlx, 2008) |Table 2|.
Figure 2: GLPD/GDP ratlo for the G8 countrles, 2008
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
Russian
Federation
Japan USA Germany France Canada UK Italy
%
3.40
2.54
2.10
1.84
1.80
1.14
1.12
2.67
Note: Data for 1apan and Germany are for 2007. Data for Canada,
Prance, |taly and the UK are prellmlnary.
5outce: UNLSCO |nstltute for Statlstlcs database, Statlstlcs Canada
2. |n September 2008, the Conservatlve government appolnted a
Mlnlster of State for Sclence and Technology reportlng to the Mlnlster of
|ndustry, the flrst such posltlon slnce l990. wlth thls latest appolntment,
Canada has had 23 elected polltlclans wlth some tltled responslblllty for
S&T slnce l97l.
.r.J.
63
|n part, thls large-scale, long-term lnvestment cycle ln P&D
slnce l997 has come about through contlnuous budget
surpluses over the decade leadlng up to the recesslon ln
2008. As a result, Canada has been at the forefront of the
G8 ln terms of gross domestlc expendlture on research
and development (GLPD) per caplta ln the hlgher
educatlon sector and ls second only to Sweden among
countrles of the Organlsatlon for Lconomlc Co-operatlon
and Development (OLCD) ln thls category. P&D ln the
hlgher educatlon sector now constltutes roughly 35% of
the country's total P&D performance (Plgure 5).
However, other data cloud thls rosy plcture. 8uslness P&D
expendlture ln Canada as a percentage of GDP decllned
by 20% from 200l to 2007. Canadlan lndustry's spendlng
on P&D was [ust over l% of GDP ln 2006, well below the
OLCD average of l.56% and the US average of l.84%.
8uslness P&D represents only about 54% of P&D
performed ln the country and ls concentrated ln a handful
of companles, wlth only l9 flrms spendlng more than
CAN$l00 mllllon per year on P&D (Plgure 6). The top ten
companles have carrled out one-thlrd of all P&D over the
past two decades (OLCD, 2008). Lven more troubllng, one
flrm, Nortel, responslble for a large portlon of thls one-
thlrd of buslness P&D, has been severely weakened by lts
lnablllty to recover from the hlgh-tech market crash ln
2000-200l and, more recently, from the global recesslon.
|n 1anuary 2009, faclng flagglng market demand, Nortel
flled for bankruptcy protectlon, leadlng to most of lts key
assets belng gradually sold off. 8uslness P&D spendlng ln
the manufacturlng sector especlally appears to be ln slow
decllne, although P&D ln the servlces sector has
malntalned some staylng power.
There are other worrylng slgns. The labour market
demand for sclence and englneerlng graduate students
appears to be weakenlng. Slnce l984, relatlve labour
productlvlty ln Canada's buslness sector has fallen from
more than 90% of the US level to about 76% ln 2007.
Canada ranked l5
th
out of l8 countrles ln a recent
assessment of growth ln labour productlvlty. when
compared to the USA, Canada has shown much slower
growth ln labour productlvlty slnce 2000 ln three ma[or
sectors: manufacturlng, lnformatlon and culture, and
flnance, lnsurance and real estate. The average
lnvestment per worker ln |CTs ln Canada was only about
60% of the US level ln 2007. |n short, some have
concluded that Canadlan buslness - wlth a few notable
exceptlons - tends to be seen as a technology follower,
not a leader.
Government investment choices
Hlstorlcally, government lnvestment ln S&T has been
largely a non-partlsan lssue. All polltlcal partles support lt
but to varylng degrees and wlth a dlfferent emphasls from
one perlod to another. Por example, once lt had absorbed
a serlous budgetary deflclt, Canada's prevlous Llberal
Party admlnlstratlon (l993-2005) declded from l997
onwards to lnvest ln knowledge on a large scale relatlve to
other dlscretlonary expendlture, reasonlng that fosterlng
a sound knowledge economy would greatly beneflt
Canadlans.
C
a
n
a
d
a
Table 1: Trends ln GLPD ln Canada, l999-2008
GERD in GDP in
CAN $ CAN $ GERD/GDP
millions millions ratio
l999 l7 638 982 44l l.80
2000 20 556 l 076 577 l.9l
200l 23 l33 l l08 048 2.09
2002 23 536 l l52 905 2.04
2003 24 69l l 2l3 l75 2.04
2004 26 783 l 290 906 2.07
2005 28 l26 l 373 845 2.05
2006 28 599 l 449 2l5 l.97
2007 29 l70 l 532 944 l.90
2008 29 487 l 600 08l l.84
Note: Data for 2007 and 2008 are prellmlnary.
Table 2: Trends ln sclentlflc publlcatlons ln lnternatlonal
collaboratlon for G8 countrles, 2002 and 2008
2002 2008 Percentage
change
Canada l2 l44 20 030 +65
Prance l9 782 28 046 +42
Germany 26 930 36 668 +37
|taly l2 553 l9 027 +52
1apan l4 2l3 l8 l62 +28
Pusslan Pederatlon 8 884 8 778 -l
Unlted Klngdom 23 898 35 663 +49
USA 57 l6l 83 854 +47
5outce: Knowledge Assessment Methodology database, Thomson Peuters
|nc. Sclence Cltatlon Database Lxpanded, complled for UNLSCO by the
Canadlan Observatolre des sclences et des technologles
|||SO S|||| |||O| 2010
To some extent, thls lnvestment has pald off but lt has also
ralsed expectatlons of contlnued fundlng on a slmllar scale.
The current government has also supported new P&D
lnvestment under lts federal 5c|ence onJ 7echnoloy 5ttotey
released ln May 2007. However, lt has been crltlclzed ln the
medla as well as ln some research clrcles for an
overemphasls on lnvestment ln sclentlflc lnfrastructure at
the expense of more slgnlflcant renewed programme
fundlng for the three maln grants counclls - the Natural
Sclences and Lnglneerlng Pesearch Councll (NSLPC), the
Canadlan |nstltutes of Health Pesearch, and the Soclal
Sclences and Humanltles Pesearch Councll - and other
research fundlng lnstltutlons llke Genome Canada.
|n the face of the ambltlous research fundlng and aggresslve
sclence and educatlon pollcy agenda announced by the
Obama admlnlstratlon, some fear a loss of talent and
research expertlse to a re-energlzed US research system.
Over the past decade, a number of new sclence and
lnnovatlon programmes and lnstltutlonal pro[ects have
64
been successfully lntroduced lnto the research system.
These lnclude the 2000 Canada Pesearch Chalrs, the
Networks of Centres of Lxcellence, the Canada Poundatlon
for |nnovatlon, Genome Canada and numerous
scholarshlp programmes. These have been accompanled
by fundlng lncreases for the three ma[or grants counclls
for unlverslty research and by provlslons for lndlrect
research costs. |n all, an estlmated CAN$l6 bllllon ln new
federal research fundlng has pushed Canada to the
forefront of the lnternatlonal S&T arena but has also
resulted ln calls for greater accountablllty and for the
soclo-economlc lmpact of S&T pro[ects to be
demonstrated.
A persistently poor R&D culture in much of the
business sector
Pocuslng on supply lssues ls a constant remlnder that
demand for knowledge must also be well grounded.
|n Canada, thls contlnues to be problematlc. The debate
over Canada's weak buslness P&D ls perennlal, golng back
0
3 000
6 000
9 000
12 000
15000
Biomedical
research
4 778
6 018
Clinical
Medicine
9 759
14 683
Engineering
and technology
5 971
3 760
Biology
3 352
4 571
Physics
2 629
3 634
Earth
and space
2 620
3 877
Chemistry
2 306
3 022
Mathematics
1 101
1 763
2008
2002
5outce: data from Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan
Observatolre des sclences et des technologles, May 20l0
Figure 3: Publlcatlons ln Canada by ma[or fleld of sclence, 2002 and 2008
.r.J.
65
to the early l960s (Dufour and de la Mothe, l992). whereas,
ln most leadlng developed economles, the prlvate sector
plays an actlve role ln drlvlng and champlonlng the need
for an enhanced lnnovatlve capablllty, ln Canada, buslness
leadershlp ls largely lacklng. |n part, thls ls because many
Canadlan-based flrms are weak performers of P&D. Thls ls to
some extent a functlon of thelr status as branches or plants
of forelgn-based multlnatlonals but lt can also be attrlbuted
to the fact that Canada has been a global commodlty
producer, an area where P&D has not been consldered a
ma[or buslness lnput.
3
A 2009 study by the Councll of Canadlan Academles has
argued that there ls no slngle cause for weak lnnovatlon ln
Canada. Pather, a sound understandlng and analysls of
the factors that lnfluence buslness declslon-makers, sector
by sector, ls also requlred (CCA, 2009o). |t has made the
polnt rather convlnclngly that Canada's productlvlty
problem ls actually a buslness lnnovatlon problem and
that buslness strategles do not emphaslze lnnovatlon as a
key competltlve tool. Canada's place ln 'upstream' North
Amerlcan lndustrles and a small domestlc market that ls
geographlcally fragmented provlde less lncentlve for a
buslness to lnnovate ln order to survlve. Others also argue
that there ls lnsufflclent advocacy from the varlous prlvate
sector assoclatlons to lnvest ln lnnovatlon and devote
greater attentlon to the lmportance of lnnovatlon and
research for competltlveness.
Jump-starting the innovation process
Arguably then, the hlgher educatlon research sector has
come to be seen as a surrogate for lndustrlal P&D ln
Canada, along wlth some key publlc technology
lnstltutlons. There have been numerous attempts by
successlve governments at both the federal and provlnclal
levels to shape new publlc sector levers to stlmulate the
commerclallzatlon of knowledge through publlc-prlvate
partnershlps. One good example of thls ls the agreement
negotlated by the federal government wlth the
Assoclatlon of Canadlan Unlversltles and Colleges (AUCC)
C
a
n
a
d
a
Figure 4: Sclentlflc publlcatlons ln the G8 countrles and Chlna, 2000 and 2008
2008
2000
USA China Japan UK Germany France Canada Italy Russia
2
2
4

6
4
3
2
6

9
3
9
3
1

0
2
0
2
9

8
1
3
4
7

0
6
8
6
4

7
4
5
6
2

4
7
8
7
2

6
8
1
2
8

9
1
6
2
7

0
8
3
4
5

2
7
3
4
3

5
3
9
5
7

1
3
3
7
6

3
6
8
7
1

3
0
2
7
4

6
1
8
1
0
4

9
6
8
2
7
2

8
7
9
0
50 000
100 000
150 000
200 000
250 000
300 000
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre
des sclences et des technologles, May 20l0
3. |t should be noted, however, that multlnatlonal flrms operatlng ln
Canada appear to lnvest more ln P&D than thelr Canadlan-owned
counterparts.
|||SO S|||| |||O| 2010
ln 2002, lt stlpulated that Canadlan unlversltles were to
double the amount of research they performed and trlple
thelr commerclallzatlon performance, ln addltlon to
lntenslfylng the tralnlng of graduate researchers and
contrlbutlng to the soclo-economlc development of thelr
communltles. As a result of thls entente, the AUCC has
produced varlous accountablllty measures and
benchmarks to monltor and update these commltments.
Por example, accordlng to lts data, the lncome recelved by
Canadlan unlversltles from the commerclallzatlon of
research results almost doubled between 2002 and 2006,
whlle spln-offs from unlversltles grew from 7l8 ln l999 to
l068 ln 2006 (AUCC, 2008).
Another novel case can be found wlth the Networks of
Centres of Lxcellence (NCL) programme mentloned
earller. A competltlve-based lnltlatlve, the programme was
launched ln l989 wlth the ob[ectlve of not only
developlng a network of excellence around the country to
address speclflc research challenges but also of worklng ln
concert wlth lndustry to generate practlcal appllcatlons
66
from baslc research programmes. There are now 20 NCLs,
all chosen vla a competltlve process coverlng a gamut of
strateglc research areas across the country. They lnclude
three devoted expllcltly to ma[or soclal lssues. 8y all
accounts, the programme has met wlth conslderable
success. Por example, accordlng to a recent progress
report on the federal S&T Strategy (Government of
Canada, 2009) ln 2006-2007, the NCLs have:
I partnered wlth close to 2 000 companles, government
departments and agencles, hospltals, unlversltles and
other organlzatlons ln Canada and around the world,
I employed more than 6 000 researchers and hlghly
quallfled personnel,
I supported thelr sclentlsts ln flllng ll0 patents and
publlshlng 4 309 papers ln refereed [ournals,
I obtalned or launched negotlatlons on 20 llcenses and
generated four spln-off companles.
8ulldlng on thls model, the federal government has
experlmented wlth hybrld, more commerclally drlven
Figure 5: GLPD ln Canada by performlng sector and source of funds, 2002 and 2007 (%)
Federal government
Provincial governments
Higher education
Business enterprise
Private non-prot
Foreign
31.7
57.5
9.3
1.2
0.3
1.3
34.9
54.4
0.6
14.7
2.7
8.2
18.1
4.3
15.7
3.3
51.5
47.8
9.4
18.8
5.0
8.7
8y soutce ol lunJs 8y etlotm|n sectot
2002 2002
2007 2007
.r.J.
67
deslgns to engage lndustry actlvely. |n 2007, the
8uslness-Led Networks of Centres of Lxcellence
programme was announced to fund large-scale
collaboratlve networks. These are expected to lncrease
prlvate-sector lnvestment ln research ln Canada, support
the tralnlng of skllled researchers and shorten the tlme-
llnes between research and commerclallzatlon. Up to flve
centres are to be supported for four years through thls
new programme. Centres of Lxcellence ln Commerclallzatlon
and Pesearch have also been created to the tune of
CAN$350 mllllon over flve years. These advance research
and commerclallzatlon of technologles, products and
servlces ln four prlorlty areas ldentlfled by the 2007
federal 5c|ence onJ 7echnoloy 5ttotey. The flrst batch of
these centres was slmply announced by the federal
government ln 2007 but, slnce then, centres have
undergone a selectlon process comblnlng lnternatlonal
peer revlew wlth advlce from the prlvate sector.
There have been other efforts to [umpstart the lnnovatlon
process ln Canada. These range from some of the most
generous P&D tax credlts ln the world to new forms of
venture capltal support and even targeted research funds
for automotlve lnnovatlon, aerospace, forestry and
defence - lmportant employment sectors of the Canadlan
economy. |n addltlon, glven Canada's tremendous scope
ln energy assets, lnvestments have been made ln energy
research and technology, lncludlng the establlshment of
Sustalnable Development Technology Canada ln 200l, a
foundatlon that supports groundbreaklng technologles
from the prlvate sector ln cllmate change, clean water
and next-generatlon renewable fuels. Along wlth a
Clean Lnergy Pund announced ln 2009, more than
CAN$3.5 bllllon has been lnvested ln energy research
and technology, wlth more llkely to come.
The Natlonal Pesearch Councll of Canada, the premler
technology motor of the publlc sector (wlth laboratorles
across the country), has also lncreased lts flnanclal support
- to CAN$200 mllllon for two years - for the well-
establlshed |ndustrlal Pesearch Asslstance Program
deslgned to help solve the lnnovatlon challenges of small
and medlum-slzed companles. As of October 2009, thls
new fundlng had reached over l 200 flrms and created over
4 500 [obs on top of the 455 new graduates hlred by small
flrms. |n parallel, federal government laboratorles ln varlous
areas that lnclude natural resources, natlonal defence, the
envlronment, and agrl-food and agrlculture have
developed lnltlatlves to commerclallze thelr technologles.
The three grants counclls have also been responslve. Por
example, the Natural Sclences and Lnglneerlng Pesearch
Councll has funded three strateglc networks to focus on
challenges ln manufacturlng, forestry and flsherles. Some
of the provlnces have also lnvested slgnlflcantly ln
research and lnnovatlon. The provlnce of Ontarlo has
created a Mlnlstry of Pesearch and |nnovatlon to focus the
provlnclal government's commltment to maklng
lnnovatlon the drlvlng force of Ontarlo's economy. Alberta
has announced a ma[or lnltlatlve on clean energy and
supports a four-part technology commerclallzatlon actlon
plan. As for Quebec, lt has lntroduced an ambltlous
CAN$l.l6 bllllon sclence and research strategy that
lncludes fundlng for partlclpatlon ln key lnternatlonal S&T
ventures.
Desplte all of these efforts to lmprove the demand for
knowledge, lncludlng some new funds to foster lndustrlal
P&D lnternshlps for students wlshlng to work ln the
prlvate sector, the overall weakness ln prlvate sector
performance perslsts.
C
a
n
a
d
a
Figure 6: GLPD ln Canada by source of funds,
2002 and 2007
2007
2002
C
A
N
$

B
i
l
l
i
o
n
s
2.7
0
3
6
9
12
15
4.3
5.5
1.2
1.5
3.5
4.6
0.6
1.0
1.9
12.1
13.9
F
e
d
e
r
a
l
g
o
v
e
r
n
m
e
n
t
P
r
o
v
i
n
c
i
a
l
g
o
v
e
r
n
m
e
n
t
s
B
u
s
i
n
e
s
s
e
n
t
e
r
p
r
i
s
e
s
H
i
g
h
e
r
e
d
u
c
a
t
i
o
n
P
r
i
v
a
t
e
n
o
n
-
p
r
o
t
F
o
r
e
i
g
n
|||SO S|||| |||O| 2010
|||SO|||| |SS||S
The need for a strong national agenda in higher
education and research
|n many respects, Canada has two Achllles Heels. The flrst, as
we have seen, ls the lacunae of aggresslve prlvate-sector
commltment to lnnovatlon. The second ls the lack of a strong
not|onol agenda for talent and sclence educatlon when lt
comes to orchestratlng effectlve skllls, educatlon and tralnlng
for the 2l
st
century. whlle educatlon remalns almost
excluslvely a provlnclal matter, responslblllty for S&T and
research are undeflned constltutlonally. As a result, dlfferent
levels of government lntercede wlth dlfferent lnstruments for
varylng outcomes. Thls makes for a complex web of actors
and reclplents, often wlth unco-ordlnated leadershlp.
A landmark study ln l984 by the defunct Sclence Councll of
Canada on sclence educatlon lnvolvlng all [urlsdlctlons made
thls polnt clearly (Sclence Councll of Canada, l984). Other
studles have slnce polnted out the need for a pan-Canadlan
vlslon for educatlon, research and skllls. Purthermore, desplte
the occaslonal federal/provlnclal/ terrltorlal S&T mlnlsterlal
meetlngs, Canada's one and only attempt at a truely not|onol
S&T strategy, adopted by all levels of government ln l987,
has long slnce lapsed.
Data show that enrollment ln Canadlan unlversltles ln the
2006/2007 academlc year rose only 0.9%, the smallest rate
slnce 2000. Of some concern ls a perslstent dlsaffectlon
among students for the natural sclences and
mathematlcs: ln recent years, enrollment has fallen ln
several areas, lncludlng mathematlcs and computer and
lnformatlon sclences (Plgure 7).
However, lt ls worth notlng that Canadlan secondary
school puplls perform well ln sclence, accordlng to the
OLCD's Programme for |nternatlonal Student Assessment.
|n 2006, they ranked thlrd - after puplls ln Plnland and
Hong Kong ln Chlna.
Taking full advantage of a highly educated foreign-
born population
Nearly half (47%) of Canada's populatlon of worklng age
holds a tertlary degree. Canada's large forelgn-born
populatlon ls also hlghly educated. The country has the
hlghest ratlo ln the world of forelgn-born PhDs to natlve
PhDs and ls second only to the USA for hlghly skllled
forelgn-born workers. Taklng full advantage of the
lmmlgrant populatlon for enhanced soclo-economlc
development ls a challenge.
68
Lvldence shows that Canada succeeds ln attractlng hlghly
skllled lmmlgrants on a permanent basls but fares less well
when lt comes to attractlng and retalnlng forelgn students at
advanced levels of educatlon. |n fact, one of the earller pollcy
experlments was structured preclsely to address thls questlon
of retentlon: the CAN$2 bllllon Canada Pesearch Chalrs (CPC)
Programme was deslgned ln 2000 to attract top talent to
Canada's unlversltles and keep them there. Two thousand
CPCs have been allocated on a competltlve basls to
70 partlclpatlng unlversltles across the country. The chalrs are
allocated accordlng to a two-tler prlnclple: CAN$200 000 per
chalr for establlshed 'stars' for seven years, tenure that ls
renewable, and CAN$l00 000 per year for flve years for [unlor
or rlslng stars. One of the features of thls ongolng programme
ls that unlversltles have to provlde a strateglc research plan on
how they would allocate the chalrs and ln what areas. Thls
requlrement has encouraged Canadlan unlversltles to
become more focused ln some of thelr research. The success
of thls model has been adapted elsewhere around the globe
and, ln 2007, the |nternatlonal Development Pesearch Centre,
Canada's premler research development agency, [olned up
wlth the CPC programme to create a new lnltlatlve for
selected unlverslty chalrs ln the developlng world. |n 2009,
under thls programme, elght research teams were selected to
recelve up to CAN$l mllllon each over flve years, each to
address a key development challenge.
Other measures have been put ln place under the 2007
federal 5c|ence onJ 7echnoloy 5ttotey. The vanler Canada
Graduate Scholarshlps Program supports 500 Canadlan
and lnternatlonal doctoral students each year wlth three-
year scholarshlps valued at up to CAN$50,000 per annum.
Launched ln September 2008, these awards are expected
to attract and support world-class doctoral students who
demonstrate a hlgh standard of scholarly achlevement ln
graduate studles along wlth strong leadershlp skllls.
8ulldlng on the CPC programme, a Canada Lxcellence
Pesearch Chalrs Program was launched ln 2009, wlth a
budget of CAN$l0 mllllon over seven years to support
20 researchers and thelr teams ln establlshlng research
programmes at Canadlan unlversltles and research hospltals.
Provincial governments promoting an
entrepreneurial culture
Provlnclal governments are actlve as well. Quebec has the
hlghest provlnclal GLPD/GDP ratlo ln Canada, at 2.7%. |t ls
followed by Ontarlo at 2.3%. These two provlnces, whlch
contaln most of Canada's manufacturlng heartland,
.r.J.
69
domlnate the provlnclal P&D landscape. Plrms ln Ontarlo
account for 48% of total lndustrlal spendlng ln P&D, whlle
those ln Quebec account for 30% (Statlstlcs Canada, 2009).
Por example, the Ontarlo government's CAN$3 bllllon
|nnovatlon Agenda (Government of Ontarlo, 2008) provldes
fundlng for the development and teachlng of commerclal
skllls across sectors and dlsclpllnes. |t supports programmes
to spark the lnterest of young people ln lnnovatlon. As well
as provldlng fundlng for theoretlcal physlcs and quantum
computlng, Ontarlo lnvested CAN$l00 mllllon ln an
lnltlatlve centred on genomlcs research ln 2009, along wlth
a CAN$250 mllllon Lmerglng Technologles Pund to be co-
lnvested wlth venture capltal funds-for companles ln clean
technology, llfe sclences and dlgltal medla and |CTs.
Other provlnces, such as Alberta, Quebec, 8rltlsh Columbla
and Saskatchewan, are all actlvely engaged ln promotlng
sclence and an entrepreneurlal culture through sclence
popularlzatlon, outreach and scholarshlps. Most provlnces
have embedded sclence and research functlons ln
mlnlstrles responslble for small buslness, entrepreneurshlp
or lnnovatlon. A few have S&T counclls advlslng thelr
government on emerglng trends and new pollcy dlrectlons,
among them 8rltlsh Columbla and Quebec. Alberta has
adopted a new approach to lnnovatlon wlth the creatlon of
Alberta |nnovates, a set of four corporatlons that wlll
address speclflc lnnovatlon challenges for the provlnce.
Several provlnces have research and technology counclls
that develop technology commerclallzatlon and cluster
strategles to enhance lnnovatlon speclflc to thelr reglon,
often ln con[unctlon wlth federally funded research
bodles located ln thelr provlnce or terrltory. Some of the
reglonal agencles for economlc development supported
by the federal government are actlve ln thls arena.
One example ls the multlmllllon-dollar Atlantlc |nnovatlon
Pund establlshed ln 2000, whlch supports research ln the
four Atlantlc provlnces: Nova Scotla, New 8runswlck,
Prlnce Ldward |sland, and Newfoundland and Labrador.
||\|SV|| || ||||AS|||||
Laying the foundations for innovation
Pundlng ls a good start but researchers also need a well-
appolnted home lf they are to be successful. |n l997, the
federal government lnltlated an experlment that lt
dubbed the Canada Poundatlon for |nnovatlon (CP|).
C
a
n
a
d
a
Figure 7: Lnrollment ln sclentlflc dlsclpllnes ln Canada, 2002/2003 and 2006/2007
Numoet ol stuJents onJ etcentoe ol totol un|vets|ty entollment
2006/2007 2002/2003
Mathematics, computer
and information sciences
Agriculture, natural resources
and conservation
Physical and life sciences
and technologies
Architecture, engineering and
related technologies
81 804 (8.74%)
92 328 (8.70%)
81 096 (8.66%)
86 313 (8.10%)
45 837 (4.90%)
34 242 (3.20%)
14 592 (1.56%)
15 708 (1.50%)
0 20 000 40 000 60 000 80 000 100 000
Note: 2005/2006 and 2006/2007 enrollments for the Unlverslty of Peglna are not avallable.
|||SO S|||| |||O| 2010
70
I the reglstratlon of l 750 lntellectual property rlghts
clalms,
I the development of 760 new or lmproved products,
processes or servlces, and
I the creatlon of almost 200 spln-off companles.
Another ma[or lnvestment ln lnfrastructure has come
through the CANAP|L Advanced Pesearch Network, a
sophlstlcated, ultra-hlgh-speed broadband network llnklng
the country's unlversltles, hospltals, federal laboratorles and
other facllltles wlth top lnstltutlons around the globe.
CANAP|L recelved an addltlonal CAN$l20 mllllon ln the
2007 budget. |n 2009, as part of a broader economlc
stlmulus package, the federal government also lnvested
CAN$2 bllllon for lmprovements to knowledge
lnfrastructure ln the country's colleges and unlversltles.
Several organlzatlons have also called for greater
attentlon to be pald to entrepreneurshlp and produclng
buslness, management and flnanclal talent at Canada's
buslness schools. vlrtually every study on competltlveness
makes thls polnt, argulng that lnnovatlon requlres better-
lnformed managerlal talent, rather than solely lnvestment
Desplte lts name, the programme ls actually deslgned to
ensure the provlslon of state-of-the-art research capaclty,
equlpment and facllltles to unlversltles, colleges and
hospltals across Canada. Lnvlsloned to last for flve years,
wlth an lnltlal lnvestment of CAN$800 mllllon, lts success
has been such that lts llfespan wlll carry lt beyond 20l0 -
wlth a comblned pro[ected lnvestment of almost
CAN$l0 bllllon over the past decade. CP| ls structured to
leverage 60% of lts fundlng from other sources, lncludlng
the provlnces. Slnce lts lnceptlon, CP| has supported,
through open competltlon, 6 000 pro[ects at
l28 research lnstltutlons ln 64 Canadlan communltles
(Government of Canada, 2009). An analysls of CP|'s lmpact
over the past flve years lndlcates that thls new
lnfrastructure has led to:
I the creatlon of more than 4 000 [obs ln the publlc and
prlvate sectors,
I the tralnlng of almost ll 000 technlcal personnel,
I the generatlon of more than 9 000 research
collaboratlons,
I the development of more than l 500 lnternatlonal
research collaboratlons,
Figure 8: S&T labour force ln Canada, 2006
Computer and information
systems professionals
307 685
Other engineers 69 160
Civil, mechanical, electrical
and chemical engineers
120 260
Physical science professionals 35 080
Life science professionals
29 455
Science and engineering
managers
70 390
Mathematicians, statisticians
and actuaries
7 855
Science and engineering
technologists
504 970

.r.J.
7l
ln more sclentlsts and englneers. when a 2009 study by
the Councll of Canadlan Academles examlned how the
research produced by Canadlan buslness and flnance
schools was farlng, lt found that, whlle overall output from
thls research tended to rank above the world average ln
most tradltlonal dlsclpllnes, there was a lack of expllclt
relevance to potentlal end-users (CCA, 2009o).
S|||| O\|||A||
Science governance faces challenges of its own
Plxlng and fuelllng lnnovatlon systems also requlres a sound
regulatory envlronment, hlgh technlcal standards and well-
framed condltlons to support the buslness envlronment.
|n a country wlth a long-standlng soclal democratlc
tradltlon, lnformed advlce and publlc engagement on the
country's future dlrectlons ls a s|ne quo non condltlon. Sound
sclentlflc advlce and a strong sclence and lnnovatlon culture
are central to these tenets. Canada has experlmented wlth
varlous lnstltutlonal forms of sclentlflc advlce ln the past but
few have survlved. The longest-standlng of these was the
Sclence Councll of Canada, whlch was closed by the federal
government ln l992 after 26 years of provldlng a publlc face
and dlalogue on Canadlan sclence pollcy.
|n 2008, after a four-year experlment, the Offlce of the
Natlonal Sclence Advlsor (whlch had been set up under
the former Llberal Party prlme mlnlster) was dlsbanded.
8orrowlng from slmllar models ln other countrles, the
offlce had been an attempt to address an obvlous gap ln
the government's ablllty to moblllze effectlvely lts
advlsory capaclty lnternally on key publlc pollcy lssues.
|ssues lt actlvely supported over lts short llfe-span lnclude
(Carty, 2008):
I the creatlon of the Canadlan Academy of Sclence ln
2005, now the Councll of Canadlan Academles, an
lndependent organlzatlon wlth a l0-year grant
endowment of CAN$ 30 mllllon deslgned to assess the
sclence underlylng lmportant publlc pollcy lssues. The
Councll has produced several reports at the request of
the government, followlng a landmark report ln 2006
on the state of S&T ln Canada (CCA, 2006) whlch formed
the basls of the federal government's strategy for
prlorlty-settlng.
4
Assessments publlshed by the Councll
lnclude the potentlal for gas hydrates ln Canada, the
lmpact of nanotechnologles on health and the
envlronment, the sustalnable management of
groundwater, buslness lnnovatlon, the transmlsslon of
lnfluenza and deslgn optlons for a proposed new
lnternatlonal Arctlc research statlon. Other assessments
on anlmal health and blodlverslty are under way,
I advlslng on what became a CAN$l56 mllllon
contrlbutlon to the |nternatlonal Polar ear
(2007-2008), the largest ever global programme
dedlcated to polar research. Canada led 44 pro[ects ln
thls venture, whlch focused on the lmpact of cllmate
change and adaptatlon measures, as well as the health
and well-belng of Northerners and Northern
communltles. Thls lnvestment stlmulated a ma[or
outreach programme ln addltlon to moblllzlng
communltles, researchers and the next generatlon of
scholars ln Arctlc research. The government has also
commltted to establlshlng a world-class research
statlon ln the hlgh Arctlc, a feaslblllty study ls currently
belng flnallzed on lts potentlal locatlon,
I ln collaboratlon wlth the heads of the research counclls
and agencles, the development of a draft framework for
the fundlng, evaluatlon and overslght of ma[or Canadlan
lnvestments ln sclence and lnfrastructure. Slnce 2008,
Canada has contlnued to support several such ventures,
lncludlng NLPTUNL Canada, a CAN$300 mllllon publlc-
prlvate sector collaboratlon on the Paclflc Coast lnvolvlng
Canada and the USA that wlll use a cabled observatory to
expand knowledge of the ocean and ocean floor. Other
pro[ects lnclude the Canadlan Llght Source ln
Saskatchewan, the Sudbury Neutrlno Observatory ln
Ontarlo and a ma[or contrlbutlon to the Large Hadron
Colllder near Geneva ln Swltzerland (see oe l58),
I wlth the co-operatlon of ald agencles and other
departments and agencles, the draftlng of an actlon
plan to help moblllze P&D to meet the needs of the
developlng world, especlally ln the context of
Canada's prevlous G8 commltments ln health,
agrlculture and lnnovatlon for development ln Afrlca.
A multl-mllllon dollar Development |nnovatlon Pund
was announced ln 2007 to asslst ln fundlng
breakthroughs ln health and related areas for the
beneflt of developlng countrles. Canada's |nternatlonal
Development Pesearch Centre (|DPC) was one of the
flrst organlzatlons to support the establlshment of
C
a
n
a
d
a
4. ST|C has subsequently produced a set of sub-prlorltles for the deslgn of
Canada's research support programmes at the request of the Mlnlster of
|ndustry.
|||SO S|||| |||O| 2010
Alt|cos 5c|ence onJ 7echnoloy Consol|JoteJ Plon ol
Act|on by the New Partnershlp for Afrlca's
Development (NLPAD), announced ln South Afrlca ln
2005 (see oe 297),
I ln con[unctlon wlth other lnternatlonal obllgatlons,
the Natlonal Sclence Advlsor worked closely wlth the
lnternatlonal trade department to help deslgn the
|nternatlonal Sclence and Technology Partnershlps
programme (|STP) that ls now provldlng
CAN$20 mllllon for enhanced P&D partnershlps wlth
8razll, Chlna, |ndla and |srael. The |STP has led to over
30 funded [olnt pro[ects wlth Chlna and |ndla (|STP,
2009). Moreover, a new experlment ln trllateral
co-operatlon lnvolvlng Canada, Chlna and |srael ln
agrl-lnnovatlon shows conslderable promlse for other
such partnershlps ln the future (|STP, 2009). |n addltlon,
the Natlonal Sclence Advlsor helped to shape the
Canada-Callfornla Strateglc |nnovatlon Partnershlp
(CCS|P), whlch has slnce resulted ln the creatlon of a
bllateral Cancer Stem Cell Consortlum announced by
the Mlnlster of Health and the Governor of Callfornla
ln May 2008. |n December 2008, a CAN$2 mllllon [olnt
call for proposals was launched under the CCS|P,
resultlng ln over l00 expresslons of lnterest from
some 23 Canadlan unlversltles.
|n 2007, the federal government phased out several
other S&T advlsory groups, lncludlng the Councll of
S&T Advlsors and the Natlonal 8lotechnology Advlsory
Councll. These were replaced wlth a new Sclence,
Technology and |nnovatlon Councll (ST|C) made up of
experts from across the country and senlor offlclals from
varlous sclence-based departments. An advlsory body
that reports to the Mlnlster of |ndustry, the ST|C
constltutes an element of the federal Sclence and
Technology Strategy of 2007.
The ST|C provldes S&T advlce on lssues referred to lt by
the government, such as the deslgn of new S&T
scholarshlps or how to enhance Canada's S&T role
lnternatlonally. The councll ls mandated to produce a
regular natlonal report benchmarklng Canada's
performance ln S&T agalnst lnternatlonal standards of
excellence, the flrst of whlch was publlshed ln May 2009
(ST|C, 2009). Unllke slmllar bodles ln other [urlsdlctlons,
the publlc ls not prlvy to the work of ST|C, wlth the
exceptlon of lts natlonal report. ST|C provldes advlce to
the government on a confldentlal basls.
72
O|||S|O|
Looking forward
The next phase of Canada's knowledge lnvestment ls
unclear, ln a rapldly changlng S&T envlronment wlth
dlmlnlshlng expectatlons and new prlorltles, and amld
presslng domestlc and global demands. Prom 200l, when
Canada's P&D effort reached a hlgh of 2.09% of GDP, GLPD
decllned to l.84% of GDP ln 2008 (Table l). Pederal P&D
expendlture ls expected to drop to 2.6% ln 2008/2009
from 2.9% the prevlous year. |n 2008, dlrect federal
fundlng of P&D amounted to CAN$5.2 bllllon, or [ust
under one-slxth of the country's total P&D fundlng. whlle
the federal government's overall spendlng on S&T was
about CAN$9.9 bllllon ln 2008-2009, S&T accounted for
about 4.l% of the total federal government budget, down
from 4.6% over the prevlous two years.
Pespondlng ln part to crltlcs of lts tepld lnvestment to date,
the federal government announced ln March 20l0 a sulte of
new lnnovatlon and research measures spannlng 20l0 and
20ll. These lnclude a flve-year postdoctoral fellowshlp
programme of CAN$45 mllllon, small lncreases over two
years to the grants counclls (totalllng CAN$32 mllllon per
year), a one-tlme lnvestment of CAN$75 mllllon to Genome
Canada, CAN$l35 mllllon to the NPC for lts reglonal
lnnovatlon clusters, and CAN$50 mllllon over the same
perlod to TP|UMP, Canada's premler natlonal faclllty for
nuclear and partlcle physlcs. The 20l0 8udget also lnvested
CAN$397 mllllon over flve years to develop the next-
generatlon remote-senslng radar satelllte: PADAPSAT.
A programme for college and communlty lnnovatlon wlll also
recelve an addltlonal CAN$l5 mllllon per year and
CAN$49 mllllon ln annual fundlng for two years has been
earmarked for the reglonal development agencles to enable
them to contlnue supportlng lnnovatlon across the country.
The proposed Canadlan Hlgh Arctlc Pesearch Statlon recelved
new fundlng for a pre-constructlon deslgn phase and the
|STPP programme wlth |ndla, Chlna, 8razll and |srael was
extended for another two years wlth an addltlonal
CAN$8 mllllon. Nonetheless, wlth a loomlng austerlty
programme to reduce Canada's budget deflclt by 20l6, many
predlct tougher tlmes ahead for research and other areas of
dlscretlonary spendlng. The onus wlll be on the research and
lnnovatlon communlty to contlnue to make lts case.
There ls an anlmated and re-emerglng publlc pollcy debate
at the moment on llmltlng potentlal braln draln, as US
spendlng on P&D and other lncentlves are ramped up
.r.J.
73
proportlonately more than Canada's own lnvestment.
The same can be sald of lnvestment by other competltors,
such as Chlna, Prance, Germany, |ndla and the Pepubllc of
Korea. |n a trend that ls somewhat ln llne wlth other
countrles, government pollcles are lncreaslngly focuslng on
the need to frame research for commerclal results and dlrect
areas of prlorlty. Nonetheless, even the co-founder of
Canada's largest hlgh-tech company, Pesearch ln Motlon -
makers of the 8lackberry - has warned of the perlls of
lgnorlng baslc research (Lazarldls, 2009). Mlke Lazarldls has
lnvested over CAN$l50 mllllon of hls personal fortune to
create the world-class Perlmeter |nstltute for Theoretlcal
Physlcs (P|) and the |nstltute for Quantum Computlng.
These are both located at waterloo, Ontarlo, one of the
country's most dynamlc knowledge clusters. Some of the
fundlng for these two lnstltutes has come from federal and
provlnclal governments.
5
Canada's structural weaknesses ln competltlveness and
lnnovatlon remaln but pro[ects to enhance technology and
lts commerclallzatlon are on the rlse. These are stlll too few
and far between, however. |f Canada ls to malntaln lts current
level of prosperlty, they wlll need to be expanded on, wlth all
relevant sectors worklng together. Lxamples of such pro[ects
are:
I the Medlcal and Pelated Sclences (MaPS) Dlscovery
Dlstrlct ln Toronto,
I the blopharma and nanotechnology clusters ln Quebec,
I the marlne and oceans research complexes ln Hallfax and
St 1ohn's,
I the nanotechnology, energy and water research lnstltutes
ln Alberta, and
I the blotechnology and blo-products cluster ln
Saskatchewan.
The mlsslon of Canada's over 200 federal laboratorles, whlch
serve the publlc good ln areas that lnclude health, the
envlronment, agrlculture and food safety, ls changlng as the
P&D capaclty of these laboratorles slowly erodes. |n
recognltlon of thls decllne, these laboratorles recelved a two-
year ln[ectlon of CAN$250 mllllon from the federal
government to help cover the cost of deferred malntenance.
An expert panel appolnted by the federal government ln
2008 examlned ways ln whlch the federal laboratorles mlght
better adopt new buslness models, ln collaboratlon wlth
unlversltles, and analysed varlous forms of prlvatlzatlon.
Several new models for partnershlp ln the flelds of materlals,
geosclences and nanotechnologles are belng put ln place as
a result. One good example ls the Natlonal |nstltute for
Nanotechnology, establlshed ln 200l on the campus of the
Unlverslty of Alberta wlth the support of the NPC and federal
and provlnclal governments.
Diversifying partners in scientific collaboration
Canada's global partnershlps are also shlftlng to address the
country's changlng domestlc needs. A recent study has
demonstrated that, whlle the USA contlnues to be the
country's largest S&T partner by far - ln 2008, over 5l% of
Canadlan sclentlflc papers were co-authored wlth US
researchers, streets ahead of the next blggest partner, the UK
(8.l%) - the fastest growth ln bllateral sclentlflc collaboratlon
ls occurrlng wlth emerglng Aslan and Latln Amerlcan
economles, as well as wlth some Nordlc countrles. These
countrles lnclude Chlna, Plnland, the Pepubllc of Korea and
Norway (Sclence-Metrlx, 2009).
wlth respect to multllateral membershlp of varlous 'clubs',
Canada contlnues to partlclpate ln such groups as the
Asla-Paclflc Lconomlc Cooperatlon (APLC), the
Organlzatlon of Amerlcan States (OAS),
6
the Unlted
Natlons, the Prancophonle - brlnglng together Prench-
speaklng countrles - and the North Atlantlc Treaty
Organlzatlon. Desplte some slgnlflcant earller lnvestment
ln development research, there are slgns of a slowdown, as
ald and capaclty-bulldlng shlft towards other geopolltlcal
prlorltles, among them Afghanlstan and the Amerlcas.
Canada's expertlse ln supportlng S&T for development was
put to the test wlth the G8 and G20 meetlngs ln 20l0, as lt
sought to strengthen partnershlps wlth Afrlca and other
developlng reglons ln speclflc programmatlc areas
assoclated wlth global health vla the launch of the
Development |nnovatlon Pund. Pundlng wlll be dellvered
by Grand Challenges Canada, a programme lnstlgated by
the federal government ln 2008 and endowed wlth
CAN$225 mllllon over flve years. The programme wlll
suott the oest m|nJs |n the wotlJ os they seotch lot
oteolthtouhs |n loool heolth onJ othet oteos thot hove the
otent|ol to ot|n ooout enJut|n chones |n the l|ves ol the
m|ll|ons ol eole |n oot countt|es.' Grand Challenges
Canada wlll be lmplemented ln collaboratlon wlth the
|DPC and the Canadlan |nstltutes of Health Pesearch.
C
a
n
a
d
a
5. The orlglns and development of the Perlmeter |nstltute are related well
ln an lnterestlng book by lts former Lxecutlve Dlrector (8urton, 2009).
6. See Annex | for the member countrles of APLC and OAS.
Developing a science culture
In addition to the pursuit of priority-setting and the
examination of its appropriate place in shaping future
public policy and investment in innovation and R&D, other
debates are emerging. These are centred on improving the
science culture and outreach in the country, including by
augmenting the participation of women and the
Aboriginal population in the knowledge society (Dufour,
2009). Women account for 47% of the labour force and
57% of university graduates but only 20% of doctoral
degrees awarded in science and engineering.
Some of the responsibility for Canadas deteriorating
appreciation of the value of knowledge centres on its lack
of a science culture in its widest form, both in the political
realm and among certain segments of the population and
research community. There is an antagonism here
between what some have termed a politically clueless
research community versus a scientifically illiterate
political class. A Science Media Centre has been proposed
to improve science communication within the media.
Efforts are also under way at various science centres and
museums across the country to strengthen public
understanding. Events include a National Science and
Technology Week and a major physics festival organized
by the Perimeter Institute. Some provinces, especially in
Quebec, have long-standing traditions and tools in
support of science outreach, given the promotion of
science in the French language.
Overall, however, the science culture gap remains. The
scientific communities must share some of the
responsibility for this. Often poorly organized, with limited
means of outreach and inadequate communication tools,
the research lobbies are increasingly faced with having to
make a better case for why the future of the country lies
with more, rather than less, research and technology
innovation in its broadest sense.
The private sector is also struggling to be more effective in
articulating its own needs and concerns over the lack of
necessary resources and strategic vision. If it can succeed
74
in forging stronger partnerships, while recognizing the
value of adopting new business innovation models,
the private sector can emerge as a stronger actor in the
countrys competitive future.
With continued public policy leadership and by building
on its considerable physical and intellectual assets within
a larger societal debate on knowledge for development,
Canadas innovative path shows considerable promise as it
sets out to enhance its reputation as a Northern Minerva.
7
REFERENCES
AUCC (2008) Momentum: the 2008 Report on University
Research and Knowledge Mobilization. Association of
Universities and Colleges of Canada, Ottawa.
Burton, Howard (2009) First Principles: the Crazy Business of
Doing Science. Key Porter, Toronto.
Carty, Arthur J. (2008) Testimony to House of Commons
Standing Committee on Industry, Science and
Technology. Ottawa, 6 March.
CCA (2009a) Innovation and Business Strategy: Why Canada
Falls Short. Report of the Expert Panel on Business
Innovation in Canada. Council of Canadian Academies,
Ottawa.
(2009b) Better Research for Better Business. Report
of the Expert Panel on Management, Business and
Finance Research. Council of Canadian Academies,
Ottawa.
(2006) The State of Science and Technology in Canada:
Summary and Main Findings. Council of Canadian
Academies, Ottawa. Available at:
www.scienceadvice.ca/study.html
Dufour, Paul (2010) Supplying demand for Canadas
knowledge society: a warmer future for a cold climate?
American Behavioural Scientist, vol. 53, no. 7.
Dufour, Paul and de la Mothe, John (eds) [1993] Science
and Technology in Canada. Longman, London.
Government of Canada (2009) Mobilizing Science and
Technology to Canadas Advantage: Progress Report
2009. Public Works and Government Services Canada,
Ottawa. Available at: www.ic.gc.ca/s&tstrategy
7. Usually associated with the Roman goddess of wisdom, Minerva, this
term was deployed to refer to the Royal Society of Canada at the turn of
the last century.
Canada [1] [Ed2]:Layout 1 27/1/11 10:21 Page 74
.r.J.
75
(2007) Voo|l|z|n 5c|ence onJ 7echnoloy to ConoJos
AJvontoe. Publlc works and Government Servlces
Canada, Ottawa. Avallable at: www.lc.gc.ca/s&tstrategy
Government of Ontarlo (2008) lnnovot|on AenJo. Mlnlstry
of Pesearch and |nnovatlon, Toronto, Canada.
|STP (2009) A Ptom|s|n 5tott to 8u|lJ|n lntetnot|onol
7echnoloy Pottnetsh|s: Annuol keott 2008.
|nternatlonal Sclence and Technology Partnershlps
Canada, Ottawa.
Lazarldls, M. (2009) Address to the Publlc Pollcy Porum,
Toronto, Canada 2 Aprll 2009. Avallable at:
http://tlny.cc/Lazarldls
OLCD (2008) Country notes, Canada. |n: OlC0 5c|ence,
7echnoloy onJ lnJustty Outlool 2008. Organlsatlon for
Lconomlc Co-operatlon and Development, Parls,
p. ll0-ll.
Sclence Councll of Canada (l984) 5c|ence lot lvety 5tuJent:
lJucot|n ConoJ|ons lot 7omottows wotlJ. Ottawa.
Sclence-Metrlx (2009) ConoJos lntetnot|onol 5c|ent|l|c
Colloootot|on |n the Notutol 5c|ences onJ ln|neet|n.
Department of Porelgn Affalrs and |nternatlonal Trade,
Ottawa.
Statlstlcs Canada (2009) lnJustt|ol keseotch onJ
0eveloment, 2005 to 2009. Ottawa.
(2008) leJetol Covetnment lxenJ|tutes on 5c|ent|l|c
Act|v|t|es, 2008/2009 (lntent|ons. Ottawa, November.
ST|C (2009) 5tote ol the Not|on 2008: ConoJos 5c|ence,
7echnoloy onJ lnnovot|on 5ystem. Sclence, Technology
and |nnovatlon Councll, Government of Canada, Ottawa.
\|bS||S
Statlstlcs Canada: www.statcan.gc.ca
|ndustry Canada: www.lc.gc.ca
Councll of Canadlan Academles: www.sclenceadvlce.ca
Assoclatlon of Unlversltles and Colleges of Canada:
www.aucc.ca
Porelgn Affalrs and |nternatlonal Trade Canada:
www.lnternatlonal.gc.ca
C
a
n
a
d
a
8orn ln Montreal ln l954, Paul Dufour ls a former
senlor programme speclallst wlth the |nternatlonal
Development Pesearch Centre. An lnterlm Lxecutlve
Dlrector of the Offlce of the Natlonal Sclence Advlsor
to the Government of Canada, he has held varlous
posltlons as a senlor advlsor ln lnternatlonal S&T
affalrs ln the Government of Canada and wlth the
Sclence Councll of Canada. He was schooled ln
sclence pollcy and the hlstory of sclence at McGlll
Unlverslty, Concordla Unlverslty and the Unlverslte de
Montreal - from whlch he holds an MSc.
Paul Dufour ls former North Amerlcan edltor of the
UK-based Outlool on 5c|ence Pol|cy newsletter and
co-edlted the Longman-Cartermlll serles of world
guldes to sclence pollcy ln selected countrles. He
contlnues to publlsh on the hlstory and lnternatlonal
development of sclence pollcy.
A||O\|||V||S
The author gratefully acknowledges the asslstance of
the followlng people ln the preparatlon and edltlng of
thls chapter: Kevln Pltzglbbons from the Department
of Porelgn Affalrs and |nternatlonal Trade Canada,
Hamld 1or[anl, Chalr of the Sectoral Commlsslon on
Natural, Human and Soclal Sclences from the
Canadlan Commlsslon for UNLSCO, and Chrlstlna
Stachulak from the Councll of Canadlan Academles.
lt |s the ocoJem|c sectot wh|ch |s
the most Jynom|c octot |n cteot|n
|nnovot|on systems |n lot|n Amet|co.
As o tesult, locol lnowleJe |s
unJetut|l|zeJ oy toJuct|ve sectots
thot hove l|ttle JemonJ lot |t.
Marlo Albornoz, Marlano Matos Macedo
and Claudlo Alfaraz
Latin America chapter [14] [P3]:Layout 1 18/10/10 18:11 Page 76
4
.
Latln Amerlca
V..|c A|bc.rc., V..|.rc V.tcs V.coJc
.rJ |.JJ|c A||....
77
|||O|||O|
The global economlc recesslon has struck Latln Amerlcan
countrles
l
wlth varylng lntenslty: ln 2009, growth slowed ln
some countrles, llke 8razll, and was negatlve ln others, llke
Argentlna. However, the lmpact of the recesslon seems to
have had a less dramatlc lmpact on the reglon than on other
parts of the world. At the tlme of wrltlng ln early 20l0, the
worst appears to be over, wlth Latln Amerlcan economles
now on a path to recovery. Peru, Chlle and 8razll should lead
wlth growth rates of more than 3.5% ln 20l0. The 8razlllan
government announced ln late 2009 that the country had
relegated the recesslon to the past, effectlvely, 8razll's
employment rate has rlsen steadlly slnce the second half of
2009. Argentlna's economy ls also showlng slgns of recovery
and should grow by l.5% ln 20l0, albelt at a slower pace than
before the recesslon. Mexlco, on the other hand, has been
deeply affected, due to the lmbrlcatlon of lts economy wlth
North Amerlcan markets. However, Mexlco should bounce
back ln 20l0, wlth growth forecast of around 3%. venezuela
wlll not be so fortunate, as lts economy ls expected to
contract sllghtly agaln ln 20l0 (Casamerlca, 20l0).
|n the meantlme, the gap between rlch and poor ln Latln
Amerlca remalns one of the wldest ln the world. The
reglon faces presslng soclal lssues such as poverty and
marglnallzatlon, whlch deprlve many of educatlon, health
care and houslng, among other baslc rlghts. The lmpact of
the current recesslon on employment wlll probably
exacerbate soclal tenslons and push some communltles
farther to the marglns of soclety.
Accordlng to 2006 data from the Unlted Natlons Lconomlc
Commlsslon for Latln Amerlca and the Carlbbean - the last
year for whlch data are avallable - more than one-thlrd of
Latln Amerlcans, or 200 mllllon people, llve beneath the
breadllne and l3.4%, or 80 mllllon, ln extreme poverty. The
stratum composed of 40% of Latln Amerlcan homes ln the
lowest lncome bracket concentrates as llttle as l4% of
aggregate lncome, on average (LCLAC, 2007).
Lven though these flgures have lmproved sllghtly slnce
2002 as a result of growth, the structural weaknesses of
Latln Amerlcan countrles perslst: economles orlented
towards commodltles, low levels of lndustrlallzatlon, a
regresslve lncome dlstrlbutlon rate and llmlted access to
lnternatlonal fundlng as a result of dlfflcultles ln repaylng
forelgn debt ln earller decades.
Paradoxlcally, the fact that Latln Amerlcan countrles are
producers of commodltles has been a comparatlve
advantage ln the past fewyears of growlng lnternatlonal
demand. Pecent data show that lnternatlonal prlces for
commodltles are golng up agaln, whlch ls very good news
for Latln Amerlcan economles. |f thls ls conflrmed as a long-
term trend, the pace of economlc growth wlll not be so
negatlvely affected ln comlng years by prlce fluctuatlons.
One of the maln symptoms of perslstent poverty ls
growlng urban segregatlon, wlth slums spreadlng ln many
of the reglon's ma[or metropollses. |n parallel, a report by
the |nternatlonal Labour Organlzatlon (|LO, 2007) notes
that, among Latln Amerlcan youth aged l5-24 years,
30 mllllon out of a labour force of 48 mllllon are employed
ln the lnformal economy where worklng condltlons are
poor. A further l0 mllllon are unemployed. Of the
22 mllllon young people who nelther study nor work and
have never reglstered as unemployed, 79% llve ln urban
areas. Thls shows that equlty, an lntrlnslc dlmenslon of
development, has stlll not been attalned ln Latln Amerlcan
countrles, desplte belng a long-standlng goal.
Lven an emerglng economy llke 8razll presents the
urban-rural, rlch-poor dlvlde that ls wldespread ln Latln
Amerlca. The problem of uneven development, wlth
sclentlflc lnstltutlons belng concentrated essentlally ln the
capltal and other ma[or cltles, ls typlcal of the reglon and
can be observed, for example, ln Sao Paulo and Plo de
1anelro, 8uenos Alres and Mexlco Clty.
|t ls dlfflcult to conslder Latln Amerlca as a whole, slnce
one of the most promlnent characterlstlcs of the reglon ls
lts heterogenelty, both between and wlthln countrles. 1ust
flve countrles concentrate 80% of reglonal GDP (Plgure l).
Thls concentratlon hlghllghts the need for very dlverse
development strategles, whlch wlll ln turn have an lmpact
on the type of sclence, technology and lnnovatlon (ST|)
pollcy adopted by each country.
New development paths must be explored ln Latln Amerlca
lf the reglon ls to generate more wealth and lmprove wealth
dlstrlbutlon. These new paths must value avallable resources,
among whlch knowledge must take a central place. ST| must
play an lncreaslngly lmportant role ln achlevlng growth and
equallty.
L
a
t
l
n

A
m
e
r
l
c
a
l. 'Latln Amerlca' refers ln the current chapter to the countrles ln Plgure l.
See also the lndlvldual chapters that follow on 8razll and Cuba.
Professor Ana
8elen Llgoyhen
and a colleague at
the |nstltute for
Genetlc
Lnglneerlng and
Molecular 8lology
ln Argentlna.
Professor 8elen
Llgoyhen was the
reglon's laureate
for the L'OPLAL-
UNLSCO award for
women ln Sclence
ln 2008 for her
contrlbutlon to
understandlng of
the molecular
basls of hearlng.
Photo: V|chelle
Pellet|et/lOteol
|||SO S|||| |||O| 2010
S| |O||||S O ||OVO|
|||O\A|O| A|| SO|A| |||+
Most of the reglon's exlstlng lnstltutlons were lnsplred by
what ls now known as the 'llnear model'. The alm of the
llnear model was prlmarlly to ensure good-quallty baslc
research. |t was assumed that thls would guarantee the
avallablllty of applled research and that the beneflts of
sclence would ln turn overflow lnto soclety as a whole.
The llnear model met wlth some success ln creatlng or
consolldatlng the sclentlflc communlty of each country
but was of llttle efflcacy when lt came to transferrlng
knowledge to the productlve sector, thls gave rlse to the
conflguratlon of an academlc sector relatlvely lsolated
from soclety. The outdated llnear model ls stlll allve and
well ln many countrles of the reglon.
The Conference on Sclence, Technology and |nnovatlon for
Sustalnable Development ln Latln Amerlca and the
Carlbbean, organlzed by UNLSCO ln Havana, Cuba, ln 2005,
addressed the lack of correlatlon between the spheres of
productlon and the use of knowledge, whlch ln turn leads
to a mlsmatch between the expectatlons of the sclentlflc
and buslness communltles as to the use of knowledge.
The conference also addressed the lssue of exlstlng
78
tenslons between democratlzatlon, on the one hand,
and the satlsfactlon of soclal needs, on the other, and
emphaslzed the effect of those tenslons on sclence and
technology (S&T) pollcles, ln the sense that research and
development (P&D) could make a remarkable contrlbutlon
to soclal coheslon and the exerclse of cltlzenshlp.
wlth Latln Amerlcan countrles now attemptlng to promote
lnnovatlon wlthln a development strategy that lncludes
soclal equlty, lt has become necessary to revlslt sclence
pollcy models and lnstlgate lnstltutlonal modernlzatlon.
Slgns of change can be detected ln the organlzatlon of P&D
and ST| pollcles ln many Latln Amerlcan countrles. Slnce the
mld-l990s, Argentlna, 8razll, Chlle, Colombla, Mexlco and
venezuela, among others, have all been lmplementlng
lnstltutlonal reforms to speed up procedures for resource
allocatlon and make these procedures more transparent.
|n more recent years, other countrles have followed the
same path, among them Paraguay, Peru and Uruguay.
Peforms have also focused on assesslng P&D results,
promotlng lnnovatlon, strengthenlng the relatlonshlp
between research centres and buslness, deslgnlng long-
term pollcles, employlng strateglc lntelllgence tools,
monltorlng publlc oplnlon on S&T lssues and dlssemlnatlng
knowledge. Among other reforms characterlstlc of the
Figure 1: Dlstrlbutlon of GDP ln Latln Amerlca, 2007
5 countries
concentrate
80% of GDP
11 countries
concentrate
95% of GDP
0
300
600
900
1 200
1 500
1

3
1
4
8
9
3
2
6
2
2
2
8
1
7
2
1
6
4
1
0
9
5
9
4
4
3
7
3
4
2
5
2
3
2
0
2
0
1
6
1
4
1
2
6
B
r
a
z
i
l
M
e
x
i
c
o
P
P
P

U
S
$

b
i
l
l
i
o
n
s
A
r
g
e
n
t
i
n
a
V
e
n
e
z
u
e
l
a
C
o
l
o
m
b
i
a
C
h
i
l
e
P
e
r
u
C
u
b
a
E
c
u
a
d
o
r
D
o
m
i
n
i
c
a
n

R
e
p
u
b
l
i
c
G
u
a
t
e
m
a
l
a
C
o
s
t
a

R
i
c
a
U
r
u
g
u
a
y
E
l

S
a
l
v
a
d
o
r
P
a
n
a
m
a
H
o
n
d
u
r
a
s
B
o
l
i
v
i
a
P
a
r
a
g
u
a
y
N
i
c
a
r
a
g
u
a
5outce: P|CT (2009) ll lstoJo Je lo C|enc|o
|.t|r Ano.|c.
79
most advanced lnstltutlonal systems ls the adaptatlon of
unlversltles to the new soclal reallty, wlth the development
of llnkages to enterprlses and other soclal actors.
There has been a shlft ln pollcy from the llnear model
towards a more dynamlc model, ln whlch P&D ls demand-
drlven and based on speclflc needs for knowledge and
pollcy ls supportlve of lnnovatlon. One example ls the
creatlon of the Agency for the Promotlon of Sclence and
Technology ln Argentlna ln l996, whlch has been endowed
wlth funds to flnance P&D and lnnovatlon (8ox l). |n Chlle,
multlple funds have been set up slnce l98l to flnance a
wlde range of pro[ects ranglng from centres of excellence
to pro[ects for lnnovatlon and the creatlon of networks
llnklng publlc and prlvate P&D lnstltutes. |n 8razll, sector-
speclflc funds were created ln l999 to ralse the level of
P&D fundlng (see oe l06). More recently, Uruguay
establlshed the Natlonal Agency for Pesearch and
|nnovatlon (AN||) ln 2005 to consolldate competltlve
funds. The same year, a loan from the |nterAmerlcan
Development 8ank enabled Peru to set up a Sclence,
Technology and |nnovatlon Pund to flnance P&D
programmes and pro[ects of prlvate enterprlses.
The Pund's 8oard of Dlrectors ls made up of
representatlves of the sclentlflc and academlc
communltles, the government and prlvate sector.
Currently, S&T pollcles ln the reglon are based on speclflc
leglslatlon, much of whlch was drafted ln the foundlng
moments of countrles' respectlve S&T systems.
Nevertheless, a slgnlflcant change came about at the turn
of the century ln many countrles wlth the passlng of
leglslatlon that restructured S&T lnstltutlons and, ln many
cases, lncorporated lnnovatlon, thereby creatlng an ST|
system: Argentlna's Congress passed a Sclence Law ln 200l,
a year before Mexlco passed lts own Sclence Law, followed
by a second law establlshlng the statutes of the Natlonal
Councll for Sclence and Technology (CONACT) ln 2006.
The Natlonal Councll of |nnovatlon for Competltlveness was
created ln Chlle by Presldent Lagos ln 2005 and renewed ln
2006 by Presldent 8achelet to provlde the presldency wlth
a permanent advlsory body. Thls set of lnstltutlonal
noveltles reflects, on the one hand, the growlng vlslblllty of
S&T pollcles wlthln the framework of broader development
pollcles and, on the other hand, the beglnnlng of a new
generatlon of pollcy lnstruments lncorporatlng lnnovatlon.
As regards the composltlon of the lnstltutlonal systems of
S&T, the heterogenelty across the reglon ls agaln apparent
here. Although there are publlc organlzatlons dedlcated to
P&D ln every Latln Amerlcan country, the clrcumstances ln
the varlous countrles vary from those havlng large and
complex systems - such as 8razll, Argentlna, Mexlco and
Chlle - to those wlth only a sprlnkllng of weak lnstltutlons of
hlgher educatlon and no S&T system worthy of the name.
A study publlshed ln 2009 by the |nterAmerlcan
Development 8ank and the Centre for Studles on Sclence,
Development and Hlgher Lducatlon (Centro PLDLS) ln 2009
ldentlfles 30 dlfferent types of S&T pollcy lnstruments
grouped ln slx maln categorles. The only countrles havlng
lnstruments for every category are Argentlna, 8razll, Chlle,
Mexlco and Uruguay. Colombla and venezuela have very
lnclplent S&T systems compared to those of the flve leaders,
accordlng to Lmlllozzl (2009) and Lemarchand (2009).
|n recent years, many countrles have lmplemented
mechanlsms and programmes to evaluate the
performance of publlc ST| pollcles. The evaluatlon of
publlc pollcles, through dlfferent assessments, follow-up,
monltorlng and accountablllty mechanlsms, has been one
of the elements promoted by the state reforms lntroduced
throughout the reglon slnce the l990s.
On a polltlcal level, there has also been greater government
lnterest ln promotlng a sclence culture and cltlzen
partlclpatlon. Latln Amerlca has been no stranger to the
trend towards democratlzatlon of knowledge. Many surveys
of the publlc perceptlon of sclence have been conducted ln
recent years, as a result of the creatlon of a network wlthln
whlch academlcs and offlclals of natlonal S&T organlzatlons
ln Latln Amerlcan countrles have been worklng together to
bulld a consensus on methodology (8ox 2).
|| ||||
Trends in R&D expenditure
The Achllles Tendon of ST| pollcles ln Latln Amerlca remalns
the low level of lnvestment ln P&D, wlth the notable
exceptlon of 8razll, whlch contrlbutes as much as 60% of
the reglon's lnvestment ln P&D. There has, however, been
an upturn ln the reglon slnce 2004. After remalnlng stable
at around US$ l0 bllllon from l996 to 2004, gross domestlc
expendlture on P&D (GLPD) [umped to US$ 23.l bllllon ln
2007, boosted by economlc growth (Plgure 3).
|n 2006, GLPD ln Latln Amerlca and the Carlbbean
represented 0.68% of GDP, or l.9% of global spendlng on P&D.
L
a
t
l
n

A
m
e
r
l
c
a
|||SO S|||| |||O| 2010
80
Box 1: Promotlng lnnovatlon ln Argentlna
|cJrJoJ |r 1996, Aort|r.s |.t|cr.|
Aorcy |c. t|o |.cnct|cr c| Sc|orco
.rJ oc|rc|cy (Agencia Nacional de
Pro mocin Cientfica y Tecnolgica,
ANPCYT) c|.rro|s |JrJ|r |rtc ||
p.cocts .rJ |r|..st.JctJ.o
Jovo|cpnort. A Jocort..||.oJ bcJy,
|t .opc.ts tc t|o V|r|st.y c| Sc|orco,
oc|rc|cy .rJ |.cJJct|vo
|rrcv.t|cr (V|| +) sot Jp |r 200.
|o .orcy n.r.os t|o
|c||c.|r |JrJs.
I t|o oc|rc|c|c.| |JrJ c| A.ort|
r. (Fondo Tecnolgico Argentino,
FONTAR), .||c| ||r.rcos
toc|rc|c|c.| ncJo.r|..t|cr .rJ
|rrcv.t|cr |r t|o p.cJJct|vo soctc.,
|rc|JJ|r v|. toc|rc|c|c.| so.v|cos
|c. |rst|tJt|crs .rJ sn.|| .rJ
noJ|Jns|.oJ orto.p.|sos,
toc|r|c.| .ss|st.rco .rJ t..|r|r,
ort.op.oroJ.|.| |rcJb.tc.s .rJ
toc|rc|cy p..ks .rJ pc|os,
I t|o Sc|ort|||c .rJ oc|rc|c|c.|
|oso..c| |JrJ (Fondo para la
Investigacin Cientfica y
Tecnolgica, |O|+), .||c|
p.cv|Jos pJb||c c. p.|v.to rcr
p.c||t || |rst|tJt|crs .|t| sJbs|J|os,
I t|o .Jst |JrJ |c. |.cnct|cr c| t|o
Sc|t...o |r JJst.y (Fondo Fiduciario
de Promocin de la Industria del
Software, |O|SO|), .||c| ..s
c.o.toJ by |.. |r 2004 .rJ
||r.rcos Jovo|cpnort c| t|o
sc|t...o |rJJst.y |r sn.|| .rJ
noJ|Jns|.oJ orto.p.|sos,
I t|o Soctc..| |JrJ (Fondo Argentino
Sectorial, |O|A|S|), .||c|
p.cv|Jos sJbs|J|os |c. t|o
Jp..J|r c| || c.p.c|t|os |c.
t..rs|o. tc t|o p.cJJct|vo .rJ
scc|.| soctc.s.
|r 2008, t|o .orcy ....JoJ .
tct.| c| |S, 234.6 n||||cr |c. t|o
oxocJt|cr c| 2293 || p.cocts. O|
t||s, |S, 135 n||||cr .ort tc |O|+,
|S, 94 n||||cr tc |O|A| .rJ
|S, 5 n||||cr tc |O|SO|. Scno 22
(|S, 30 n||||cr) c| t|o tct.| .ncJrt
.||cc.toJ tc |O|+ |r 2008 ..s
....JoJ .|t||r |ts |.c..nno |r
St..to|c A.o.s (||J.o 2).
|o Obso.v.tc.y c| \ortJ.o .p|t.|,
. rcrp.c||t c..r|..t|cr, ..s sot Jp by
t|o Sc|orco .rJ oc|rc|cy \ortJ.os
|rst|tJto (||+) |r 2003 tc .cJp
ort.op.oroJ.s .rJ .oso..c|o.s. Accc.J|r
tc . 2008 sJ.voy by t|o cbso.v.tc.y, t|o
ncst .tt..ct|vo soctc.s |c. vortJ.o c.p|t.|
|r A.ort|r. ..o sc|t...o .rJ ccnpJto.
sc|orcos (1), t|o |ccJ |rJJst.y (14),
|rto.rot (13), rcr||r.rc|.| so.v|cos
(13), noJ|. .rJ orto.t.|rnort (10),
b|ctoc|rc|cy (10), .Jtcn.t|cr ()
.rJ |o.|t| (). St..tJp ccnp.r|os torJ
tc .tt..ct t|o ncst |JrJs ().
A|t|cJ| |S, 0 n||||cr |r
vortJ.o c.p|t.| ..s .v.||.b|o |r 2008,
t|o cbso.v.tc.y |cJrJ t|.t |oss t|.r
10 ..s .ctJ.||y |rvostoJ. |o sJ.voy
.|sc |cJrJ t|.t vortJ.o c.p|t.| ..s
ncst|y ncb|||.oJ |.cn r.t|cr.|
scJ.cos, ovor t|cJ| |J.cpo.r |JrJs
.rJ |JrJs |.cn t|o |rto.Ano.|c.r
|ovo|cpnort b.rk .rJ ct|o.
nJ|t||.to..| .orc|os .o.o .|sc
.v.||.b|o.
5outce: ANPCT (2009), 1acobsohn and
Lopez (2008)
Figure 2: Sectors benefltlng from PONCT's Programme ln Strateglc Areas, 2008
ln u55 m|ll|ons onJ os o etcentoe ol the totol
5outce: ANPCT (2009) 8|osc|ence onJ 8|otechnoloy lot the Ptomot|on ol At|cultute onJ looJ PtoJuct|on
Human health (cancer, vaccines, tuberculosis, stem cell research)
Agribusiness (sunower, wheat, milk, wine, etc)
Nanomaterials and nanodevices
Information, communication and electronic technology
Energy resources
Food security
Cultural industries
3.6
12%
0.9
3%
0.9
3%
7.8
26%
2.7
9%
9.1
31%
4.4
15%
|.t|r Ano.|c.
8l
|f we convert thls flgure to reflect purchaslng power parlty
(PPP), the percentage cllmbs to 3.0% of the world total
(see oe 2). Thls suggests that Latln Amerlca's GLPD/GDP
ratlo has remalned stable slnce 2002, even lf lts global
share expressed ln US$ PPP ls up sllghtly from 2.8%.
Lconomlc growth across the reglon has thus not
translated lnto a stronger flnanclal commltment to P&D.
Mexlco and Argentlna even fall below the reglon's mean
value, although, ln the case of Argentlna, thls poor
performance ls due to the 2002 economlc crash (Plgure 4).
8razll, Mexlco, Argentlna and Chlle alone account for nlne-
tenths of the reglon's lnvestment ln P&D (Plgure 5).
|n recent years, several countrles have lnstltuted reforms to
decentrallze and allocate resources vla competltlve
mechanlsms. Such ls the case of Peru, whlch created the
L
a
t
l
n

A
m
e
r
l
c
a
Natlonal Pund for Sclentlflc and Technologlcal Development
and |nnovatlon (PONDLCT) ln 2006 to ralse, manage,
admlnlster and channel domestlc and forelgn resources for
the actlvltles of the Natlonal Sclence, Technology and
|nnovatlon System (S|NACT). Purthermore, a serles of
lnltlatlves have glven publlc research lnstltutlons greater
organlzatlonal and flnanclal autonomy.
|n Latln Amerlca, P&D ls largely dependent on publlc
funds. Nearly two-thlrds of P&D ls funded by the
government. Moreover, nearly 40% of government funds
are lnvested ln unlverslty research, the remalnder belng
channelled lnto publlc research lnstltutes. Thls fundlng
pattern runs counter to that of lndustrlallzed countrles,
where up to two-thlrds of the resources allocated to P&D
come from the buslness sector.
Box 2: Publlc perceptlon of sclence
SJ.voys c| t|o pJb||c po.copt|cr c|
sc|orco |.vo boor ccrJJctoJ
r.t|cr.|Jo |r |.t|r Ano.|c.r
ccJrt.|os cvo. t|o p.st t.c Joc.Jos.
|r 200, cro c| t|oso sJ.voys |ccJsoJ
cr s|x c|t|os. bJorcs A|.os (A.ort|r.),
bcct. (c|cnb|.), ...c.s
(\oro.Jo|.), |.r.n. |ty (|.r.n.),
S.c |.J|c (b...||) .rJ S.rt|.c (|||o).
|o ,Jost|crr.|.o ..s Jovo|cpoJ
..cJrJ |cJ. tcp|cs. |r|c.n.t|cr .rJ
|rto.ost |r sc|orco, c|t|.ors||p .rJ
pJb||c pc||c|os cr S, .tt|tJJos
tc...Js S, .rJ scc|.| .pp.cp.|.t|cr
c| S.
|o sJ.voy |cJrJ t|.t cr|y cro |r
tor ro.sp.po. .o.Jo.s .rJ to|ov|s|cr
v|o.o.s .o.o |rto.ostoJ |r tcp|cs
.o|.toJ tc S. |o s.no |o|J t.Jo |c.
.ob so..c|os |c. |r|c.n.t|cr cr
sc|orco, .o.J|r c| sc|orco
n...|ros c. spoc|.||.oJ bccks .rJ
v|s|ts tc nJsoJns, sc|orco cort.os
.rJ ox||b|t|crs.
||ko.|so, |r t|o p..t c| t|o sJ.voy
JovctoJ tc c|t|.ors||p .rJ pJb||c
pc||c|os cr S, ncst .ospcrJorts .o.o
Jr.b|o tc r.no . s|r|o sc|ort|||c
|rst|tJt|cr |r t|o|. ccJrt.y.
|o .osJ|ts .o.o nc.o .nb|v.|ort
.|or t|o ,Jost|cr t..otoJ pJb||c
po.copt|cr c| . ccJrt.ys p.cn|rorco |r
S. cpt|n|sn ..s st.cro. |r bcct.
.rJ S.c |.J|c, .|o.o |.|| c|
.ospcrJorts ccrs|Jo.oJ t|o|. .ospoct|vo
ccJrt.|os tc bo vo.y c. scno.|.t
p.cn|rort. |o |cJ. .on.|r|r c|t|os
.o.o nc.o poss|n|st|c, .|t| S.rt|.c
(|||o) |o.J|r t||s c.toc.y.
Oro sot c| ,Jost|crs .r.|ysoJ t|o
v.|Jo pocp|o .tt.c|oJ tc sc|orco .s .
c..oo. c|c|co. Vcst .ospcrJorts
ccrs|Jo.oJ t|o p.c|oss|cr c| sc|ort|st tc
bo .o...J|r, .||c| |s ccrs|stort .|t|
t|o ||| v.|Jo oro..||y .tt.c|oJ tc t|o
p.c|oss|cr |r to.ns c| scc|.| p.ost|o.
|c.ovo., rct .|| t|o c|t|os ccrs|Jo.oJ
t|o |rccno c| sc|ort|sts tc bo .Jo,J.to,
.|o.o.s ncst .ospcrJorts |r S.c |.J|c,
S.rt|.c .rJ ...c.s s.|J t|.t sc|ort|sts
|r t|o|. ccJrt.|os .o.o .o|| p.|J, t.c
t||.Js c| .ospcrJorts |r bJorcs A|.os |o|t
t|.t .oso..c|o.s .oco|voJ |r.Jo,J.to
ccnpors.t|cr.
|r to.ns c| t|o pJb||c po.copt|cr c|
t|o .|sks .rJ boro||ts c| S,
.ospcrJorts |r .|| bJt ...c.s s.|J t|.t,
|r t|o roxt 20 yo..s, n.ry c. p|orty c|
.|sks Jo.|voJ |.cn S .ct|v|t|os .cJ|J
|.vo tc bo .JJ.ossoJ. |c.ovo., t||s J|J
rct p.ovort 6 c| .ospcrJorts |.cn
pc|rt|r cJt t|.t S ccJ|J b.|r
n.ry c. p|orty c| boro||ts. ||ko.|so,
ncst .ospcrJorts s.|J t|.t t|oy .o.o
....o c| t|o pc||t|c.| .rJ occrcn|c
|np||c.t|crs c| sc|orco, .s .o|| .s c| t|o
rooJ tc ccrs|Jo. c.|to.|. ct|o. t|.r
toc|r|c.| o|onorts |c. t|o Jovo|cpnort
c| |..s .rJ .oJ|.t|crs. |ospcrJorts
.|sc torJoJ tc bo |r |.vcJ. c|
p.cnct|r c|t|.or p..t|c|p.t|cr |r
Joc|s|crn.k|r .o|.toJ tc S.
Vcst .ospcrJorts .o.o |cJrJ tc
.tt.c| v.|Jo tc |.v|r S |r t|o|. ||vos.
||s ..s .o||octoJ |r t|o|. po.copt|cr c|
S .s bo|r Jso|J| |c. JrJo.st.rJ|r
t|o .c.|J, |c. |o.|t| c..o, |c.
ccrso.v.t|cr c| t|o orv|.crnort .rJ
|c. Joc|s|crn.k|r |r t|o|. c.p.c|ty .s
ccrsJno.s, .ncr ct|o. .spocts.
5outce: authors
|||SO S|||| |||O| 2010
82
Figure 3: GLPD ln Latln Amerlca, l997-2007
1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
10 707.2
23 074.8
5 000
10 000
15 000
20 000
25 000
C
u
r
r
e
n
t

U
S
$

m
i
l
l
i
o
n
s
Note: does not lnclude data for venezuela and Domlnlcan Pepubllc
Figure 4: GLPD/GDP ratlo ln Latln Amerlca, 2007 (%)
Argentina
Bolivia
Brazil
Chile
Colombia
Costa Rica
Cuba
Ecuador
El Salvador
Guatemala
Honduras
Mexico
Nicaragua
Panama
Paraguay
Peru
Uruguay
0.0 0.2 0.4 0.6 0.8 1.0 1.2
0.51
0.26
-5
1.07
0.67
-3
0.16
0.32
0.44
0.15
0.09
0.44
0.06
0.06
0.46
-1
0.05
0.20
0.09
-2
0.15
Posterlng prlvate P&D lnvestment and lnnovatlon ls an
lssue of ma[or concern to most countrles, as lt ls a process
that requlres speclflc flnanclal lnstruments to stlmulate
lnvestment. |n thls context, those countrles wlth greater
relatlve development have lncorporated more ambltlous
ob[ectlves ln thelr ST| pollcles for fosterlng buslness P&D.
|n Argentlna, 8razll, Chlle, Colombla and Mexlco, pollcles
set out to encourage lnnovatlon ln small and medlum-
slzed enterprlses and to foster the development of hlgh-
tech lndustrles and sector clusters. Addltlonal measures to
support lnfrastructure, modernlzatlon, technology
dlssemlnatlon and the tralnlng of skllled personnel are
also ln place. Some of these ob[ectlves are also reflected ln
the pollcles of the remalnlng countrles.
|.t|r Ano.|c.
83
L
a
t
l
n

A
m
e
r
l
c
a
Remainder of Latin America
2.9
Brazil
14.7
63.5%
15.3%
12.6%
2.8%
5.8%
Mexico
3.5
Argentina
1.3
Chile
0.6
Note: The data are 2004 for Chlle and 2006 for Mexlco.
Figure 6: Share of GLPD funded by the buslness sector ln Latln Amerlca, 2007
As o etcentoe ol totol Clk0
Argentina
Bolivia
Brazil
Chile
Colombia
Ecuador
Guatemala
Mexico
Panama
Paraguay
Uruguay
0 10 20 30 40 50
29.3
16.0
-5
45.5
45.5
45.7
-3
0.0
37.7
41.1
-1
0.3
0.3
-2
38.3
Figure 5: Dlstrlbutlon of GLPD among Latln Amerlcan
countrles, 2007
ln cuttent u55 o|ll|ons onJ os o etcentoe shote
Almost all countrles ln the reglon have developed
lnstruments and provlde dlrect publlc fundlng for
buslness P&D and lnnovatlon. Argentlna, Chlle, Colombla,
Mexlco and Panama, for example, all use grant funds,
basket funds and pro[ect-flnanclng mechanlsms.
|n addltlon, many countrles have lmplemented tax
mechanlsms to stlmulate P&D and lnnovatlon ln thls
sector (on 8toz|l, see oe l08). Most countrles also employ
other publlc lnstruments to fund lnnovatlon, such as
venture capltal, seed funds and measures for small and
medlum-slzed enterprlses or technology buslness
lncubators (Plgure 6).
Trends in researchers
Dlsposlng of an adequate number of sclentlsts and
englneers ls a prerequlslte for sustalnlng pollcles for
development and soclal lncluslon. Por thls lndlcator, the
reglonal scenarlo ls looklng more promlslng than for
lnvestment: Latln Amerlcan countrles counted more than
252 000 full-tlme equlvalent (PTL) researchers ln 2007.
Although they accounted for only 3.5% of the world total,
placlng Latln Amerlca and the Carlbbean ln a marglnal
posltlon, thls share ls hlgher than that for GLPD
(see oe 8).
The number of researchers and englneers ln Latln
Amerlcan countrles nearly doubled between 2000 and
2007 (Plgure 7). 8etween l996 and 2000, annual growth
ranged between 3% and 4%. After a brlef deceleratlon ln
200l when growth stood at around 2%, the posltlve trend
regalned momentum. Thls trend contrasts wlth the ups
and downs ln the curve for GLPD (Plgure 3).
Thls performance underscores the efforts made by many
countrles to lmplement tralnlng pollcles to consolldate
thelr S&T base. Por example, one of the maln thrusts of
8razll's Plon for 2007-20l0 ls to traln and retaln human
resources ln prlorlty areas (see oe ll8). Slmllarly, the goal
of Argentlna's VeJ|um-7etm 5ttote|c Plon (2005-20l5) ls to
attaln the ratlo of three sclentlsts and englneers for every
l 000 Argentlnlans who are economlcally actlve. Argentlna
ls movlng towards thls goal. Lver slnce 2005, Argentlna's
prlmary body for promotlng S&T, the Natlonal Councll for
Sclentlflc and Technologlcal Pesearch (CON|CLT), has taken
ln l 500 PhD students annually, leadlng to a pool of nearly
7 000 actlve scholarshlp-holders ln 2009. Chlle and
venezuela have taken slmllar steps.
Nevertheless, the dlstrlbutlon of sclentlsts and englneers
among Latln Amerlcan countrles conflrms the reglon's
heterogenelty. |f lmprovlng access to knowledge tools ls
one of the maln strategles for socletles wlshlng to embrace
soclally and envlronmentally sustalnable development,
there ls an evldent correlatlon between the dlstrlbutlon of
S&T capabllltles and the dlstrlbutlon of wealth. Plgure 8
shows that four countrles concentrate more than 90% of
sclentlsts and englneers ln Latln Amerlca, even though
some small countrles llke Cuba also have a hlgh ratlo (see
oe l24). The reglon's heterogenelty must be taken lnto
account ln any assessment of reglonal capacltles.
Moreover, strengthenlng the sclentlflc capaclty of the
weakest countrles should be an lmportant goal of
development pollcles and pollcles fosterlng reglonal
coheslon.
Consolldatlng a country's S&T base means belng able to
count on a crltlcal mass of sclentlsts, englneers and other
hlghly skllled professlonals. Thls depends malnly on two
factors, the exlstence of a unlverslty system wlth a hlgh
standard of excellence at the graduate and postgraduate
levels, and a set of condltlons preventlng large-scale
mlgratlon of the most hlghly quallfled professlonals.
As regards the flrst factor, very few doctoral candldates are
tralned each year ln most Latln Amerlcan countrles (Plgure 9).
Thls ls partly due to a unlverslty tradltlon of prlorltlzlng
excellence ln undergraduate studles vla much more
comprehenslve currlcula than ln Lngllsh-speaklng countrles.
|f 8razll counts proportlonally more doctoral candldates than
Argentlna, Chlle or Mexlco, thls ls because, slnce the l960s,
8razll has lmplemented a sound, sustalnable doctoral
tralnlng pollcy (see oe lll). 8razll also has the advantage of
havlng a unlverslty system based on the Anglo-Saxon model,
rather than on that of any other Latln Amerlcan country.
Most countrles offer budgetary and flnanclal lncentlves,
as well as scholarshlps, to strengthen hlgher educatlon ln
S&T dlsclpllnes. |n some countrles, there are speclflc
fundlng channels for lmprovlng the lnfrastructure of
hlgher educatlon centres ln these areas of study. Lxamples
are Argentlna, Colombla and Peru. Purthermore, even lf
they dlffer, most countrles have pollcles to facllltate
educatlon and the placement of sclentlsts and englneers.
|||SO S|||| |||O| 2010
84
2000 2001 2002 2003 2004 2005 2006 2007
124 882
Brazil
Mexico
Argentina
Chile
Colombia
Venezuela
64 002
26 420
22 228
5 629
2 581
1 495
46 865
38 681
13 427
5 570
4 503
0
30 000
60 000
90 000
120 000
Figure 7: Pesearchers ln Latln Amerlca, 2000-2007
lull-t|me equ|volent, selecteJ countt|es
|.t|r Ano.|c.
85
L
a
t
l
n

A
m
e
r
l
c
a
Figure 8: Dlstrlbutlon of sclentlsts and englneers ln Latln Amerlca, 2000 and 2007
Brazil
Argentina
Mexico
Chile
Rest of Latin America
64 002
46.2%
26 420
19.1%
22 228
16.1%
5 629
4.1%
20 175
14.6%
2000
124 882
50.9%
38 681
15.8%
46 865
19.1%
13 427
5.5%
21 709
8.9%
2007
Note: The most recent data are 2006 for Mexlco and 2004 for Chlle.
Trends in migration
Three dlfferent aspects of braln draln ln Latln Amerlca deserve
conslderatlon: the magnltude of the phenomenon, the loss of
quallfled personnel
2
and, lastly, the educatlonal selectlvlty of
mlgratlon streams or, ln other words, the ratlo of unlverslty-
tralned personnel to the total number of mlgrants from a
country (Luchllo, 2007). Pecent censuses on thls theme
carrled out ln the member states of the Organlsatlon for
Lconomlc Co-operatlon and Development (OLCD) show that
approxlmately l.5 mllllon Latln Amerlcan unlverslty graduates
reslded ln OLCD countrles at the tlme (Luchllo, 2007). The
magnltude of braln draln was low for Argentlna (4.7%) and
8razll (3.3%), medlum for Mexlco (l4.3%) and Colombla
(ll%), and hlgh for Nlcaragua (30.9%) and Cuba (28.9%).
wlthln the broader phenomenon of mlgratlon of hlghly
quallfled labour, lt ls partlcularly lnterestlng to analyse the
mlgratlon of sclentlsts and englneers. Data from the US
Natlonal Sclence Poundatlon (NSP) show that, by the late
l990s, forelgners represented 2l.5% of actlve P&D
personnel ln the USA. Latln Amerlcans made up 9% of thls
group, far behlnd the largest group, the Aslans, wlth 60%.
8y the turn of the century, Spaln had become another
pole of attractlon for hlghly quallfled Latln Amerlcan
lmmlgrants. The 200l Spanlsh populatlon census
3
shows
the presence of approxlmately 9 000 Latln Amerlcan PhD-
holders resldlng ln Spaln. |n 200l, most were Argentlnlan
(l 247), followed by Colomblan (907), venezuelan (664),
Lcuadorlan (638) and Peruvlan (576) PhD-holders.
3. The next Spanlsh populatlon census wlll be conducted ln 20ll. 2. Quallfled personnel ls deflned as the ratlo of unlverslty graduates to total
graduates born ln a glven country.
7otol oulot|on
5c|ent|sts onJ en|neets
174 789
34.9%
15 419
3.1%
99 531
19.9%
39 939
7.4%
174 174
34.8%
2000
193 906
35.4%
16 636
3.0%
107 487
19.6%
39 460
7.2%
190 120
34.7%
2007
Two causes of braln draln are low wages ln the country of
orlgln and the underutlllzatlon of human resources, owlng to
the low absorptlon of professlonal and technlcal personnel.
|n addltlon to thls, younger workers flnd lt hlghly deslrable to
pursue graduate and postgraduate studles abroad. They
generally feel that studylng abroad wlll offer them better
opportunltles for thelr professlonal and economlc future.
The comblnatlon of a global educatlonal offer, lower related
costs and the multlpllcatlon of agreements between the
unlversltles of dlfferent countrles only serve to nourlsh thls
phenomenon (Martinez Plzarro, 2005).
Gender issues
wlth 4l% of all S&T-related [obs held by women, up
l0 percentage polnts on a decade ago, Latln Amerlca ls one
of the reglons wlth the hlghest female partlclpatlon ln
sclence. Thls brlght plcture ls counterbalanced, however, by
the perslstence of lnstltutlonal practlces and preconceptlons
symptomatlc of a devaluatlon of women's work. Thls
translates lnto the so-called 'glass celllng', those lnvlslble
barrlers that prevent women from attalnlng senlor posltlons.
|n thls context, unlversltles represent an lnstltutlonal sector
open to women, female partlclpatlon belng hlgh ln faculty
and academlc research posltlons. Although there are no
aggregate data at the natlonal level for all Latln Amerlcan
countrles on personnel dlstrlbutlon by gender and
lnstltutlonal sector, some trends can be derlved from
observlng countrles wlth a hlgh lmpact on reglonal sclence
and those unlversltles that en[oy great sclentlflc prestlge.
|n slx countrles of the reglon, women hold between 30%
and 55% of all academlc research posltlons ln lnstltutlons of
hlgher educatlon. These partlclpatlon levels are hlgher than
ln other reglons, the Luropean Unlon lncluded.
|n Argentlna, for example, women hold 30% of all research
posltlons ln buslness enterprlses, 46% ln non-proflt
organlzatlons and 55% ln publlc unlversltles. A slmllar
dlstrlbutlon can be observed for scholarshlp-holders.
Thls could translate lnto a bulld-up of the pool of women
researchers ln the near future. However, a not-so-optlmlstlc
lnterpretatlon polnts to the progresslve excluslon of
women as they try to advance ln thelr sclentlflc career.
|f we compare women's partlclpatlon ln the economlc and
sclentlflc spheres, lt becomes apparent that sclence ls
more gender-lncluslve ln Latln Amerlca than elsewhere ln
the world: ln half of the Latln Amerlcan countrles studled
|||SO S|||| |||O| 2010
86
Figure 9: PhDs awarded ln Latln Amerlca, 2007
5electeJ countt|es
Argentina
695
Brazil Chile Cuba Mexico Argentina Brazil Chile Cuba Mexico
PhDs awarded in
Latin America per
100 000 population
PhDs awarded in
Latin America
0
2 000
4 000
6 000
8 000
10 000
0
1
2
3
4
5
9 919
287
465
3 365
1.7
5.2
1.7
4.2
3.2
|.t|r Ano.|c.
87
L
a
t
l
n

A
m
e
r
l
c
a
(P|CT, 2009), women were better represented ln the S&T
sector than ln the labour force ln general. |n some cases,
there was even a gap of between 4 and 20 percentage
polnts. The questlon of access to prlmary and secondary
educatlon ls relevant ln thls respect, slnce a student needs
to accumulate a certaln number of years of formal
educatlon before belng admltted to a unlverslty
programme ln sclence. |n Latln Amerlca, a reglon wlth
low- and mlddle-lncome countrles but one of the world's
hlghest levels of soclal lnequallty, school attendance by
glrls has progressed conslstently to the polnt where, ln
some cases, glrls and boys have equal access to prlmary
and secondary educatlon.
Gender equallty has come to the unlverslty campuses of
Colombla, Chlle, Costa Plca, Cuba and Ll Salvador ln recent
years. women even make up 60% of students ln Uruguay,
Mexlco and Panama, and 55% ln Argentlna, venezuela,
Paraguay and 8razll. ou have to look to Peru, 8ollvla and a
few others to flnd a sllght gender lmbalance ln favour of
men. Of note ls that the ratlo of women to total students ls
hlgher among graduates than among enrolled students,
suggestlng a hlgher graduatlon rate for women than men.
Pemale enrollment has also lncreased gradually at the
postgraduate level ln almost all flelds of study, on a par wlth
the growlng avallablllty of courses ln the reglon.
|| O|||
|f sclentlflc productlvlty ln terms of research papers has
experlenced remarkable growth ln the past decade, both
quantltatlvely and qualltatlvely, the transfer of thls
knowledge to the productlve sectors has made llttle
progress. There ls a lack of dynamlsm ln the reglon when lt
comes to patentlng, suggestlng that Latln Amerlcan
countrles (led by 8razll) are far more present ln the 'sclence
malnstream' but unable to translate thls lnto lnnovatlon.
Trends in scientific papers
The number of papers by Latln Amerlcan authors llsted ln
Thomson Peuter's Sclence Cltatlon |ndex (SC|) more than
doubled between l997 and 2007. Although thls lndlcator ls
controverslal for some dlsclpllnes, lt nevertheless lllustrates
a substantlal lncrease ln the quallty of sclence ln Latln
Amerlcan countrles.
The share of Latln Amerlcan sclentlsts ln the SC| grew
steadlly between l997 and 2007, from 2.3% to 3.4%.
Sustalned steady growth relles on the performance of the
most dynamlc Latln Amerlcan countrles, partlcularly 8razll,
whlch went from accountlng for 4l% of Latln Amerlcan
papers ln l997 to 47% ln 2007. All countrles experlenced
growth, albelt to a lesser degree ln most cases. One
exceptlon ls Peru, where the number of sclentlflc papers
trlpled between l997 and 2007. |nterestlngly, Mexlco, wlth
output slmllar to that of Argentlna, has surpassed the latter
ever slnce Argentlna's economlc crlsls ln 2002 (Plgure l0).
|n other databases, a slmllar phenomenon can be observed
and, ln some cases, the progresslon ls even steeper. |n
PASCAL, a multldlsclpllnary database created ln Prance by the
|nstltute for Sclentlflc and Technlcal |nformatlon of the
Natlonal Centre for Sclentlflc Pesearch, the Latln Amerlcan
share nearly doubled between l997 and 2007 from 2.2% to
3.8%. |n the database of the Commonwealth Agrlcultural
8ureaux (CA8), the Latln Amerlcan share was even greater but
growth was smaller: from 5.4% ln l997 to 7.8% ln 2007. |n the
Chemlcal Abstracts database (CA), the share was smaller but
dld lncrease from l.5% to 2.0%. Databases ln blology (8|OS|S),
medlclne (MLDL|NL), englneerlng (COMPLNDLX) and physlcs
(|NSPLC) followed the same general trend (Plgure ll).
|t ls worth polntlng out that Argentlna, Chlle and
venezuela share a common pattern of growlng output ln
papers lnvolvlng lnternatlonal collaboratlon, wlth the
fllpslde belng a falllng number of non-collaboratlve
papers. On the other hand, the ratlo of publlshed
collaboratlve papers to non-collaboratlve papers for 8razll
and Mexlco, the countrles wlth the greatest output ln
Latln Amerlca, has remalned unchanged.
Trends in patents
The number of patents ls one of the lndlcators used to
measure the efflclency of P&D systems ln exploltlng
knowledge ln the economlc sphere. Thls lndlcator ls less
relevant for Latln Amerlca than for more lndustrlallzed
countrles lnsofar as both the economlc structure and legal
frameworks dlscourage patentlng ln most Latln Amerlcan
countrles. However, an analysls of patent data helps to
understand the technologlcal sltuatlon ln the reglon and
conflrms the lnltlal dlagnosls that research ln Latln
Amerlca ls conducted prlmarlly ln academlc settlngs wlth
extremely weak tles to lndustry.
The number of resldent patent appllcatlons ln Latln
Amerlca grew by more than one-thlrd over the perlod
l997-2007. The number of non-resldent patent
|||SO S|||| |||O| 2010
88
5outce: P|CT
Figure 10: Sclentlflc publlcatlons ln Latln Amerlca, l996-2007
5hote ol oets lot to 4 lot|n Amet|con countt|es
0
5
1997 1996 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
10
15
20
25
T
h
o
u
s
a
n
d
s
Brazil
8 501
23 109
Mexico
Argentina
Chile
6 479
3 559
7 401
3 820
3 693
1 793
0
3
1997 1996 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
6
9
12
15
H
u
n
d
r
e
d
s
Colombia
1 239
748
593
518
398
287
Cuba
Peru
Uruguay
Ecuador
Costa Rica
459
421
249
245
180
82
5hote ol oets lot m|JJle 6 lot|n Amet|con countt|es
|.t|r Ano.|c.
89
appllcatlons grew even faster, by almost 60%. 8y 2007,
non-resldent patent appllcatlons were three or four tlmes
more common than those flled by resldents: of 63 000
patents flled ln 2007, [ust 2l% were flled by resldents
(Plgures l2 and l3). Thls dlstrlbutlon ls ln marked contrast
to the flgures for lndustrlallzed countrles.
|nternatlonal patent databases provlde a measure of
protected lnventlons ln the maln markets around the
world: the Luropean Patent Offlce (LPO), the Unlted States
Patents and Trademark Offlce (USPTO) and the Patent Co-
operatlon Treaty (PCT) database of the world |ntellectual
Property Organlzatlon (w|PO). The USPTO database ls a
very lmportant lndlcator of technologlcal development
around the world. Over l80 000 patents are granted each
year ln the USA to holders from all countrles. |n the
2000-2007 perlod, the four Latln Amerlcan countrles wlth
the greatest presence totalled l 59l patents, 43% of
whlch belonged to 8razll. The LPO database, whlch
reglsters over 55 000 patents a year, lncluded 222 patents
from the most dynamlc Latln Amerlcan countrles, l38 of
L
a
t
l
n

A
m
e
r
l
c
a
2007
1997
MEDLINE
BIOSIS
CA
INSPEC PASCAL
COMPENDEX CAB
SCI
Figure 11: Latln Amerlca's presence ln varlous
blbllographlc databases, l997 and 2007
Figure 12: Lvolutlon ln patent appllcatlons ln Latln Amerlca, l997-2007
1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Total
38 096
62 684
49 435
13 249
28 548
9 548
Non-residents
T
h
o
u
s
a
n
d
s
Residents
0
10
20
30
40
50
60
70
5outce: P|CT
|||SO S|||| |||O| 2010
whlch were granted to 8razlllan patent-holders. The last
database ls that of the PCT treaty, admlnlstered by w|PO.
Thls database contalns a total of 3 824 records from the
top four Latln Amerlcan countrles, 62% of whlch are
accounted for by 8razlllan authors (Plgure l4).
varlous dlagnostlc studles and S&T pollcy documents
elaborated by experts and governments ln the reglon
show that S&T systems ln Latln Amerlca are characterlzed,
wlth some exceptlons and nuances, by a lack of strong
llnks and poor co-ordlnatlon between the publlc P&D
sector - encompasslng unlversltles malnly - and the
buslness sector.
The pollcles lmplemented show that the questlon of
stlmulatlng co-operatlon between the publlc and prlvate
sectors has been a falrly recent concern. Thls concern has
translated lnto the creatlon of lnstruments to promote
publlc-prlvate sector co-operatlon ln P&D and lnnovatlon.
There ls a serles of lnstruments avallable ln those
countrles wlth greater relatlve development, ln the form
of support programmes for the development of P&D
90
and lnnovatlon vla publlc and prlvate consortla.
|n thls area, Chlle, for lnstance, has chosen lnnovatlve
formats (8ox 3). The creatlon of centres of excellence
and sectoral clusters comprlslng both publlc and prlvate
lnstltutlons and the promotlon of buslness lncubators
and technology parks are also part of thls experlment to
dynamlze llnks between the prlvate and publlc sectors.
Most countrles have put ln place technology transfer
and dlssemlnatlon pollcles, as well as programmes for
the development of technology lnfrastructure and
access to new technologles. Technologlcal development
and extenslon centres have become wldespread ln
the reglon.
||\ || |||O||||S
P&D prlorlty-settlng ln the reglon vla related pollcles has
undergone dlfferent stages. |nltlally, the crlterla for
resource allocatlon were excluslvely orlented towards
excellence, ln keeplng wlth the guldellnes for baslc
research. Durlng the years when emphasls was placed
Figure 13: Patent appllcatlons ln Latln Amerlca by resldents and non-resldents, 2007
Residents
Non-residents
0
4 000
2 000
8 000
6 000
10 000
12 000
14 000
16 000
1
0

3
4
3
1
6

1
6
6
1
5

9
5
8
6
4
1
9
3
7
4

8
0
6
4
8
6
3

4
2
7
1
1
5

/

1

8
6
1
2
8

/

1

3
3
1

3
5

/

7
4
0
1

/

6
8
7
1
1

/

5
8
0
1
5

/

2
4
3
2
4

/

2
4
1
7
4

/

2
1
0
5

/

1
0
0
9

/

9
9
3
3

/

6
5
18 000
22 000
20 000
26 000
24 000
B
r
a
z
i
l
M
e
x
i
c
o
A
r
g
e
n
t
i
n
a
c
h
i
l
e
C
o
l
o
m
b
i
a
P
e
r
u
U
r
u
g
u
a
y
C
o
s
t
a

R
i
c
a
E
c
u
a
d
o
r
P
a
n
a
m
a
P
a
r
a
g
u
a
y
C
u
b
a
H
o
n
d
u
r
a
s
G
u
a
t
e
m
a
l
a
E
l

S
a
l
v
a
d
o
r
Note: Data are 2006 for 8razll and 2005 for Lcuador and Paraguay.
|.t|r Ano.|c.
9l
L
a
t
l
n

A
m
e
r
l
c
a
on applled research and technologlcal development,
prlorltles were establlshed around productlve sectors
and publlc admlnlstratlon. Currently, ln llne wlth the
new lnstltutlonal orlentatlons mentloned above, lssues
related to lnnovatlon and the generatlon of a competltlve
advantage have made thelr way onto the agenda.
Countrles wlth greater relatlve development have
lncorporated prlorltles ln those S&T flelds wlth the
greatest potentlal, such as blotechnology, nano-
technology and lnformatlon technologles. |n parallel,
several countrles have developed medlum- and long-term
strateglc plans.
There ls an array of dlfferent lnstruments ln Mexlco for
promotlng ST|. These pollcy tools have three maln thrusts:
tralnlng of sclentlsts and englneers, sclentlflc research,
and lnnovatlon and technologlcal development.
The flrst of these thrusts lncludes several postgraduate
scholarshlps, as well as employment servlces and
lnstruments for co-operatlon. The second thrust lncludes
speclflc lnstruments for supportlng baslc and applled
research as well as lncentlve measures for the repatrlatlon
of researchers resldlng abroad. Last but not least, the area
related to lnnovatlon and technologlcal development
provldes buslnesses wlth tax lncentlves, programmes
offerlng researchers sabbatlcal stays ln the lndustrlal
sector and mechanlsms deslgned to foster lnnovatlon
networks.
|n Argentlna, the VeJ|um-7etm 5ttote|c Plon
(2005-20l5) has been deslgned to address challenges
related to lnnovatlon and soclal development. The Plon
establlshes four strateglc goals to gulde the medlum-
and long-term development of ST|. The flrst goal has a
soclal dlmenslon and relates to lmprovlng quallty of llfe
and soclal development. The second goal addresses the
responslble exploltatlon of natural resources and
envlronmental protectlon. The thlrd goal relates to
strengthenlng lnnovatlon ln lndustry and agrlcultural
productlon, partlcularly ln the most advanced flelds,
those that nurture the development of a knowledge
economy and soclety. The fourth goal sets out to
strengthen Argentlna's S&T capabllltles and develop lts
support lnfrastructure.
Figure 14: Patents held by Latln Amerlcans ln lnternatlonal databases, 2000-2007
Brazil
Mexico
Argentina
Chile
US Patents and
Trademark Oce
European Patent Oce World Intellectual
Property Organization
243
577
686
85
20
52
138
12
173
1 151
2 363
137
5outce: Prepared by CA|CT (CON|CLT)
Nanotechnology
Nanotechnology ls wltnesslng rapld development
worldwlde, as reflected ln the number of sclentlflc
publlcatlons and patents: around the world, the number
of sclentlflc artlcles on nanotechnology and nanosclences
llsted by the SC| doubled between 2000 and 2006 and
the number of patents granted through the PCT
lncreased by more than 30%. Latln Amerlca has followed
the global trend: lts publlcatlons on nanotechnology
grew by 95% between 2000 and 2006. Several countrles
ln the reglon are strlvlng to selze the opportunltles
offered by thls fleld.
As ln other flelds, 8razll ls the most promlnent country for
nanotechnology: ln 2006, lt ranked l8
th
ln the world for
publlcatlons related to nanotechnology, wlth 827 artlcles
lndexed by the SC|. Mexlco came second wlth 376 artlcles
(26
th
) and Argentlna thlrd (37
th
) wlth 220. Tralllng
these countrles, we flnd Chlle (wlth l04 publlcatlons),
Colombla (60) and Cuba (45). Taklng lnto account that, ln
2006, 49 433 artlcles on nanotechnology were lndexed by
the SC|, the total output of these slx countrles amounts to
3.3% of the total. Thls percentage share tallles wlth Latln
Amerlca's average contrlbutlon to the large databases on
exact and natural sclences. However, thls number greatly
exceeds the reglon's average contrlbutlon to the flelds of
physlcs, chemlstry and technology.
Nanotechnology tends to glve rlse to collaboratlon.
An analysls of the publlcatlons produced [olntly by Latln
Amerlcan and non-Latln Amerlcan authors shows strong
co-operatlon between the USA and 8razll, through whlch
other Latln Amerlcan countrles such as Colombla and
Cuba are partlclpatlng ln the global network.
|||SO S|||| |||O| 2010
92
Box 3: P&D technology buslness consortla ln Chlle
crsc.t|. ..o |rst.Jnorts Jos|roJ tc
st.ort|or t|o .o|.t|crs||p bot.oor
sc|orco .rJ t|o Jso.s c| sc|ort|||c
.Jv.rcos |r t|o pJb||c .rJ p.|v.to
soctc.s .t r.t|cr.| .rJ |rto.r.t|cr.|
|ovo|s, .|t| . v|o. tc c.o.t|r
ro. bJs|ross cppc.tJr|t|os .rJ
bccst|r ccnpot|t|cr. A toc|rc|cy
ccrsc.t|Jn |s .r .sscc|.t|cr c|
bJs|ross ort|t|os .rJ .c.Jon|c,
sc|ort|||c .rJ toc|rc|c|c.|
|rst|tJt|crs |c.noJ tc JrJo.t.ko
c|rt Jovo|cpnort c| . .oso..c|,
Jovo|cpnort .rJ |rrcv.t|cr
p.c..nno. ||s |rst.Jnort sooks tc
n.ko . s|r|||c.rt |np.ct t|.cJ| t|o
.Jcpt|cr, t..rs|o. .rJ
ccnno.c|.||..t|cr c| .oso..c| .osJ|ts.
|o ccrsc.t|. |r |||o .o.o
c.o.toJ |r 2006 tc Jovo|cp cJtt|r
oJo S .oso..c| t|.cJ|
pJb||cp.|v.to p..tro.s||ps. |o .|n
|s tc .pp|y krc.|oJo tc |rJJst.y,
.|t| . v|o. tc b.|r|r tcot|o. t|o
J|||o.ort ||rks |r . |vor p.cJJct|cr
c|.|r. |oso noc|.r|sns |.vo boor
Jos|roJ tc or.b|o p.cJJct|vo
ccnp.r|os, Jr|vo.s|t|os .rJ ct|o.
toc|rc|c|c.| ort|t|os tc |c.n
.|||.rcos tc sc|vo p.cJJct|cr
c|.||oros |.vo . bo..|r cr
ccnpot|t|voross .rJ, |r t|o
p.ccoss, Jovo|cp ro. p.cJJcts,
p.tort .ry b.o.kt|.cJ|s .rJ
ccnno.c|.||.o t|on.
|oso ccrsc.t|. .oco|vo sJppc.t
|.cn t|.oo ,J..to.s. t|o b|cortorr|.|
Sc|orco .rJ oc|rc|cy |.c..nno
c| t|o |.t|cr.| cnn|ss|cr cr
Sc|ort|||c .rJ oc|rc|c|c.| |oso..c|
(O||+), t|o |||O\A |||o
p.c..nno c| t|o |.cJJct|cr
|ovo|cpnort c.pc..t|cr (O||O)
.rJ t|o |JrJ.c|cr ||A (|cJrJ.t|cr |c.
A.|cJ|tJ..| |rrcv.t|cr) c| t|o V|r|st.y
c| A.|cJ|tJ.o. |o ccrsc.t|. .oco|vo
ccrs|Jo..b|o ||r.rc|.| sJppc.t c|
..cJrJ |S, 34.5 n||||cr |r pJb||c
|JrJs, |r c.Jo. tc |np|onort |r|t|.t|vos
cvo. . n.x|nJn po.|cJ c| ||vo yo..s.
J.r|r tc t|o p.|v.to soctc., t|o
|Jo. |o.o |s tc ncb|||.o nJc| |..o.
sJns c| ncroy |.cn t|o p..t|c|p.t|r
ccnp.r|os .rJ toc|rc|c|c.| ort|t|os.
|.c| |r|t|.t|vo |.s tc t.ko t|o |c.n
c| . bJs|ross ort|ty, t|o spoc|.||..t|cr
c| .||c| .||| orsJ.o oxco||orco |r
.oso..c| .rJ t|o .pp||c.t|cr c| t|o
.osJ|ts tc t|o p.cJJct|vo soctc. v|.
t|o .Jcpt|cr, t..rs|o.,
ccnno.c|.||..t|cr .rJ J|sson|r.t|cr
c| .oso..c| ||rJ|rs, .s .o|| .s
t..|r|r .rJ |rc|Js|cr c| ||||y
,J.||||oJ po.scrro| |r ..o.s c| c.Jc|.|
|npc.t.rco |c. bct| |||o.r |rJJst.y
.rJ t|o .o|crs. |o ||.st toc|rc|cy
ccrsc.t|. ..o |ccJs|r cr |.J|t
|..n|r, t|o J.|.y .rJ .|ro
|rJJst.|os, |c.ost.y, |o.|t| .oso..c|,
.o.cr.Jt|cs .rJ t|o Jovo|cpnort c|
byp.cJJcts |.cn ..sto oro..toJ by
oxpc.t |rJJst.|os.
5outce: authors
|.t|r Ano.|c.
93
L
a
t
l
n

A
m
e
r
l
c
a
Mexlco llkewlse has dlrect tles wlth the USA. Spaln,
meanwhlle, serves as a rallylng polnt to the global
network for countrles such as Argentlna, Chlle, Uruguay
and venezuela.
The reglon's weakness ln terms of productlvlty becomes
apparent when we examlne the number of patents flled
ln the PCT database. Thls database llsts 43 887 nano
technology patents granted between 2003 and 2006, out
of whlch only l00 (0.22% of the total) are held by Latln
Amerlcans. |n thls context, 8razll ls, once agaln, the
leadlng country lnsofar as lt holds 45 of the l00 patents,
followed by Mexlco wlth 20, Argentlna wlth ll and Chlle
wlth 9. The remalnder of the patents belong to Cuba,
Honduras, Panama and Uruguay. Of note ls that, ln 2006,
8razll doubled the number of patents lt had held ln 2003.
The reglon's showlng lmproves sllghtly when lt comes to
lnventors: accordlng to the PCT database, 277 patents
(0.5l% of the total) belonged to a Latln Amerlcan lnventor
for the perlod 2003-2006. Once agaln, flrst place goes to
8razll, wlth 84 patents. Argentlna ranks second, wlth
46 patents, followed by Mexlco, wlth 4l. Chlle tralls thls
group wlth l8 patents and Colombla wlth l3 - reflectlng
the fact that Colomblan lnvestors partlclpated ln
developlng patents even though the country does not
own any. There were ten other Latln Amerlcan countrles
where local lnvestors owned patents.
Golng agalnst the global trend, the speclallzatlon of Latln
Amerlcans ln the fleld of nanomedlclne and nanoblology
(8|O) ls remarkable and has earned them thlrd place ln the
world. Thls fleld represents 82% of the patents granted to
Argentlna, 69% of 8razlllan patents and 45% of Mexlcan
patents.
|n concluslon, there are encouraglng lndlcators for
nanotechnology ln Latln Amerlca, ln splte of the fact that
the reglon ls golng through an lnclplent stage of
development ln thls fleld. 8oth the number of artlcles
publlshed ln sclentlflc [ournals and the volume of patents
have grown ln recent years. However, the reglon's
percentage share for both artlcles and patents related to
nanotechnology remalns low. |n thls fleld, the productlve
structure would seem to be lagglng behlnd the academlc
capaclty. |n thls regard, Latln Amerlcans conductlng P&D
on nanosclences and nanotechnology - two flelds whlch
are lncreaslngly belng lntegrated lnto lnternatlonal
networks - represent a reservolr of capaclty.
Biotechnology
The reglon's capabllltles ln blotechnology are, to a large
extent, derlved from lts hlstorlcal S&T development.
There are varlous lnstltutlons and groups ln Latln Amerlca
wlth a long-standlng tradltlon ln agrlcultural research and
blology, among other areas related to blotechnology
research. 8razll, Argentlna and Mexlco stand out ln thls
fleld. Among the leadlng groups ln 8razll are those based
at the Unlverslty of Sao Paulo, the Plocruz Poundatlon and
the Unlverslty of Camplnas. |n Argentlna, the Unlverslty of
8uenos Alres, the |nstltute of 8lology and Lxperlmental
Medlclne (|8ML) and the Natlonal Unlverslty of La Plata
occupy a promlnent place. The Natlonal Autonomous
Unlverslty of Mexlco (UNAM) ls also of lnternatlonal repute.
Latln Amerlca provldes 3% of the 365 783 documents on
blotechnology avallable ln the SC| for the perlod
2000-2007. wlthln Latln Amerlca, MLPCOSUP countrles
(see oe 96) account for 65% of publlcatlons, or 2% of the
world total. 8razll's leadershlp ln thls fleld ls unrlvalled:
the country accounts for 76% of artlcles produced by
MLPCOSUP countrles and 49% of artlcles for Latln Amerlca
as a whole. 8razll's growth ln recent years largely exceeds
that of lts reglonal peers. The trend has even accelerated:
ln 2000, 8razll lncreased lts productlvlty by a factor of 2.5
over lts lmmedlate rlval ln blotechnology, Mexlco, ln 2007,
8razll's productlvlty grew by a factor of 3.3. |f we contaln
the analysls to the MLPCOSUP countrles, the plcture ls
slmllar: whereas, ln 2000, 8razll produced twlce as many
artlcles as lts lmmedlate rlval ln the trade bloc, Argentlna,
ln 2007 lt produced four tlmes as many. Lven though
Mexlco and Argentlna have shown very slmllar productlon
rates and growth patterns over the same perlod, Mexlco
has experlenced sllghtly hlgher growth than Argentlna
slnce 2002.
Thls blbllographlcal analysls reveals that Latln Amerlcan
countrles tend to bulld relatlonshlps wlth the leadlng
countrles ln thls fleld. Thls ls hardly surprlslng, conslderlng
the degree of concentratlon ln blotechnology worldwlde:
the USA, 1apan, Germany, UK and Prance produced
sllghtly more than 70% of all papers on blotechnology
publlshed ln 2000-2007. As a result, Latln Amerlcan
countrles have tended to bulld stronger relatlonshlps wlth
extra-reglonal countrles - malnly the USA and, to a lesser
extent, ln Lurope - than wlth each other. 8razll and
Argentlna have, for example, developed tles through
[olnt publlcatlons wlth authors from countrles beyond
the reglon.
One-thlrd (37%) of the papers wrltten by 8razlllans on
blotechnology ln the perlod under revlew were wrltten ln
collaboratlon wlth sclentlsts from other countrles. Of the
total, 83% ls accounted for by flve countrles: almost half
(47.6%) are publlcatlons ln collaboratlon wlth the USA,
whlle between ll.0% and 6.5% are produced ln
collaboratlon wlth Prance, the UK, Germany and Canada.
Meanwhlle, 48% of Argentlna's total productlon ln thls fleld
results from collaboratlve work wlth other countrles: the
USA accounts for 34%, whereas Spaln, 8razll, Prance and
Germany account for between l7% and l0% each.
As regards patents, the w|PO database llsts, through
the PCT, 73 23l patent flllngs on blotechnology
wlthln the perlod 2000-2007. Two hundred and thlrty
patents are held by Latln Amerlcans from ll countrles.
Of these countrles, only three owned patents for
each year durlng the sald perlod: 8razll (82),
Cuba (55), a protectlonlst country ln terms of lnventlons
whlch fosters patentlng over publlcatlon, and
Mexlco (5l). Argentlna held l5 patents throughout
thls perlod, showlng slgnlflcant growth over the last
two years.
|||SO S|||| |||O| 2010
94
Box 4: Aeronautlcs ln 8razll: the case of LM8PALP
|o Jovo|cpnort c| t|o .o.cr.Jt|c
|rJJst.y ..s p.cnctoJ by t|o b...|||.r
cvo.rnort |r t|o 1940s .s .r
|rst.Jnort |c. t|o ccJrt.ys
toc|rc|c|c.| Jovo|cpnort. |o ||.st
stop tc...Js t||s c.| ..s t|o
|cJrJ|r |r 1954 c| t|o |rst|tJto |c.
|oso..c| .rJ |ovo|cpnort (|||), t|o
cJ..ort Ao.cr.Jt|c .rJ Sp.t|.| |rst|tJto
(|A|). |r 1965, t|o ||| ..s ort.JstoJ
.|t| Jos|r|r . p|.ro o,J|ppoJ .|t|
. tJ.bcp.cp or|ro. |o .|.c..|t n.Jo
|ts n.|Jor ||||t t|.oo yo..s |.to.
bo|c.o bo|r ccnno.c|.||.oJ JrJo.
t|o r.no c| b.rJo|..rto.
|r 1969, t|o V|r|st.y c|
Ao.cr.Jt|cs c.o.toJ t|o Empresa
Brasileira de Aeronutica S.A. (b...|||.r
Ao.cr.Jt|c |rto.p.|so, |Vb|A||).
|Vb|A||s n|ss|cr ..s tc p.cJJco
.|.c..|t Jos|roJ Js|r b...|||.r
toc|rc|cy cr . ccnno.c|.| sc.|o.
b.rJo|..rtos ||.st t|.oo so.|os .o.o
Jo||vo.oJ tc t|o b...|||.r A|. |c.co |r
193. |r t|o s.no yo.., t|o ||.n
..rsb..s|| pJ.c|.soJ t|o ||.st
b.rJo|..rto |c. ccnno.c|.| Jso. |o
p|.ros .o.o ||.st oxpc.toJ |r 195.
|Vb|A|| .cJ|J J|t|n.to|y ccr,Jo.
36 n..kots ..cJrJ t|o .c.|J.
Or t|o c.Jo.s c| t|o V|r|st.y c|
Ao.cr.Jt|cs, |Vb|A|| Jovo|cpoJ
|ts ||.st ccnb.t .|.c..|t, t|o Jc.rc,
.||c| n.Jo |ts n.|Jor ||||t cr
16 |oconbo. 1980. |o .|.c..|t .cJ|J
c cr tc boccno t|o ncst sJccoss|J|
p.coct |c. n|||t..y t..|r|r ovo. bJ||t,
.|t| nc.o t|.r 650 Jr|ts sc|J .|| cvo.
t|o .c.|J.
|r 'J|y 1981, |Vb|A|| ..s
|rv|toJ tc c|r t|o |t.||.r AV`
|rto.r.t|cr.| |.c..nno tc ccrst.Jct
. sJbscr|c ccnb.t .|.c..|t. cot|o.
.|t| .r |t.||.r ||.n, |Vb|A|| .c.koJ
cr Jovo|cp|r t|o AV` |||to.,
Jos|roJ tc .op|.co t|o c|J n|||t..y
||oots c| |t.|y .rJ b...||. |o ||.st
b...|||.r AV` n.Jo |ts n.|Jor ||||t
cr 16 Octcbo. 1985. ||s p.coct
.||c.oJ |Vb|A|| tc .ccoss ro.
toc|rc|c|os t|.t .cJ|J bo c.Jc|.|
|c. |JtJ.o p.cocts.
|o Jovo|cpnort c| . .o|cr.|
.|.c..|t tc .op|.co t|o b.rJo|..rto
bo.r |r t|o |.to 190s. |o .osJ|t ..s .
t.|rtJ.bcp.cp ccnno.c|.| .|.||ro.
c.||oJ t|o |Vb120 b..s|||. .|t| .
c.p.c|ty |c. 3040 so.ts co.t|||oJ |c.
ccnno.c|.| so.v|co |r 1985. |r||ko t|o
b.rJo|..rto, t|o b..s|||. st..toJ cJt .s
.r oxpc.t p.cJJct, orto.|r |rtc so.v|co
|c. t|o Ano.|c.r .|.||ro At|.rt|c
ScJt|o.st A|.||ros. |o |Vb120 b..s|||.
c.oJ |ts sJccoss tc t|o t.Jst .cr by
|Vb|A|| |r t|o .c.|J .v|.t|cr n..kot
t|.rks tc t|o b.rJo|..rto.
O|||c|.||y, p.cJJct|cr c| t|o b..s|||.
orJoJ |r 2002 .|t| 350 Jr|ts |.v|r
boor sc|J, |c.ovo., t|o .|.c..|t |s st|||
bo|r p.cJJcoJ cr Jon.rJ.
cJ.y, |Vb|A|| p.cJJcos
ccnno.c|.|, n|||t..y .rJ bJs|ross
.|.c..|ts. |t |.s .|..ys boor cro c|
b...||s tcp t|.oo oxpc.to.s.
\c.|J.|Jo, |Vb|A|| |s t|o t||.J
b|ost .|.||ro n.rJ|.ctJ.o. .|to.
bco|r .rJ A|.bJs |c. t|o rJnbo. c|
st.|| .rJ t|o .ncJrt c| .|.c..|t
Jo||vo.oJ .rrJ.||y. |o ccnp.ry |.s
|ts |o.J,J..to.s |r S.c 'cso Jcs
.npcs |r S.c |.J|c .|o.o |ts n.|r
|.ctc.y .rJ cort.o |c. Jos|r .rJ
or|roo.|r ..o .|sc |cc.toJ.
Or 31 V.y 2005, |Vb|A||
.rrcJrcoJ p|.rs |c. t.c ro. .|.c..|t,
t|o ||orcn 100 .rJ 300, c.|ortoJ
tc...Js t|o bJs|ross .v|.t|cr n..kot.
|o ro. ncJo|s ..o |rtorJoJ tc
ccnp|onort t|o ox|st|r c||o. c| t|o
|o.cy 600 |r t|o sonorts c| |||t
.rJ vo.y |||t .|.c..|t. |r .JJ|t|cr, t|o
ccnp.ry .rrcJrcoJ |r V.y 2006 t|o
|c.t|ccn|r ccnno.c|.||..t|cr c| .r
oxocJt|vo vo.s|cr c| |ts ot |190 krc.r
.s ||ro.o 1000. |o ||.st t.c .|.c..|t
.o.o Jo||vo.oJ |r |oconbo. 2008.
5outce: authors
|.t|r Ano.|c.
95
L
a
t
l
n

A
m
e
r
l
c
a
|n sum, the reglon ls brlmmlng wlth opportunltles to
develop blotechnology. Several groups are currently
worklng ln thls fleld, ln tandem wlth groups whlch are
world leaders. Several successful examples, such as the
clonlng of calves ln 8razll and Argentlna at the turn of the
century, lllustrate the reglon's potentlal ln thls fleld.
Technological development
Desplte the fact that many of the plans drawn up by S&T
agencles have not translated lnto effectlve lmprovements ln
productlvlty, many Latln Amerlcan countrles have
succeeded ln developlng ma[or technologles. Thls has been
achleved elther as a result of stakeholder lnterest or strateglc
declslons sustalned by successlve governments over tlme ln
the form of state pollcles. The most outstandlng examples of
stakeholder lnterest relate to technologlcal capacltles
acqulred lnltlally to serve the mllltary but whlch were
subsequently adapted by economlc lnterests for peaceful
appllcatlons. 8oth the 8razlllan aeronautlcs lndustry and
Argentlne nuclear technology are worthy of mentlon
(8oxes 4 and 5). |n the fleld of |CTs, Costa Plca's pollcy has
been exemplary (8ox 6).
Box 5: Argentlna's technologlcal showcase: the case of |NvAP
||\A| |s .r orto.p.|so t|.t |.s
oxco||oJ |r t|o ||o|J c| rJc|o.., sp.co
.rJ |rJJst.|.| Jovo|cpnort cvo. t|o
p.st 30 yo..s. |t ..s |cJrJoJ |r 196
.s . c|rt vortJ.o bot.oor t|o
|.t|cr.| Atcn|c |ro.y cnn|ss|cr
.rJ t|o cvo.rnort c| t|o |.cv|rco
c| ||c |o.c. |t |s .r oxcopt|cr.| c.so
|r t|o .o|cr, .s |t |s . |o.J|r
|rto.r.t|cr.| sJpp||o. |c. t|o |cb.|
rJc|o.. .rJ s.to|||to toc|rc|cy
n..kot. |Jr ||ko . p.|v.to orto.p.|so,
||\A| |.s .tt.|roJ . ||| |ovo| c|
scp||st|c.t|cr |r toc|rc|c|c.|
Jovo|cpnort o,J|v.|ort tc t|.t c|
orto.p.|sos |.cn ncst Jovo|cpoJ
ccJrt.|os.
||\A| |s .|sc . s||r|r ox.np|o c|
ccc.J|r.t|cr bot.oor t|o pJb||c
.rJ p.|v.to soctc.s. |no.|r |r|t|.||y
.s . sp|rc|| c| t|o A.ort|ro |.t|cr.|
cnn|ss|cr |c. Atcn|c |ro.y, t|o
orto.p.|so |s . .o||oct|cr c| . pc||cy |c.
t..|r|r ||||y ,J.||||oJ po.scrro|
.||c| |.s boor sJst.|roJ cvo. t|no
by t|o ||c |o.c cvo.rnort. At t|o
s.no t|no, ||\A| |s t|o ||v|r p.cc|
t|.t . r.t|cr.| toc|rc|cy p.cJJco.
c.r ||rJ . p|.co |r t|o |cb.| n..kot.
Vcst rct.b|y |r t|o ||o|J c| rJc|o..
oro.y, t|o ||.n |.s pcs|t|croJ |tso||
.s . sJpp||o. tc v..|cJs ono.|r
occrcn|os, .|t|cJ| s.|os tc
ccJrt.|os .|t| .o.to. .o|.t|vo
Jovo|cpnort |.vo .|sc boor
.occ.JoJ.
||\A| J|J rct t.ko |cr tc
boccno .r oxpc.to. c| rJc|o..
toc|rc|cy. by t|o o..|y 1980s, |t |.J
sc|J o,J|pnort .rJ systons tc
|cn.r|., |rJ|. .rJ |o.J. |o ncst
rcto.c.t|y oxpc.ts |r t|o
orto.p.|sos ||stc.y |.vo boor,
|c.ovo., t|cso c| .oso..c| .o.ctc.s.
||\A| |.s bJ||t t||s typo c|
o,J|pnort |r |o.J (198), A|o.|.
(1985), |ypt (1995) .rJ AJst..||.
(2000). crst.Jct|cr c| t|o .o.ctc. |r
|o.J ccrst|tJtoJ . st..to|c Joc|s|cr
t|.t .cJ|J J|t|n.to|y n.ko
A.ort|r. .r oxpc.t|r ccJrt.y |c.
t||s typo c| toc|rc|cy. ||s |r|t|.|
stop or.b|oJ t|o orto.p.|so tc
.ccJnJ|.to oxtors|vo sk|||s t|.t |.vo
|.vcJ.oJ |ts .c.|r |rto..t|cr |r
|c.o|r n..kots, J.|vor by .r
..oss|vo oxpc.t pc||cy t|.t |.s
boor sJst.|roJ ovo. s|rco.
|r p...||o|, t|o orto.p.|so |.s
Jovo|cpoJ c.p.c|t|os |r rJc|o..
noJ|c|ro. ||\A| Jovo|cps .rJ
n.rJ|.ctJ.os o,J|pnort .rJ
.ccossc.|os |c. ..J|ct|o..py .rJ
.o|.toJ ..o.s, |r .JJ|t|cr tc c||o.|r
ccrsJ|t.rc|os .rJ ct|o. so.v|cos |c.
t|o Jovo|cpnort .rJ cpo..t|cr c|
..J|ct|o..py. |o orto.p.|so |.s
oxpc.toJ o,J|pnort tc \oro.Jo|.,
Sy.|., |rJ|., |ypt, b...|| .rJ Jb..
|r . nc.o .ocort Jovo|cpnort,
||\A| |.s vortJ.oJ |rtc t|o
ccrst.Jct|cr c| sp.co s.to|||tos.
|r cccpo..t|cr .|t| t|o |.t|cr.|
Sp.co Act|v|t|os cnn|ss|cr
(Comisin Nacional de Actividades
Espaciales, O|A|), t|o orto.p.|so |.s
tc J.to Jos|roJ .rJ bJ||t t|.oo
Sc|ort|||c App||c.t|crs S.to|||tos t|.t
..o st||| |r cpo..t|cr. |o sp.co
.orc|os c| t|o |SA, |..rco, |t.|y,
|orn..k .rJ b...|| |.vo .|| JsoJ
t|oso s.to|||tos tc |rst.|| t|o|. c.r
.pp...tJs .rJ so.v|cos, .rJ ct|o.
ccJrt.|os |.vo oxp.ossoJ |rto.ost |r
.JJ|r t|o|. c.r. |.rks tc t||s .c.k,
||\A| |.s boccno t|o p|vct |c. cc
c.J|r.t|cr bot.oor A.ort|r|.r
sp.co .rJ rJc|o.. rot.c.ks.
5outce: authors
||||S || S|||||| OO|||A|O|
The Mercado Comun del Sur, or MLPCOSUP, groups flve
countrles: Argentlna, 8razll, Paraguay, Uruguay and
venezuela. At the tlme of lts foundlng ln l99l, there were
only four members. They were [olned by venezuela ln 2007.
|n 2005, the MLPCOSUP adopted the Sclence, Technology
and |nnovatlon Pramework Programme for 2006-20l0,
to promote the advancement of knowledge ln strateglc
areas, lncludlng sclentlflc knowledge of natural resources.
Thls framework programme establlshed four
programmatlc goals. The flrst relates to the 'strateglc
dlmenslon of some research flelds and lncludes ST|
actlvltles to address adequately the challenges faclng the
reglon and lts partlcularltles. The lssues to be consldered
ln thls area relate to advanced and alternatlve energy
(hydrocarbons, hydraullc, nuclear and blomass energy),
sustalnable development (non-renewable natural
resources, urban development, sanltatlon, etc.), |CTs,
blotechnology, nanotechnology and new materlals.
we can see from the foregolng that expllclt P&D pollcles
formulated by those Latln Amerlcan countrles wlth
greater capacltles ln S&T have ln common that they
tend to be allgned on ma[or world trends wlth
economlc goals, partlcularly lnvestment ln
blotechnology and nanotechnology. They glve llttle
prlorlty to soclal lssues and emphaslze some advanced
flelds, such as nanotechnology and blotechnology,
ln accordance wlth the economlc relevance of both.
However, lt ls worth questlonlng whether the
magnltude of the effort belng made wlll sufflce to brlng
about ma[or achlevements. Some common actlvltles,
however, have been developed ln blotechnology and
lnformatlon soclety technologles, wlth the flnanclal
support of the Luropean Unlon.
Latln Amerlcan countrles have grasped the lmportance
of lnternatlonallzlng P&D. |n many countrles, programmes
have been put ln place to promote lnternatlonal
co-operatlon ln P&D as well as programmes for co-operatlon
ln speclflc areas, such as energy, blotechnology and |CTs.
|||SO S|||| |||O| 2010
96
Box 6: |CTs ln Costa Plca
\|t| . pcpJ|.t|cr c| Jst 4 n||||cr,
cst. ||c. |.s n.r.oJ tc pcs|t|cr
|tso|| |r .ocort yo..s .s . |o.J|r
p.cJJco. c| |r|c.n.t|cr toc|rc|cy
(|) |r t|o .o|cr. Oro n||ostcro ..s
t|o ...|v.| c| |rto| |r 1998. Ot|o. |||
toc| nJ|t|r.t|cr.| ccnp.r|os ||ko
|o.|ott|.ck..J .rJ |bV sccr
|c||c.oJ sJ|t. |o ...|v.| c| t|oso
||.ns, .|cr .|t| t|o c.o.t|cr c|
s|n||.. Jcnost|c ||.ns, |.s oro..toJ
..cJrJ 100 000 cbs.
|o | orto.p.|sos c| cst. ||c.r
c.||r ..o n.|r|y b.soJ cr sc|t...o
p.cJJct|cr. Accc.J|r tc . 2005
sJ.voy, t|oso orto.p.|sos Jovcto .s
nJc| .s 12 c| t|o|. bJJot tc ||.
|c.ovo., t|o s.no sJ.voy .ovo.|s .
|.ck c| ||rk.os bot.oor ||.ns .rJ
Jr|vo.s|t|os. Vcst ||.||cc.toJ
|JrJs ccno |.cn t|o orto.p.|sos
t|onso|vos. Ot|o. |JrJ|r scJ.cos
sJc| .s Jr|vo.s|t|os, |rto.r.t|cr.|
c..r|..t|crs .rJ |cJrJ.t|crs
.ppo.. tc bo n..|r.|.
cst. ||c.r | Jovo|cpnort |.s
boor c.|ortoJ tc...Js oxpc.ts. |o
ccJrt.y |s cJ..ort|y t|o .o|crs n.|r
|||toc| oxpc.to. tc t|o |SA .rJ |ts
p.cJJcts .|sc .o.c| t|o n..kots c|
Vox|cc .rJ ct|o. ort..| .rJ ScJt|
Ano.|c. ccJrt.|os. |c.ovo., t|o
cst. ||c.r | |rJJst.y Jcos rct c.o
|ts ccnpot|t|voross tc o|t|o. oxpc.ts
c. |c. |.bcJ. ccsts bJt ..t|o. tc |ts
||||y ,J.||||oJ .c.k|c.co, t|o
p.cJJct c| oJJc.t|cr pc||c|os
sJst.|roJ |c. Joc.Jos. A|ncst .||
p.c|oss|cr.|s |r t|o soctc. |c|J .
Jr|vo.s|ty Jo.oo, ovor || t|o
p.cpc.t|cr c| p.c|oss|cr.|s .|t| .
n.sto.s Jo.oo c. ||| |s .o|.t|vo|y
|c.. |r .JJ|t|cr, t|o ccJrt.y |.s
Jo||bo..to|y .vc|JoJ .tt..ct|r c|o.p
|.bcJ.|rtors|vo |rJJst.|os tc |ts
s|c.os, t|o.oby p.cv|J|r . s.|oJ..J
..|rst ccnpot|tc.s c||o.|r |c.o.
ccsts.
|r p...||o|, t|o.o |s . t..rsp..ort,
p.oJ|ct.b|o syston |r p|.co |c.
.tt..ct|r |c.o|r J|.oct |rvostnort.
||s |.vcJ.s t|o ost.b||s|nort c|
|rto.r.t|cr.| ||.ns cr cst. ||c.r sc||.
|o ccJrt.y |.s .|sc boor .b|o tc
p.coct .r |n.o c| st.b|||ty .rJ
Joncc..cy. |oso |.ctc.s ..o
ccnp|onortoJ by r.tJ..| .ssots.
t|o ccJrt.y orcys . |.vcJ..b|o
oc..p||c.| pcs|t|cr, .|t| pc.ts cr
bct| t|o At|.rt|c .rJ |.c|||c cco.rs,
.rJ . c.p|t.| t|.t |s cr|y . t.c|cJ.
||||t |.cn V|.n| |r t|o |SA.
5outce: authors
|.t|r Ano.|c.
97
L
a
t
l
n

A
m
e
r
l
c
a
Almost all Latln Amerlcan countrles are llnked to one
another through bllateral co-operatlon agreements whlch
lnclude horlzontal co-operatlon mechanlsms ln S&T. One
example ls the Argentlnlan-8razlllan 8lotechnology Centre
(CA88|O), whlch dates from l987. |t co-ordlnates a network
of blotechnology research groups that lmplement
blnatlonal pro[ects. Hlgh-level tralnlng ls also dlspensed vla
the Argentlnlan-8razlllan 8lotechnology School (LA88|O)
run by CA88|O (UNLSCO, 20l0). The South Amerlcan
Programme for the Support of Co-operatlve Actlvltles ln
Sclence and Technology (PPOSUL) was created, at 8razll's
lnltlatlve, ln 200l. The ldea behlnd lt was for a common
platform to be establlshed for reglonal lnltlatlves supported
by the programme. |n future, the platform wlll favour the
development of pro[ects of common lnterest that could be
submltted to natlonal and multllateral fora dedlcated to the
promotlon of P&D. (lot Jeto|ls ol othet 8toz|l|on |n|t|ot|ves,
see oe ll7.)
Another experlence worth mentlonlng ls the Andres 8ello
Agreement,
4
the secretarlat (SLCA8) for whlch admlnlsters
a forum for co-operatlon ln ST|. |n the prlvate sector, the
lmpact of the Latln Amerlcan Assoclatlon of Technologlcal
Management (ALTLC) ls noteworthy.
5
|nternatlonal organlzatlons have actlvely promoted
co-operatlon ln ST| ln Latln Amerlca, partlcularly UNLSCO and
the Organlzatlon of Amerlcan States. Other lnternatlonal
bodles have played a promlnent role ln thelr capaclty as a
factory of ldeas for development strategles. These lnclude the
Unlted Natlons |ndustrlal Development Organlzatlon
(UN|DO), the Unlted Natlons Development Programme
(UNDP), the Pan-Amerlcan Health Organlzatlon (PAHO) and
the Unlted Natlons Lconomlc Commlsslon for Latln Amerlca
and the Carlbbean (LCLAC). Last but not least, lt ls lmportant
to mentlon the plvotal role played by the |nterAmerlcan
Development 8ank (|D8) ln flnanclng the development of
P&D actlvltles and lnfrastructure ln the reglon. Over the past
20 years, the |D8 has dlsbursed hundreds of bllllons of dollars
ln loans to several Latln Amerlcan countrles for the purpose
of strengthenlng thelr S&T capacltles. To a lesser extent, the
world 8ank has also contrlbuted to the flnanclng of S&T
pollcy-maklng. |t has also had an lnfluence on the
re-englneerlng or redeslgnlng of lnstltutlons.
Latln Amerlca's co-operatlon wlth the Luropean Unlon ln
the fleld of ST| has developed along two avenues slnce the
|nterreglonal Pramework Co-operatlon Agreement
between the Luropean Communlty and Mercosur was
slgned ln l999: partlclpatlon ln the Luropean Unlon's
slx-year framework programmes for research and
technologlcal development, and co-operatlon speclflcally
orlented towards speclflc lssues deflned by the Luropean
Commlsslon. One example ls 8|OTLCSUP, a blotechnology
platform that ls part of the 8lotech MLPCOSUP Luropean
Unlon pro[ect resultlng from an agreement slgned ln
November 2005 by the Luropean Communlty and
MLPCOSUP (UNLSCO, 20l0). The homogenelty of the
lnstruments lmplemented has gradually glven rlse to
co-operatlon agreements lnvolvlng several countrles and,
subsequently, to 'block to block' agreements llke that
entered lnto by the Luropean Unlon and the MLPCOSUP
ln 20l0 for a polltlcal and trade assoclatlon.
Currently, there ls a slew of lnstruments avallable for Latln
Amerlcan co-operatlon ln S&T, among whlch the
|bero-Amerlcan Programme of Sclence and Technology for
Development (CTLD) has occupled a promlnent posltlon
slnce l984. The purpose of CTLD ls to promote a culture
of co-operatlon as a strateglc tool for lmprovlng and
supplementlng domestlc capabllltles, for lnternatlonallzlng
domestlc lnnovatlon systems, contrlbutlng to lnstltutlonal
modernlzatlon and fosterlng the development of a Latln
Amerlcan sclentlflc communlty.
The Organlzatlon of |bero-Amerlcan States,
6
wlth lts
Sclence, Technology and Soclety programme, has also
played a key role ln orlentlng Latln Amerlcan S&T towards
the goals of soclal coheslon and cltlzen empowerment.
More recently, The Latln Amerlcan Knowledge Pool created
ln 2005 wlthln the framework of the Latln Amerlcan
summlts of heads of state and government, offers an
opportunlty to achleve thls convergence and meet the
challenges outllned above. |n thls context, new lnstruments
are belng deflned. One example ls the Centto Je Altos
lstuJ|os un|vets|tot|os (Centre for Advanced Unlverslty
Studles), whlch asplres to foster the creatlon of
postgraduate networks among |bero-Amerlcan
unlversltles.
4. The member countrles of the lntergovernmental organlzatlon created ln
l970 vla thls agreement are 8ollvla, Colombla, Chlle, Lcuador, Peru, venezuela,
Panama, Spaln, Cuba, Paraguay, Mexlco and the Domlnlcan Pepubllc.
5. SLCA8 was founded ln l978 and ALTLC ln l984.
6. See Annex | for the member countrles of the Organlzatlon of
|bero-Amerlcan States.
O|||S|O|
Latln Amerlcan countrles were lnsplred by the ldea of
uslng S&T as an lnstrument for development ln the
decades followlng the Second world war. They had made
some remarkable achlevements by the l970s, only for
these efforts to be frustrated ln later decades by the rlse
of rlgldly llberal pollcles. The deslre to achleve
development through S&T dld, however, flnd a favourable
terraln ln the early years of the 2l
st
century and these
condltlons prevalled untll the current global economlc
recesslon. 8etween 2002 and 2008 when the recesslon
hlt, a prosperous cycle of the global economy had
favoured a slx-year expanslon cycle ln Latln Amerlca
whlch was the reglon's longest and greatest slnce l980.
Thls has placed Latln Amerlca ln a stronger posltlon to
weather the storm than ln earller tlmes of economlc
turbulence.
'The current structural condltlons are lncomparably more
favourable than those ln prevlous decades', stated vlottl
(2008) [ust before the onset of the global recesslon.
Although he was referrlng to the 8razlllan experlence, the
statement ls valld for most Latln Amerlcan countrles.
These condltlons were:
I several years of stablllty, both ln economlc terms and ln
the democratlc process,
I an expandlng domestlc market as a result of stablllty
and recent soclal pollcles,
I energy demand that ls under control ln most Latln
Amerlcan countrles. Such ls the case of 8ollvla wlth lts
large gas reserves, of Lcuador, wlth lts new oll reserves,
and of 8razll, thanks to both the recent dlscovery of oll
flelds and ethanol. 8razll has become a leader ln
technology related to the productlon and use of
ethanol ln combustlon englnes, a technology that also
contrlbutes to reduclng greenhouse gas emlsslons,
I a reglon that appears to be well-placed to beneflt from
growlng global demand for commodltles, partlcularly
food, and from the resultlng lncrease ln the prlce of
commodltles.
Several Latln Amerlcan countrles have selzed thls
opportunlty to lmplement an array of pollcles to foster
lnnovatlon and lay the groundwork for a new generatlon
of development pollcles. Thls ls partlcularly true of 8razll,
Chlle, Argentlna and Mexlco, as well as smaller countrles
such as Colombla, Costa Plca and Panama.
|||SO S|||| |||O| 2010
98
However, blg hurdles remaln. The global economlc
recesslon has generated an employment crlsls that
threatens to exacerbate poverty ln the reglon. There ls a
predomlnant tenslon ln the labour world between the
demand for better wages and the demand for malntalnlng
[obs, wlth each lmplnglng on the other. The soclal crlsls
remalns acute ln the reglon. The |nternatlonal Monetary
Pund estlmates that poverty wlll grow by l5% ln 2009.
|n thls context, countrles urgently need to expand thelr
pollcles for soclal development, lncluslon and cltlzenshlp.
|nstltutlons responsable for S&T pollcy have a role to play
ln thls regard.
Some authors conslder that 8razll has progressed over the
past decade towards a more adequate lnstltutlonal
structure for fosterlng lnnovatlon, havlng drawn on the
experlences of others (Arruda et ol., 2006). |n thelr oplnlon,
8razll now possesses a broad set of lnstruments slmllar to
those avallable ln developed countrles. They admlt,
however, that there ls room for lmprovement as far as the
country's legal framework ls concerned, as gaps remaln.
|t ls true that 8razll has a panoply of new lnstruments
lnsplred by lnternatlonal practlces at lts dlsposal, not to
mentlon vast resources for supportlng lnnovatlon and
buslness P&D.
Most Latln Amerlcan countrles have gone down a slmllar
path. As we have seen earller, there are now about
30 dlfferent types of S&T pollcy lnstruments ln the reglon.
These lnstruments cover the full spectrum, ranglng from
support for baslc research accordlng to crlterla for
excellence to encouraglng entrepreneurlal lnnovatlon
(Lmlllozzl, 2009, Lemarchand, 2009). However, most of
these sophlstlcated lnstruments wlll not sufflce ln and of
themselves to lnverse trends overnlght. Desplte all the
advances ln conceptual frameworks and the dlverslflcatlon
of lnstruments, the constltutlon of natlonal lnnovatlon
systems remalns lnclplent ln every country of the reglon.
P&D and lnnovatlon pollcles were lnltlally deslgned
accordlng to the sclence-push model, to later be dubbed
the llnear model. Thls model stlll predomlnates ln Latln
Amerlca, ln splte of the aforementloned attempts by the
most advanced countrles ln the reglon to lnstlgate
demand-pull and lnnovatlon pollcles. |n the mld-l990s,
8ell (l995) descrlbed thls feature as the survlval of
conceptual frameworks datlng from the l960s to address
the challenges of the l990s. Today, thls phenomenon
perslsts even ln those countrles that tend to be the most
|.t|r Ano.|c.
99
L
a
t
l
n

A
m
e
r
l
c
a
advanced for the adoptlon of lnnovatlon pollcles, such as
8razll or Chlle. vlottl (2008) admlts that, even ln hls own
country, 8razll, the old culture stlll prevalls, desplte the
new set of pollcy lnstruments. Consequently, buslnesses
are reduced to playlng the role of users or consumers of
the knowledge produced by P&D lnstltutlons, even lf thls
knowledge was created wlth no regard for the actual
needs of users.
|t ls the academlc sector whlch ls the most dynamlc actor ln
creatlng lnnovatlon systems ln Latln Amerlca. Lven the
deslgn of promotlonal pollcles for fosterlng lnnovatlon ln
the productlve sector ls the work of academlcs. Llttle
progress has been made towards flxlng an agenda for new
lndustrlal and technologlcal pollcles. As a result, most Latln
Amerlcan countrles share the common feature that local
knowledge ls underutlllzed by productlve sectors that have
llttle demand for lt, resultlng ln a lack of artlculatlon
between the lnnovatlon process and academlc knowledge.
|ndeed, ln many cases, both sectors remaln ln lgnorance of
one other and are even reluctant to engage ln [olnt actlvltles
of potentlal mutual beneflt. The reglon demonstrates a
paradox ln that countrles possess an acceptable sclentlflc
sector ln varlous dlsclpllnary flelds whlch produces valuable
knowledge that ls potentlally appllcable to the productlve
sector, yet thelr economles demand very llttle local
knowledge and are scarcely lnnovatlve. Thls ls poles apart
from what happens ln other reglons. |t ls even contrary to
the path followed by Aslan countrles, whose economles
have beneflted from approprlatlng knowledge produced
elsewhere to compensate for the lack of a well-developed
academlc sector of thelr own.
|n addltlon to the lack of llnkages between actors of the
lnnovatlon system, wlth the exceptlon of a handful of
sectoral clusters, the lnstltutlonal structure ls precarlous ln
Latln Amerlca. |n some cases, there are heavy, lnefflclent
bureaucracles. |n 8razll, for lnstance, dutles related to
publlc pollcy management for lndustrlal development
and S&T have been delegated to non-governmental
organlzatlons, these have a complex lnstltutlonal
structure and lack the polltlcal, technlcal and operatlonal
capaclty to exerclse such dutles effectlvely.
|n concluslon, some of the problem areas of S&T pollcy
plnpolnted ln reports are the followlng:
I There are dlfflcultles ln lntegratlng and lmplementlng
the exlstlng pollcy lnstruments.
I There ls lnadequate co-ordlnatlon, not only as far as
the lnstruments themselves are concerned but also on
the part of the lnstltutlons responsable for
lmplementlng them.
I The allocatlon of resources ls fragmented and thus
lncapable of fosterlng crltlcal changes ln the
lnnovatlon process.
I |nvestment ln P&D remalns very low. Lven ln those
flelds whlch demand advanced knowledge and skllls,
such as blotechnology and nanotechnology, greater
resources are needed to achleve a crltlcal mass.
I |n a reglon wlth perslstent soclal problems where much
of the populatlon ls deprlved of baslc soclal beneflts, lt
ls often dlfflcult to establlsh tles between S&T pollcles,
on the one hand, and soclal pollcles, on the other. Por
lnstance, health-related P&D ls often separated from
general research pollcles. Moreover, there are
conceptual dlfflcultles ln llnklng P&D pollcles wlth
soclal lncluslon pollcles.
I The problem of tralnlng and retalnlng a crltlcal mass of
hlghly skllled personnel ls a growlng concern for
governments ln the reglon. |n order to address thls
lssue, some governments have lmplemented pollcles
to modernlze the unlverslty system, comblned wlth
measures to staunch braln draln and take advantage of
the human sclentlflc capltal scattered around the world.
||||||||S
ANPCT (2009) 8losclence and 8lotechnology for the
Promotlon of Agrlculture and Pood Productlon.
workshop Argentlna-1apan, 8uenos Alres, August.
Avallable at: www.[st.go.[p/slcp/ws2009_argentlna/
presentatlon/dayl_0l.pdf
Arruda, M., P. vermulm and S. Holanda (2006) lnovooo
7ecnol|co no 8tos|l, o lnJstt|o em 8usco Jo
Comet|t|v|JoJe Cloool. Sao Paulo, Assoclaao
Naclonal de Pesqulsa.
8ell, M. (l995) Lnfoques sobre politlca de clencla y
tecnologia en los anos 90: vle[os modelos y nuevas
experlenclas. keJes, N 5.
Casamerlca (20l0) PM| anuncla fln de la crlsls. Amerlca
Latlna encabezara recuperaclon en 20l0. Cosomet|co
Spaln. Avallable at: www.casamerlca.es/oplnlon-y-
anallsls-de-prensa/
LCLAC (2008) 5ttuctutol Chone onJ PtoJuct|v|ty Ctowth,
20 eots lotet. OlJ Ptoolems, new Oottun|t|es.
Co-ordlnated by 1ose Luls Machlnea. Unlted Natlons
Lconomlc Commlsslon for Latln Amerlca and the
Carlbbean. Santlago de Chlle.
(2007) 5oc|ol Ponotomo ol lot|n Amet|co. Unlted
Natlons Lconomlc Commlsslon for Latln Amerlca and
the Carlbbean. Santlago de Chlle.
Lmlllozzl, S. (2009) Anl|s|s y Consttucc|n Je VoJelos
|ntettetot|vos Je ollt|cos en C|enc|o, 7ecnololo e
lnnovoc|n Je los Polses Je Amet|co lot|no y el Cot|oe.
|nterAmerlcan Development 8ank and Centro PLDLS
Pro[ect n PG-Tl287: Portaleclmlento del slstema de
lnformaclon sobre la red |nteramerlcana de clencla,
tecnologia e lnnovaclon.
Lstebanez, M. L. (2007) Genero e lnvestlgaclon clentiflca en
las unlversldades latlnoamerlcanas lJucoc|n 5uet|ot y
5oc|eJoJ, vol.l, No. l2, pp. 8l-l05.
PAO, GLP, UNDP, UNLP, UNLSCO, world 8ank, wHO (2008)
lntetnot|onol Assessment ol At|cultutol 5c|ence onJ
7echnoloy. Pood and Agrlculture Organlzatlon, Global
Lnvlronment Paclllty, Unlted Natlons Development
Programme, Unlted Natlons Lnvlronment Programme,
UNLSCO, world 8ank, world Health Organlzatlon.
Avallable at: www.agassessment.org
Glbbons, M. (l997) lo Nuevo PtoJucc|n Je Conoc|m|ento.
Pomares Corredor, 8arcelona, Spaln.
Halty Carrere, M. (l986) lsttote|os Je 0esottollo
7ecnol|co oto Polses en 0esottollo.
Ll Coleglo de Mexlco, Mexlco DP.
Herrera, A. (l995) Los determlnantes soclales de la politlca
clentiflca en Amerlca Latlna. Pedes, kev|sto Je lstuJ|os
5oc|oles Je lo C|enc|o, vol. 2, N 5, pp. ll7-l3l.
|LO (2007) 7tooojo 0ecente y 1uventuJ. |nternatlonal
Labour Organlzatlon, Peglonal Offlce for Latln Amerlca
and the Carlbbean. Avallable at:
http://whlte.olt.org.pe/
td[/lnformes/pdfs/td[_lnforme_reg.pdf
1acobsohn, G. and Lopez, N. (2008) ll Co|tol lmtenJeJot
en Atent|no. Argentlnlan Observatory of venture
Capltal, Sclence and Technology ventures |nstltute
(|LCT). A summary ln Lngllsh ls avallable at:
www.lnfodev.org/en/Artlcle.3l7.html
lemotchonJ, C. (2009) 0esottollo Je un lnsttumento oto el
kelevom|ento y lo J|lus|n Je Pollt|cos en C|enc|o,
7ecnololo e lnnovoc|n en olses Je Amet|co lot|no y
Jel Cot|oe. |nterAmerlcan Development 8ank and
Centro PLDLS Pro[ect n PG-Tl287: Portaleclmlento
del slstema de lnformaclon sobre la red
|nteramerlcana de clencla, tecnologia e lnnovaclon.
Luchllo, L. (2007) Mlgraclones de clentiflcos e lngenleros
latlnoamerlcanos: fuga de cerebros, exlllo y
globallzaclon, ln 1. Sebastlan (ed.) Cloves Jel Jesottollo
c|entll|co y tecnol|co Je Amet|co lot|no. Slglo XX| de
Lspana Ldltores, Madrld. pp. 37-80.
Lundvall, 8. (l992) User-producer relatlonshlps, natlonal
systems of lnnovatlon and lnternatlonallsatlon, ln
8. Lundvall (ed.) Not|onol 5ystems ol lnnovot|on.
7owotJs o 7heoty ol lnnovot|on onJ lntetoct|ve leotn|n.
Plnter Publlshers, London.
Martinez Plzarro, 1. (2005) Cloool|zoJos, eto kestt|n|Jos.
uno v|s|n lot|noomet|cono Jel VetcoJo Cloool Je
kecutsos lumonos col. Latln Amerlcan and Carlbbean
Demographlc Centre (CLLADL), Populatlon Dlvlslon,
Santlago de Chlle.
P|CT (2009) ll lstoJo Je lo C|enc|o. Ped |beroamerlcana
de |ndlcadores de Clencla y Tecnologia, 8uenos Alres.
Sabato, 1. and 8otana, N. (l968) La clencla y la tecnologia
en el desarrollo futuro de Amerlca Latlna kev|sto Je
lntetoc|n, Ano l, N 3.
Schumpeter, 1. (l983) Co|tol|smo, 5oc|ol|smo y
0emoctoc|o. Agullar, Madrld.
UNLSCO (20l0) 5|stemos Noc|onoles Je C|enc|o, 7ecnololo e
lnnovoc|n en Amet|co lot|no y el Cot|oe. Sclence Pollcy
Studles and Documents ln Latln Amerlca and the
Carlbbean, vol. l. Peglonal 8ureau for Sclence ln Latln
Amerlca and the Carlbbean, Montevldeo. Avallable at:
www.unesco.org.uy
vlottl, L. (2008) 8rasll: De politlca de C&T para politlca de
lnovaao! Lvoluao e desaflos das politlcas brasllelras
de clencla, tecnologla e lnovaao, ln L. velho and M. de
Souza-Paula (eds) Avol|ooo Je ollt|cos Je c|nc|o,
tecnolo|o e |novooo: J|loo entte exet|nc|os
|ntetnoc|ono|s e otos|le|tos. Centto Je Cestoo e lstuJos
lsttote|cos. 8rasllla, pp. l37-l73.
|||SO S|||| |||O| 2010
l00
|.t|r Ano.|c.
l0l
Mario Albornoz was born ln l944. Hls fleld of
expertlse relates to sclence, technology and hlgher
educatlon pollcles. He ls a professor of phllosophy and
senlor researcher at the Natlonal Pesearch Councll of
Argentlna. Por polltlcal reasons, he had to move to
Spaln between l984 and l996, where he worked for
the Offlce of Studles at the Spanlsh Natlonal Pesearch
Councll. |n l985, he accepted the responslblllty of
supervlslng the reglonal research centres belonglng
to the Argentlne Natlonal Pesearch Councll for
Sclence and Technology (CON|CLT) and, between
l986 and l994, held the posltlon of Secretary for
Sclence and Technology at the Unlverslty of 8uenos
Alres. He was Head of the Centre for Studles on
Sclence, Development and Hlgher Lducatlon (Centro
PLDLS) ln 8uenos Alres from the tlme of lts creatlon ln
2002 untll 2007 and remalns a member.
Currently, he ls Dlrector of the Master's Programme
on Management of Sclence, Technology and
|nnovatlon, establlshed [olntly by the Natlonal
Unlverslty of General Sarmlento, the |nstltute for
Lconomlc and Soclal Studles (|DLS) and Centro
PLDLS. He also co-ordlnates the |bero-Amerlcan
Observatory of Sclence, Technology and Soclety
belonglng to the Organlzatlon of |bero-Amerlcan
States. |n tandem, he has co-ordlnated the |bero-
Amerlcan Network of Sclence and Technology
|ndlcators (P|CT) slnce l995.
L
a
t
l
n

A
m
e
r
l
c
a
Mariano de Matos Macedo was born ln l953 and
holds a PhD ln Lconomlcs from the |nstltute of
Lconomlcs at the State Unlverslty of Camplnas ln
8razll. Slnce l980, he has been a professor at the
Pederal Unlverslty of Parana State and researcher at
the |nstltute of Soclal and Lconomlc Development
(|PAPDLS) ln the same state. Prom l99l to l994, he
was Presldent of |PAPDLS.
Dlrector of Soclal Pollcles at the 8razlllan |nstltute of
Applled Lconomlc Pesearch from l996 to l999, he
then worked for the Pederal Mlnlstry of Plannlng and
the 8udget. Prom 2003 to 2008, he was Presldent of
the Technology |nstltute of Parana State. Together
wlth Lduard vlottl, he ls the author of lnJ|cotots ol
5c|ence onJ 7echnoloy |n 8toz|l, publlshed by
Unlcamp Ldltora ln 2003.
He ls currently a member of the Permanent
Commlsslon on |ndlcators of Sclence and Technology,
whlch has been created to advlse the Mlnlstry of
Sclence and Technology on lssues related to
development and the lmprovement of lndlcators, as
well as the methodology and mechanlsms of
collectlon, analysls and dlsclosure of natlonal data on
sclence and technology. He ls also responslble for a
revlew currently belng undertaken by the Centre of
Strateglc Studles and Management under the
Mlnlstry of Sclence and Technology for an Analysls of
the Process of Decentrallzatlon of Sclence and
Technology ln 8razll.
Claudio Alfaraz was born ln l975. A graduate ln
soclal communlcatlon, he ls currently a PhD student
ln soclal sclences at the Natlonal Unlverslty of
Qullmes ln Argentlna. He ls on the staff of the |bero-
Amerlcan Network of Sclence and Technology
|ndlcators (P|CT) and works as a [unlor researcher at
the Centre for Studles on Sclence, Development and
Hlgher Lducatlon (Centro PLDLS). He ls also edltorlal
secretary of the kev|sto loetoomet|cono Je C|enc|o,
7ecnololo y 5oc|eJoJ.
\|bS||S
Andres 8ello Agreement: www.convenloandresbello.lnfo/
8lotecsur: www.blotecsur.org/acerca-de-blotecsur
Centre for Studles on Sclence, Development and Hlgher
Lducatlon: www.centroredes.org.ar/
|beroamerlcan Network on Sclence and Technology
|ndlcators: www.rlcyt.org
Sclence Pollcy |nformatlon Network: http://spln.unesco.org.uy
lnJustt|ol k80 st|ll sullets ltom o locl
ol ovetnment suott, even thouh
the s|tuot|on hos |mtoveJ toJ|colly
ovet the ost e|ht yeots.
Carlos Henrlque de 8rlto Cruz and Hernan Chalmovlch
Brazil Layout [8] [P3]:Layout 1 18/10/10 18:16 Page 102
l03
8
r
a
z
l
l
|||O|||O|
8razll ls the largest and most populous country ln Latln
Amerlca, wlth an estlmated l90 mllllon lnhabltants.
|t ls also the nlnth-largest country ln the world ln terms
of purchaslng power and an emerglng economy on the
world scene. |f the global economlc recesslon trlggered
by the subprlme crlsls ln the USA ln 2008 slowed down
buslness spendlng on research and development (P&D)
somewhat ln 2009, there was no notlceable decrease ln
the government sector. The lmpact of the global
economlc recesslon seems to be already over ln 8razll,
wlth the economy expected to grow by 7% ln 20l0.
Pederal and state government scal revenues are up
agaln, as ls P&D expendlture.
Llke other Latln Amerlcan countrles, 8razll en[oyed strong
economlc growth between 2002 and 2008, thanks largely
to a favourable global commodltles market. The electlon
of a new presldent, Lulz |naclo Lula da Sllva (known as
Lula), slowed the momentum somewhat durlng the
federal government's transltlon perlod ln 2003 but, after
2004, the 8razlllan economy embarked on what seems to
be a sustalnable path of economlc growth, wlth rates
averaglng 4.7% per year. |n parallel, both the buslness
sector and the federal and state governments began
lncreaslng P&D expendlture. Thls dld not renect a change
ln prlorltles on the part of the federal government,
however, as wltnessed by the constant ratlo between P&D
expendlture and federal scal revenue between 200l and
2008 (2.l%). 8etween 2002 and 2008, the lntenslty of
gross domestlc expendlture on P&D (GLPD) lncreased by
[ust l0%, from 0.98% to l.09% of GDP. Over the same
perlod, GDP grew by as much as 27%, from P$ 2.4 trllllon
to P$ 3.0 trllllon
l
. |n other words, 8razll's P&D lntenslty
progressed more slowly than the economy as a whole.
Presldent Lula promlsed to ralse the GLPD/GDP ratlo to
2.0% by the end of hls rst mandate ln 2006 when he
preslded the rst meetlng of the Sclence and Technology
Councll ln 2003 and ln hls message to Congress the same
year. |n 2007, when P&D expendlture stood at l.07% of
GDP, the federal government announced plans to ralse the
GLPD/GDP ratlo to l.5% by 20l0. Thls target features ln
the Plon ol Act|on |n 5c|ence, 7echnoloy onJ lnnovot|on lot
8toz|l|on 0eveloment, adopted ln 2007.
Thanks to sustalned economlc growth ln recent years, the
US$ 23 bllllon
2
spent on P&D ln 2008 compares well wlth
lnvestment levels ln Spaln (US$20 bllllon) and |taly
(US$ 22 bllllon) ln absolute value. we shall see later, however,
that 8razll nevertheless lags behlnd both countrles when lt
comes to translatlng P&D lnvestment lnto results.
One lmportant feature of GLPD ln 8razll ls that the publlc
sector shoulders most of the burden (55%), a
phenomenon common to almost all developlng countrles.
Approxlmately three-quarters of sclentlsts contlnue to
work ln the academlc sector. 8razlllan sclentlsts publlshed
26 482 sclentlc artlcles ln [ournals lndexed ln Thomson
Peuter's Sclence Cltatlon |ndex ln 2008, maklng the
country the l3
th
largest producer of sclence ln the world.
More than 90% of these artlcles were generated by publlc
unlversltles.
The buslness sector ls also dynamlc, however, and ln
recent years has developed some world-class lndustrles.
8razll ls self-sumclent ln oll and can boast of havlng
developed the world's most emclent systems for growlng
soybean and produclng ethanol from sugarcane. |t
manufactures competltlve commuter [et planes and the
world's best nex-fuel cars. The buslness sector has also
developed a natlonal system of electronlc votlng that ls
capable of totallzlng more than l00 mllllon votes on
electlon day. Desplte these achlevements, the 8razlllan
buslness sector reglstered only l03 patents at the Unlted
States Patents and Trademark Omce (USPTO) ln 2009.
we shall see why ln the followlng pages.
Although buslness leaders have long recognlzed the
lmportance of creatlng knowledge to drlve
competltlveness, lt ls only ln the past ten years that
enectlve pollcles have been put ln place to foster
lndustrlal and servlce-sector P&D. |t was ln l999, after a
long perlod durlng whlch the focus was almost excluslvely
on academlc research, that 8razlllan sclence and
technology (S&T) pollcy started lncludlng buslness P&D as
a progresslvely relevant target not only for the use of
knowledge but also for lts creatlon. Thls was followed by a
serles of mllestones, beglnnlng wlth the creatlon of the
rst sectoral funds ln l999 then the valldatlon of the
entlre strategy ln 200l by the Second Natlonal Conference
on Sclence, Technology and |nnovatlon and culmlnatlng
5
.
8razll
..|cs |or.|,Jo Jo b.|tc .J. .rJ |o.r.r |.|ncv|c|
l. |n constant 8razlllan reals (P$) for 2008 ln the present chapter.
2. All dollar amounts ln the present chapter are ln purchaslng power parlty
dollars.
|mage taken by
the C8LPS-2
satelllte on
l0 Aprll 2005
showlng
Plorlanopolls, the
capltal of the State
of Santa Catarlna
ln southern 8razll.
vlslble ls the
contlnental part of
the clty, the lsland
of Santa Catarlna
and a few small
surroundlng
lslands.
Photo: C8lk5/lNPl
|||SO S|||| |||O| 2010
l04
ln the |nnovatlon 8lll prepared for Parllament ln 2002 and
approved ln 2004. |n 2003, there was an lmportant
development wlth the announcement of the natlonal
|nnovatlon, Technology and Trade Pollcy (P|TCL). P|TCL
connected lnnovatlon pollcy to the ob[ectlves for exports
and establlshed prlorlty areas for government actlon,
namely: semlconductors and mlcroelectronlcs, software,
capltal goods, pharmaceutlcals and medlcatlon,
blotechnology, nanotechnology, and blomass. Pour years
later, the federal government announced lts Plon ol Act|on
|n 5c|ence, 7echnoloy onJ lnnovot|on lot 8toz|l|on
0eveloment to 20l0.
The boomlng economy has been conduclve to buslness
lnvestment ln P&D. However, desplte a much more clement
envlronment for P&D slnce 2004, some barrlers remaln ln
place. These lnclude the dlmcult access to capltal owlng to
hlgh lnterest rates, poor loglstlcs whlch hamper exports
and an lnadequate educatlon system whlch penallzes not
only soclal development but also the avallablllty of
qualled workers for almost all posltlons, especlally those
related to englneerlng.
8razll's S&T capaclty has come a long way, however, slnce
the Natlonal Pesearch Councll (CNPq) and a second federal
agency, Co-ordlnatlon for Tralnlng Hlgher Lducatlon
Personnel (CAPLS), were set up ln the l950s, followed by
the Sao Paulo Pesearch Poundatlon (PAPLSP) ln l962.
The early l960s also saw the State of Sao Paulo make the
landmark declslon to step up academlc research by
creatlng the Pull-tlme Peglme for faculty to glve professors
ample tlme to do research. Sclentlc endeavour ls less than
a century old ln 8razll. Lven today, development tends to be
concentrated ln the country's south and southeast reglons,
home to the seven maln unlversltles, those of Sao Paulo
(USP), Camplnas (Unlcamp), the State of Sao Paulo (UNLSP),
Mlnas Gerals (UPMG), Plo Grande do Sul (UPPGS), Plo de
1anelro (UPP1) and the Pederal Unlverslty of Sao Paulo, all
[ust half a century old.
8razll thus faces three ma[or challenges. l|tstly, lt needs to
lntenslfy buslness P&D, ln order to drlve lnnovatlon and
competltlvlty. Thls requlres creatlng an envlronment
conduclve to buslness P&D, lncludlng by encouraglng
greater lnteractlon between the publlc and buslness
research communltles. 5econJly, lt needs to develop and
lnternatlonallze lts best unlversltles to turn them lnto
world-class centres of excellence. 7h|tJly, lt needs to spread
sclentlc excellence beyond Sao Paulo, Plo de 1anelro and
other ma[or urban centres to less prlvlleged reglons, such
as the Amazon and the Northeast.
|n the followlng pages, we shall analyse the shlft ln
government S&T pollcy slnce l999 from a quasl-excluslve
orlentatlon towards academlc research to a pollcy of
strengthenlng the role of buslness P&D. we shall descrlbe
the lnstltutlons that make up 8razll's lnnovatlon system, lts
demographlcs and lnvestment pattern, heavlly welghted
towards the publlc sector. we shall then analyse 8razll's
sclentlc productlvlty ln terms of publlcatlons, patents,
products and trade balance before concludlng wlth a
study of recent trends ln lnternatlonal collaboratlon,
lncludlng the emergence of new partners. we shall leave
for last the dlscusslon of the current pollcy envlronment,
as most of the enects of the Plon ol Act|on |n 5c|ence,
7echnoloy onJ lnnovot|on lot 8toz|l|on 0eveloment are
yet to be renected ln the data.
GERD/GDP
ratio (%)
2008 PPP
US$ billions
0.0
0.2
0.4
0.6
0.8
l.0
l.2
2000 2001 2002 2003 2004 2005 2006 2007 2008
Private expenditure on R&D
Public expenditure on R&D
GERD 2008 PPP US$ billions
0.47
0.47
0.46
0.44
0.42
0.49
0.50
0.50
0.50
0.55
0.57
0.53
0.52
0.48 0.48
0.50
0.57
0.59
0
20
l0
30
17.9
23.0
22.4
19.4
15.5
17.3
18.3
15.8
17.4
Figure 1: Trends ln GLPD ln 8razll, 2000-2008
Note: Prlvate P&D lncludes prlvate non-proflt P&D, such as the share
spent on research by prlvate unlversltles (0.02% of GLPD).
5outce: Mlnlstry of Sclence and Technology, S&T |ndlcators, 1une 20l0
Brazil
105
B
r
a
z
i
l
R&D INPUT
Between 2000 and 2008, GERD in Brasil grew, in constant
2008 values, by 28% from R$ 25.5 billion to R$ 32.8 billion.
The GERD/GDP ratio progressed more modestly,
from 1.02 to 1.09% of GDP (Figure 1).
Public R&D expenditure increased for almost every socio-
economic objective between 2000 and 2008 (Figure 2). The
exceptions were defence, energy, space and the exploration
of Earth and the atmosphere. However, even some of those
sectors which beneted from a monetary increase saw their
priority status diminish over this period. This was notably
the case of agriculture, which represented 12% of the total
public budget in 2000 but just 10% eight years later, a drop
of 17%. Energy also saw its share whittled down by 41%,
Table 1: GERD in Brazil by source of funds, 2008
In PPP US$ millions
Federal State Private Total %
Higher education 3 535.7 2529.2 497.6 6 562.5 29
Institutes and agencies 4 942.7 1 413.0 6 355.6 28
Business 155.0 9 946.3 10 101.3 44
Total 8 633.3 3 942.2 10 443.9 23 019.4 100
Share of total (%) 38 17 45 100
Source: Ministry of Science and Technology, S&T Indicators, June 2010
Figure 2: Government expenditure on R&D by socio-economic objective, 2000 and 2008 (%)
Source: Ministry of Science and Technology, S&T Indicators, June 2010
2000
Total: PPP US$ 7.3745 billion
2008
Total: PPP US$ 12.4205 billion
1.1 0.1
Social development & services
6.0 6.3
Health
0.8 0.0
Non-specied
10.1 12.1
Agriculture
0.7 0.6
Environmental protection & control
0.6 1.6
Defence
6.4 1.8
Industrial technology
1.1 2.1
Energy
0.8 2.3
Space (civilian)
0.3 0.9
Earth & atmosphere exploration
2.9 0.4
Infrastructure
58.1 60.4 Higher education research
11.0 11.5
Non-oriented research
from 2% to 1% of the total budget. Although social
development and services received a boost, this remained a
fairly low R&D priority in 2008. Greater priority was also
accorded in 2008 to infrastructure. In the case of industrial
technology, the observed increase is in line with the stated
objectives of S&T policies adopted since 1999, including the
Plan of Action in Science, Technology and Innovation for
Brazilian Development (20072010) discussed on page 118.
However, the statistics for energy and space are at odds with
the declared priorities of the Plan. The lower priority
accorded agriculture should be especially troubling,
considering the economic relevance of this sector for Brazil.
Public R&D expenditure is mostly directed towards
academic R&D in Brazil, where it funds graduate
school-related research and public research institutions to
a large extent (Table 1).
Brazil Layout [1] [Ed2]:Layout 1 25/11/10 10:43 Page 105
|||SO S|||| |||O| 2010
l06
At l.09% of GDP (2008), 8razll's P&D lntenslty exceeds
Latln Amerlcan standards but lags well behlnd the
average (2.28%) for the Organlsatlon for Lconomlc
Co-operatlon and Development (OLCD) and Luropean
Unlon (l.77%). |n 2008, 55% of GLPD was provlded by the
publlc sector, elther through dlrect government
spendlng or through expendlture on hlgher educatlon.
Thls puts the level of publlc lnvestment ln P&D at 0.59%
of GDP. Some 45% of GLPD thus comes from the prlvate
sector, a share that has remalned stable over the past
decade, compared to 69% for OLCD countrles and 65%
for the Luropean Unlon (Plgure 3).
The dlnerence ln the share of GLPD contrlbuted by the
buslness sector ln 8razll and OLCD countrles ls strlklng.
whereas non-buslness P&D expendlture ln 8razll
(0.59% of GDP) ls only l5% less lntense than the average
for OLCD countrles, the 8razlllan share of buslness P&D
expendlture (0.48% of GDP) amounts to [ust 32% of the
OLCD average. Thls gap exposes one of the maln
challenges for the 8razlllan natlonal lnnovatlon system:
creatlng the requlslte condltlons for the share of buslness
P&D expendlture to lncrease by a factor of at least three
to reach an lntenslty comparable to the OLCD average
and thereby malntaln an adequate level of technlcal
competltlveness for lndustry.
7he crenrien eI secrernl IunJs
The most lmportant lnnovatlon ln federal P&D fundlng ln
8razll ln the past 20 years has been the creatlon of the so-
called sectoral funds, enacted by law durlng 2000-2002
(|nterAcademy Councll, 2006, p.79). These sectoral funds
lntroduced targets for government-selected P&D pro[ects
of benet to lndustry and cut back taxatlon to a fractlon
of the revenue of certaln lndustrles earmarked for
prlvatlzatlon over thls perlod.
The concept of sectoral funds sprang from the
recognltlon that many of the state-owned companles
due to be prlvatlzed were strong ln P&D, mostly ln the
elds of telecommunlcatlons and energy, and that these
actlvltles deserved not only to be protected but also
lntensled. The sectoral fund model was created for
Ponaldo Sardenberg, Mlnlster of Sclence and Technology
at the tlme, by the mlnlstry's Lxecutlve Secretary, Carlos
Pacheco. The sectoral funds would turn out to be a great
success. Pather than creatlng any new tax, they redlrected
exlstlng taxatlon and related contrlbutlons whlch were
already part of the country's prlvatlzatlon strategy.
Mexico
Argentina
Greece
Chile
India
Turkey
South Africa
Russia
Brazil
Italy
Spain
China
Portugal
Canada
UK
France
Australia
OECD average
Germany
USA
EU average
Non-business
expenditure on R&D
Business
expenditure on R&D
(%)
0.0 0.5 l.0 l.5 2.0 2.5 3.0
0.50
0.65 0.38
0.53 0.39
0.59
0.60 0.58
0.74 0.61
1.04 0.40
0.76 0.76
1.15 0.62
1.00 0.84
1.21 0.7
1.27 0.75
1.20 0.86
1.58 0.69
1.83 0.70
2.01 0.76
0.42 0.30
0.14 / 0.57
0.31 / 0.36
0.16 / 0.42
0.15/ 0.35
0.18 / 0.20
Figure 3: GLPD/GDP ratlo ln 8razll, 2008 (%)
5outce: Mlnlstry of Sclence and Technology S&T |ndlcators accessed
1une 20l0
b...||
l07
8
r
a
z
l
l
Lach fund has a steerlng commlttee composed of
members from academla, government and lndustry. Thls
commlttee makes all declslons regardlng expendlture,
usually keeplng a portfollo of pro[ects that are expected to
blend research proposals ln the baslc and applled sclences.
|t also oversees lnvestment to make sure the funds are
spent on pro[ects related to the respectlve lndustry.
The sectoral funds ln[ected new money lnto P&D fundlng ln
8razll, even though the federal government contlnued to
conscate a fractlon of the lndustrlal revenue due to the
funds ln order to meet and exceed lts scal surplus target.
After thls practlce ceased ln 2008, the Natlonal Pund for
Sclentlc and Technologlcal Development (PNDCT) reached
an all-tlme hlgh the same year, wlth expendlture tlpplng
PPP US$ l.4 bllllon. Plgure 4 shows the steep rlse ln PNDCT
expendlture after the creatlon of the rst Sectoral Pund for
Oll and Natural Gas ln l999 and another l3 sectoral funds ln
the next three years.
5rnre-level R& exenJirure
A substantlal sllce of government P&D fundlng comes
from state governments, vla foundatlons they fund,
mlsslon-orlented, state-owned lnstltutes and state-owned
Table 2: 8razlllan state lndustrles targeted by sectoral
funds, l999-2002
CT-Aero Aeronautlcs
CT-Agro Agrlbuslness Sectoral Pund
CT-Amaznla Amazon
CT-Aquavlarlo waterways and Naval |ndustry
CT-8lotec 8lotechnology
CT-Lnerg Lnergy
CT-Lspaclal Space
CT-Hldro Hydroresources
CT-|nfo |nformatlon Technology
CT-|nfra P&D |nfrastructure
CT-Mlneral Mlnlng
CT-Petro Oll and Natural Gas
CT-Saude Health
CT-Transpo Ground Transportatlon
CT-PvA Green-ellow Pund (lndustry-
unlverslty cooperatlon)
|n recognltlon of the heterogenelty of 8razll and lts P&D
system, the leglslatlon passed between l999 and 2002
specled that no less than 30% of the value of each
sectoral fund was to be used to develop those reglons
wlth weaker P&D actlvltles, namely the North, Northeast
and Central west of 8razll.
The rst sectoral fund was that created for oll and natural
gas ln l999 (Table 2). Thlrteen others followed over the
next three years. Two of these l5 sectoral funds are
unrelated to speclc lndustrles, namely:
I the P&D |nfrastructure Pund ls nanced by a 20%
contrlbutlon from each of the other funds and focuses
on developlng academlc P&D lnfrastructure,
I the Green-ellow Pund - a reference to the natlonal
colours of 8razll - ls funded vla 33% of the taxes pald
by corporatlons that send funds abroad for technlcal
asslstance, royaltles and speclallzed technlcal and
professlonal servlces, plus (nomlnally) 43% of the
recovered taxes from a progresslvely decreaslng tax
exemptlon awarded to the lnformatlon technology (|T)
lndustry to foster lts development.
5outce: 8razlllan |nnovatlon Agency:
www.flnep.gov.br/fundos_setorlals/fundos_setorlals_lnl.asp
0
300
600
900
l 200
l 500
l994 l997 2000 2003 2006 2009
479.l
l 437.0
l 368.0
P
P
P

(
U
S
$

m
i
l
l
i
o
n
s
)
Figure 4: Lvolutlon ln 8razlllan Natlonal Pund for
Sclentlflc and Technologlcal Development (PNDCT),
l994-2009
5outce: Mlnlstry of Sclence and Technology, for the converslon of
monetary amounts to PPP $US: Melo, L.M. (2009) kev|sto 8tos|le|to Je
lnovooo 8 (l), pp. 87-l20
|||SO S|||| |||O| 2010
l08
lnstltutlons of hlgher educatlon. |n 2008, about 32% of
publlc P&D expendlture orlglnated from state funds.
Some states have strong P&D systems, the maln one
belng Sao Paulo where 64% of publlc P&D fundlng
comes from the state (Plgure 5).
The State of Sao Paulo generates 34% of 8razlllan GDP
and lt has a long tradltlon of supportlng hlgher
educatlon and research: the Unlverslty of Sao Paulo
dates from l934 and the Sao Paulo Pesearch
Poundatlon was wrltten lnto the State Constltutlon ln
l947. Of all the states ln 8razll, lt ls Sao Paulo whlch
recelves the most fundlng from federal agencles,
normally 30-35% of the total. Thls ls essentlally because
the state supports three world-class publlc unlversltles
whlch are among the 500 best ln the world, accordlng
to the |nstltute of Hlgher Lducatlon at Shanghal 1lao
Tong Unlverslty, as well as the state-funded Poundatlon
for the Support of Pesearch ln Sao Paulo (PAPLSP) whlch
has been operatlng slnce l962. The state government's
strong support makes Sao Paulo the second-blggest
spender on P&D ln Latln Amerlca. Thls underscores the
relevance of reglonal P&D fundlng ln a large federal
system llke that of 8razll.
8razil
State of
Sao Paulo
Mexico
Argentina
Chile
l 233
2 659
5 346
9 205
20 259
Figure 5: The 8razlllan State of Sao Paulo's
contrlbutlon to GLPD, 2007
ln PPP u55 o|ll|ons
5outce: for 8razll: PAPLSP (20l0) lnJ|coJotes Je C878l em 5P e 8tos|l
2010, for other countrles: P|CT database, 1une 20l0 3. |n 8razll, laws do not bear names, only numerlcal references that lnclude
the year of adoptlon.
A slzeable portlon of state lnvestment ln P&D comes
from state foundatlons whose mlsslon ls to support
research. These exlst ln almost all 8razlllan states.
8esldes PAPLSP, the maln ones are PAPLM|G ln Mlnas
Gerals, PAPLP1 ln Plo de 1anelro, PAPLPGS ln Plo Grande
do Sul, PACLPL ln Pernambuco, PAPLCL ln Ceara and
PAPLS8 ln 8ahla.
8usiness R& exenJirure
Of 95 30l companles polled ln the Technologlcal
|nnovatlon Survey (P|NTLC) conducted by the 8razlllan
|nstltute for Geography and Statlstlcs (|8GL) ln 2005, only
6 l68 reported havlng any type of P&D actlvltles, permanent
or otherwlse. The full sample corresponded to a total
revenue of US$l 097 bllllon. Of thls, total P&D expendlture
was reported of US$ 9 368 bllllon. The blggest spenders
were the motor vehlcle, trallers and seml-trallers lndustry
(l6% of total expendlture) and oll renlng, ethanol and
nuclear fuel (9 % of the total).
An lnterestlng feature of buslness spendlng on P&D relates
to the opportunltles for attractlng forelgn dlrect lnvestment.
|n 2006, US ma[orlty-owned corporatlons lnvested
US$ 57l mllllon ln P&D operatlons ln 8razll, l85% more than
ln 200l, accordlng to the US 8ureau of Lconomlc Analysls.
7nx incenrives Ier business R&
Pour federal laws provlde tax lncentlves for buslness P&D
(Table 3). Altogether, taxes walved ln 2008 corresponded to
US$ 3 643 bllllon, or 37% of buslness P&D expendlture.
Two other laws benet academlc lnstltutlons mostly.
These laws have establlshed an lmport tax walver for
sclentlc equlpment and materlals. The 2005 law on tax
lncentlves for buslness P&D (Law lll96/05)
3
ls consldered
by company representatlves as belng an lmprovement on
prevlous leglslatlon, slnce lt slmplles the formalltles
requlred to benet from these lncentlve measures.
Although the l99l law on tax lncentlves for lnformatlon
technology P&D (Law 8248/9l) ls used lntensely by rms
ln the |T sector, non-|T companles use Law lll96/05 to a
llmlted degree.
An lmportant crltlclsm by the buslness sector of thls
reglme of lncentlves and subsldles ls that there ls an
over-emphasls on the |T sector because of Law 8248/9l.
b...||
l09
8
r
a
z
l
l
Thls reglme ls comparable ln slze to that of OLCD
countrles but, ln polnt of fact, few sectors are entltled to
benet from lt. The dlmculty stems from the fact that the
|T lncentlve law ls actually an lnternal equallzatlon law to
compensate for non-P&D lncentlves onered to |T
companles to encourage them to locate ln Manaus, ln the
Amazon (|LD|, 20l0). Once the |T lncentlves are set aslde,
the lncentlves cum subsldles reglme corresponds to [ust
l3% of buslness expendlture on P&D.
|n addltlon to tax lncentlves, government purchaslng
power through procurement ls used ln many countrles
to foster lnnovatlon, especlally ln defense- and health-
related lndustrles. Thls type of support for lndustrlal P&D
ls stlll very llmlted ln 8razll even ln defense and health
spendlng. The law on lnnovatlon of 2004 lncludes
artlcles deslgned to foster more lntense use of
procurement. The government has come under
unrelentlng pressure from representatlves of lndustry to
adopt a more pro-actlve attltude ln lts procurement
pollcles (8ox l).
venrure cnirnl
The venture capltal lndustry has grown ln 8razll slnce the
economy stablllzed ln the mld-l990s. The Natlonal 8ank
for Lconomlc and Soclal Development (8NDLS) has been
actlve ln thls market slnce l995, whereas relevant
government lnltlatlves date back to l999. |n 2000, the
Mlnlstry of Sclence and Technology launched an lnltlatlve
called |novar, led by the 8razlllan |nnovatlon Agency
(P|NLP), a federal agency wlth some lnvestment bank-llke
attrlbutes. The market responded well to thls lnltlatlve
and several venture fora were subsequently organlzed to
present companles to potentlal lnvestors. |n 2005, 8NDLS
announced the bank's return to venture operatlons, vla a
fund of approxlmately U$ l50 mllllon for lnvestment ln
partnershlps to capltallze prlvate funds. Leglslatlon
enacted on l5 Pebruary 2006 ln a provlslonal decree
known as Lxecutlve MP, or Lxecutlve Order, substantlally
reduced the tax burden on revenue from venture funds
for forelgn lnvestors. However, most lnvestment ln
venture funds tends to target 'non-technology-based'
lndustrles. A 2003 report concluded that 86% of
venture operatlons ln 8razll targeted these 'non-
technology' sector lndustrles (A8CP and Thomson
venture Lconomlcs, 2003).
Trends in R&Dpersonnel
A sherrnge eI Phs
Although 8razll has managed to lncrease the number of
doctorates granted each year to l0 7ll ln 2008, the
country stlll faces a shortage, especlally ln englneerlng.
The number of graduates may seem hlgh but thls
translates lnto [ust 4.6 doctorates per l00 000 lnhabltants,
Table 3: P&D tax laws and subsldles for buslness P&D ln 8razll, l99l-2005
Focus of law Year of adoption Reference PPP US$ Type of advantage
Tax lncentlve
Tax lncentlves for the |T sector l99l Law 8248/9l 2 236.4 Tax lncentlves for |T sectors
Tax lncentlves for buslness P&D 2005 Law lll96/05 l 085.0 Tax lncentlves for all sectors
Subsldy
Subsldles for buslness P&D
ln the form of government loans 2002 Law l0332/02 62.9 |nterest rate equallzatlon
and |ndustrlal Technology
Development Plan (PDT|) 34.8 Other subsldy
Subsldles for buslness P&D 2004 Law l0973/04 224.l General subsldy
Total (|ncentlves + subsldles) 3 643.3
8uslness expendlture on P&D 9 946.3
Share of lncentlves and subsldles
ln buslness expendlture on P&D 37%
5outce: |LD| (20l0) 0esol|os Jo lnovooo - lncent|vos oto lnovooo: O que lolto oo 8tos|l
|||SO S|||| |||O| 2010
ll0
a ratlo l5% lower than ln Germany and roughly one-thlrd
that of the Pepubllc of Korea (CAPLS, 2005). At under-
graduate level, 8razll faces an enormous challenge, slnce
only l6% of youth aged l8-24 years were enrolled ln
hlgher educatlon ln 2008. Thls percentage wlll have to
treble, lf 8razll wlshes to be on a par wlth the low end of
the scale for OLCD countrles. The country's strategy so far
has been to expand the number of prlvate lnstltutlons
onerlng 4-5 year courses, ln tandem wlth fosterlng
greater enrollment at publlc unlversltles onerlng courses
of the same duratlon. Thls strategy has not sumced,
however, to ralse the enrollment rate to an lnternatlonally
competltlve level.
Mesr 8rnzilinn resenrchers nre ncnJemics
The llon's share of P&D ls conducted by academlc
lnstltutlons ln 8razll, as conrmed by the demographlcs
(Plgures 6 and 7). |n most cases, lt ls easler to obtaln
preclse lnformatlon about the number of employees than
about P&D expendlture, especlally ln the prlvate sector.
Pesearchers ln 8razll occupy prlmarlly full-tlme academlc
posltlons: 57% are employed by unlversltles and another
6% by research lnstltutes. That leaves [ust 37% ln the
buslness sector, whlch ls conslstent wlth the smaller
portlon of prlvate P&D expendlture compared to publlc
dlsbursements. The low number of sclentlsts ln the prlvate
sector ls not wlthout repercusslons, as wltnessed by the
Box 1: Procurement pollcles to develop essentlal vacclnes
|Jb||c bJy|r pc||c|os ..o cro c| t|o
noc|.r|sns JsoJ |cb.||y tc
p.cncto bct| sc|orco .rJ t|o scc|.|
.pp.cp.|.t|cr c| krc.|oJo. |o
b...|||.r v.cc|r.t|cr .rJ
p.ccJ.onort pc||c|os |.vo |.J .
n.c. |np.ct cvo. t|o |.st Joc.Jo cr
bct| b.s|c .oso..c| .rJ v.cc|ro
p.cJJct|cr. |oso pc||c|os p.cncto
|nnJrcb|c|c|c.| so||sJ|||c|orcy
.rJ Jr|vo.s.| .ccoss tc v.cc|ros t|.t
..o p.cv|JoJ |.oo c| c|..o. .c
cortorr|.| pJb||c |rst|tJt|crs, t|o
bJt.rt.r |rst|tJto .rJ Os..|Jc .J.
|rst|tJto, |.vo bJ||t p...||o| .oso..c|,
Jovo|cpnort .rJ v.cc|ro p.cJJct|cr
|.c|||t|os t|.t .||c. b...|| tc bo
ccnpot|t|vo bct| sc|ort|||c.||y .rJ
toc|rc|c|c.||y |r t|o ||o|J.
|o |o.| |..no.c.k .ospcrs|b|o
|c. st|nJ|.t|r v.cc|ro p.cJJct|cr by
t|oso t.|r |rst|tJt|crs |s b.soJ cr
A.t|c|o 24 c| |.. 8666 c| 'Jro 1993.
||s ..t|c|o .oJ|.tos A.t|c|o 3,
|ton ``|, c| t|o |oJo..| crst|tJt|cr
.rJ |rst|tJtos rc.ns |c. t|o b|JJ|r
p.ccoss .rJ ....J c| ccrt..cts by
t|o pJb||c .Jn|r|st..t|cr, .ncr
ct|o. no.sJ.os. A.t|c|o 24 st.tos t|.t
b|JJ|r |r t|o p.ccJ.onort p.ccoss
n.y bo J|sporsoJ .|t| || . pJb||c
ort|ty .c,J|.os ccJs c. so.v|cos |.cn
.rct|o. ort|ty c. bcJy bo|cr|r tc
t|o pJb||c .Jn|r|st..t|cr, .s |cr .s
t|oso ccJs c. so.v|cos .o.o c.o.toJ
|c. t||s spoc|||c pJ.pcso p.|c. tc t|o
or.ctnort c| |.. 8666 .rJ
p.cv|J|r t|.t t|o ccrt..ct p.|co |s
ccnp.t|b|o .|t| t|o n..kot p.|co.
||s Joc|s|cr |rc|toJ bct| t|o
bJt.rt.r .rJ Os..|Jc .J. |rst|tJtos
tc Jovo|cp p||ct p|.rts |c. v.cc|ro
p.cJJct|cr, .|t| t|o V|r|st.y c|
|o.|t| .s t|o|. koy p..tro.. |o
n|r|st.y p|.yoJ . v|t.| .c|o, .s |t
J...rtooJ t|o |rst|tJtos . n.|r
bJyo. .rJ n|r|n.| t|.os|c|J |c.
p.cJJct|cr. |t ..s ov|Jort, |c.ovo.,
t|.t t|oso |.c|||t|os .cJ|J rooJ tc bo
.cccnp.r|oJ by . p...||o| oxp.rs|cr
c| v.cc|ro.o|.toJ b.s|c sc|orco.
V.k|r . |J|| sc|ortcnot.|c
.r.|ys|s c| p.c.oss |r t||s ..o. c|
b.s|c sc|orco |s . t.|cky oxo.c|so, s|rco
n.ry b|c|c|c.| ||o|Js ..o v.cc|ro
.o|.toJ. |ct.|t|st.rJ|r t||s, .
so..c| |c. pJb||c.t|crs p.cJJcoJ |r
b...|| Js|r v.cc|ro .s . tcp|c .ovo.|s
t|.t, cvo. t|o p.st ||vo yo..s, t|o
ccrt.|bJt|cr c| .o|.toJ b.s|c sc|orcos
|r b...|| |.s JnpoJ |.cn . 2 s|..o
c| .c.|J ||to..tJ.o tc . 3 s|..o.
Vc.o |npc.t.rt|y, t|o t.c v.cc|ro
p.cJJco.s, bJt.rt.r .rJ Os..|Jc
.J., |.vo boor .ospcrs|b|o |c. .bcJt
30 c| .|| sc|ort|||c cJtpJt |r b...|| |r
t|o ||o|J c| v.cc|ro Jovo|cpnort
s|rco 2004. |r 2009, t|o bJt.rt.r
|rst|tJto p.cJJcoJ nc.o t|.r
200 n||||cr Jcsos c| v.cc|ros Js|r
|r|cJso toc|rc|cy, |rc|JJ|r t|cso
|c. J|pt|o.|., tot.rJs .rJ po.tJss|s
(||), .|sc krc.r .s .|ccp|r
ccJ|, .rJ |c. |op.t|t|s b. |o s.no
yo.., b|cn.rJ|r|cs, . n.rJ|.ctJ.|r
|.c|||ty .sscc|.toJ .|t| t|o Os..|Jc
.J. |rst|tJto, p.cJJcoJ nc.o t|.r
10 n||||cr Jcsos c| v.cc|ros |c.
yo||c. |ovo., Hemophilus influenza
typo b .rJ c..| pc||cn|o|yt|s S.b|r,
.ncr ct|o.s.
bct| t|o bJt.rt.r .rJ Os..|Jc
.J. |rst|tJtos ..o Jovo|cp|r
toc|rc|cy Jo.|voJ |.cn |r|cJso
b.s|c sc|orco .rJ .ct|vo|y pJ.sJ|r
t|o |.Jrc| c| ro. st.toc|t|o..t
v.cc|ros |c. t|o b...|||.r .rJ oxpc.t
n..kots v|. toc|rc|cy t..rs|o.
..oonorts .|t| p.|v.to ccnp.r|os.
|.cJJcts |r t|o p|po||ro |.cn t|o
bJt.rt.r |rst|tJto |rc|JJo v.cc|ros
|c. co||cJ|tJ.o ..b|os, JorJo,
.ct.v|.Js .rJ |r||Jor...
5outce: authors
b...||
lll
8
r
a
z
l
l
declency ln patents generated by 8razlllan lndustry.
|t ls also one of the maln obstacles to the development of
stronger unlverslty-lndustry tles. Moreover, only l5% of
8razlllan researchers ln the buslness sector hold an MSc or
PhD. |n the Pepubllc of Korea, thls percentage ls 39%: 6%
hold a PhD and 33% an MSc. Government P&D fundlng
agencles llke CNPq, P|NLP, PAPLSP and others have
created fellowshlp programmes for doctoral researchers ln
lndustry but these have shown llmlted results.
|| O|||
Scientific publications
The number of sclentlc publlcatlons orlglnatlng from
8razll has grown steadlly over the past 26 years,
culmlnatlng ln 26 482 ln 2008 (Plgure 8). |n parallel, 8razll's
world share of artlcles has cllmbed from 0.8% ln l992 to
2.7% ln 2008. There ls a correlatlon between thls lncrease
and the growlng number of PhDs awarded annually.
Thanks to a conslstently favourable pollcy for graduate
educatlon over the past 50 years or more, the number of
PhD-holders has gone from 554 ln l98l to l0 7ll ln 2008.
USA
UK
Canada
Prance
Germany
Spain
Argentina
China
8razil
Mexico
Pep. Korea
l 425 550
22l 928
254 599
l39 0ll
2l5 755
290 853
l22 624
38 68l
l 423 38l
l33 266
37 930 0.86
Pesearchers Pesearchers per l000 labour force
9.40
9.l7
8.29
7.87
7.59
6.98
5.53
2.02
l.83
l.33
Figure 6: Pesearchers ln 8razll, 2008
Othet countt|es ote |ven lot comot|son
5outce: Mlnlstry of Sclence and Technology database, May 20l0
Government
Universities
Business
Private R&D
institutes
0.5
56.8
37.3
0.7
Figure 7: Pesearchers ln 8razll by performlng sector,
2008 (%)
lull-t|me equ|volent
5outce: Mlnlstry of Sclence and Technology database,
1une 20l0
|||SO S|||| |||O| 2010
ll2
The lmpact of artlcles orlglnatlng from 8razll has also
grown: ln 2000, there were l.45 cltatlons per artlcle two
years after publlcatlon,
4
compared to 2.05 cltatlons for
artlcles publlshed ln 2007. 8razll's presence has grown ln
all the ma[or elds of sclence but artlcles are most
common ln agronomy and veterlnary sclences (3.07% of
the world total), physlcs (2.04%), astronomy and space
sclence (l.89%), mlcroblology (l,89%) and plant and
anlmal sclences (l.87%)
5
.
The exlstence of a burgeonlng sclentlc communlty has
allowed speclal research programmes requlrlng a large
pool of researchers to develop. A good example ls the
Genome Pro[ect lmplemented ln Sao Paulo, whlch was the
rst to sequence the DNA of a phyopathogenlc bacterlum,
\ylello lost|J|oso. Thls programme was run ln partnershlp
wlth Pundecltrus (Cltrus Producers Assoclatlon).
|n addltlon to produclng advanced sclence, the Genome
Pro[ect contrlbuted knowledge that enabled researchers
at Pundecltrus to devlse ways of controlllng a dlsease
whlch attacked orange trees, Cltrus varlegated Chlorosls.
|t also generated at least two spln-on companles ln the
elds of genomlcs and blolnformatlcs. Another example ls
the 8lota Pesearch Programme, one of the largest ln the
world ln the eld of blodlverslty sclence (8ox 2).
The data recorded ln the Thomson Peuters database
do not tell the whole story about 8razlllan productlvlty,
however. |n developlng countrles, new knowledge
frequently nds lts way lnto local [ournals that often
pass under the radar of Thomson Peuters' Sclence
Cltatlon |ndex, unless the [ournal has lnternatlonal
clrculatlon, whlch ls rarely the case. Moreover, the
language of most 8razlllan sclentlc [ournals ls
Portuguese rather than Lngllsh, especlally as concerns
artlcles ln the humanltles and applled soclal sclences.
|n order to enhance the vlslblllty of 8razlllan sclentlc
productlon, PAPLSP and the Latln Amerlcan and
Carlbbean Center on Health Sclences |nformatlon
2002 2000 1998 1996 1994 1992 2004 2006 2008
0
5 000
10 000
15 000
20 000
25 000
30 000
0.5
1.0
1.5
2.0
2.5
3.0
0.8
0.8
0.9
1.2
1.5
1.7
1.9
2.1
2.7
4 301
4 363
5 723
7 860
10 521
12 573
15 436
18 473
26 482
W
o
r
l
d

s
h
a
r
e

(
%
)
N
u
m
b
e
r

o
f

s
c
i
e
n
t
i
c

a
r
t
i
c
l
e
s
Figure 8: Sclentlc artlcles wrltten by authors amllated to 8razlllan lnstltutlons, l992-2008
Note: The evolutlon ln sclentlflc publlcatlons should lnsplre cautlon because the Thomson Peuters web of Sclence changes the selectlon of [ournals
over tlme. Some growth may thus be due to the lncluslon of new [ournals, especlally ln 2008.
5outce: Thomson Reuters (Scientific) nc. Web of Science, (Science Citation ndex Expanded), compiled for UNESCO by Canadian
Observatoire des sciences et des technologies, May 2010
4. Data collected by the authors uslng the Thomson Peuters web of
Sclence and countlng those artlcles restrlcted to the category of 'artlcles'
and cltatlons recorded ln the two years followlng publlcatlon
5. Por a comparlson wlth Chlna and |ndla, see Plgure 8 on page 375.
b...||
ll3
8
r
a
z
l
l
created an open access web portal ln l999, the Sclentlc
Llectronlc Llbrary Onllne (Sclelo). |n 2009, Sclelo onered
access to 203 peer-revlewed [ournals, lncludlng tltles
from Argentlna, 8razll, Chlle, Colombla, Cuba, Spaln,
Portugal and venezuela. The same year, the Sclelo
webslte recelved ll9 mllllon vlsltors, who downloaded
l5 759 artlcles. See Plgure 9 for a comparlson of the
number of artlcles publlshed ln natlonal [ournals ln
2000 and 2008.
Most sclentlc productlon comes from publlc unlversltles.
1ust seven unlversltles accounted for 60% of artlcles
publlshed ln lnternatlonal [ournals ln 2009 (Table 4).
Thelr share of the total lncreased from 60% ln 2000 to 7l%
ln 2007 before falllng back to 60% ln 2009. The Unlverslty
of Sao Paulo, wlth a full-tlme faculty of 4 670, produced
23% of the country's sclence ln 2009, followed by the
Unlverslty of the State of Sao Paulo ( 2 889 full-tlme faculty)
and Unlcamp (l 538 full-tlme faculty), both wlth 8%.
Industrial and academic patents
|n 2009, l03 utlllty patents for 8razlllan lnventlons were
lssued by the Unlted States Patents and Trademark Omce
(USPTO), almost the same number as ve years prevlously
(l06). Thls ls a dlsmal count, glven the slze of the 8razlllan
economy and lts sclentlc lnfrastructure. Lven lf 8razll
Box 2: Mapplng blodlverslty ln Sao Paulo
S|rco 1998, . v|.tJ.| |rst|tJto c|
b|cJ|vo.s|ty by t|o r.no c| b|ct. |.s
boor n.pp|r t|o b|cJ|vo.s|ty c| t|o
St.to c| S.c |.J|c .rJ Jo||r|r
noc|.r|sns |c. |ts ccrso.v.t|cr .rJ
sJst.|r.b|o Jso.
bo|r . v|.tJ.| |rst|tJto, |t |.s rc
p|ys|c.| p.on|sos p..t|c|p.t|r
.oso..c|o.s .c.k |r t|o|. c.r
Jop..tnorts .ry.|o.o |r t|o St.to
c| S.c |.J|c. |o 200 .oso..c|o.s .rJ
500 ..JJ.to stJJorts .|c .c.k |c.
t|o |rst|tJto ..o onp|cyoJ .s |.cJ|ty
.t 16 |rst|tJt|crs c||o.|r |||o.
oJJc.t|cr .rJ .oso..c|. |A||S| |.s
t|Js .vc|JoJ t|o .|sk c| . n.c. tJ.|
... bot.oor .|v.| |rst|tJt|crs
p|.J|r t|o p.c..nno. |o v|.tJ.|
|rst|tJto .|sc onp|cys .bcJt
80 cc||.bc..tc.s |.cn ct|o. b...|||.r
st.tos .rJ .pp.cx|n.to|y 50 |.cn
.b.c.J. |..t|c|p.t|cr |s cpor tc
.rycro .|t| . scJrJ p.coct t|.t |.s
sJ.v|voJ t|o poo..ov|o. p.ccoss
n.r.oJ by |A||S|.
|r 11 yo..s, t|o p.c..nno
|.s sJppc.toJ 8 n.c. .oso..c|
p.cocts .|t| .r .rrJ.| bJJot c|
.pp.cx|n.to|y |S, .1 n||||cr.
|J.|r t|.t t|no, t|o p.c..nno |.s
.|sc t..|roJ 150 VSc .rJ 90 |||
stJJorts, Jrccvo.oJ .rJ stc.oJ
|r|c.n.t|cr .bcJt .pp.cx|n.to|y
10 000 spoc|os .rJ n.r.oJ tc
n.ko J.t. .v.||.b|o |.cn 35 n.c.
b|c|c|c.| cc||oct|crs. ||s |.s
t..rs|.toJ |rtc 464 pJb||s|oJ ..t|c|os
pJb||s|oJ |r 161 sc|ort|||c cJ.r.|s,
16 bccks .rJ t.c .t|.sos.
|r 2001, t|o p.c..nno
|.Jrc|oJ .r cpor.ccoss o|oct.cr|c
poo..ov|o.oJ cJ.r.|, Biota
Neotropica, tc ccnnJr|c.to c.||r.|
.oso..c| .osJ|ts cr b|cJ|vo.s|ty |r t|o
|oct.cp|c.| .o|cr. |o cJ.r.| |s
,J|ck|y boccn|r .r |rto.r.t|cr.|
.o|o.orco |r |ts ||o|J.
|r 2002, t|o p.c..nno
|.Jrc|oJ . ro. vortJ.o c.||oJ
b|Op.cspocA, |r c.Jo. tc so..c| |c.
ro. ccnpcJrJs c| occrcn|c
|rto.ost |c. p|..n.coJt|c.| c.
ccsnot|c .pp||c.t|crs. As . .osJ|t,
t|.oo ro. J.Js |.vo boor
sJbn|ttoJ |c. p.tort|r.
|o p.c..nno |.s .|sc |.J .
ccrs|Jo..b|o |np.ct cr pJb||c pc||cy.
|o cvo.rnort c| t|o St.to c| S.c
|.J|c |.s J...r cr t|o .osJ|ts c| t|o
p.c..nno tc |ssJo |cJ. cvo.rc.
Joc.oos .rJ 11 .osc|Jt|crs ccrco.r|r
ccrso.v.t|cr c| ..o.s |r t|o st.to.
|r '.rJ..y 2009, |c. ox.np|o, t|o st.to
cvo.rnort Jos|r.toJ t|.oo |..o
cc.st.| A.o.s |c. |rv|.crnort.|
|.ctoct|cr (A|A ||tc..| |c.to, A|A
||tc..| ort.c, A|A ||tc..| SJ|). Ovo.
t|o roxt tor yo..s, t|o b|ct.|A||S|
|.c..nno n.y p.cJJco J.t. tc
|np.cvo n.r.onort c| t|oso
p.ctoctoJ ..o.s.
|o |rto.r.t|cr.| Sc|ort|||c
AJv|sc.y bc..J .ospcrs|b|o |c.
ov.|J.t|r t|o p.c..nno |.s
st.toJ t|.t sc|orco |r ncst b|ct.
p.cocts |s c| . ||| ,J.||ty t|.t |s
o|t|o. o,J|v.|ort c. oxcooJs t|.t |r
ct|o. ccJrt.|os .rJ, |r sovo..|
p.cocts, |t |s c| cJtst.rJ|r ,J.||ty
.rJ cr t|o cJtt|r oJo c|
|rto.r.t|cr.| o||c.ts.
|r 2009, t|o b|ct. p.c..nno
bo.r p.op..|r . J..|t Science Plan
and Strategies for the Next Decade,
b.soJ cr t|o .occnnorJ.t|crs c| .
.c.ks|cp |o|J |r 'Jro t|o s.no yo..
cr |st.b||s||r c.|s .rJ |.|c.|t|os
tc 2020.
Source: www.blota.org.br/,
www.bloprospecta.org.br,
www.blotaneotroplca.org.br
|||SO S|||| |||O| 2010
ll4
outshlnes lts Latln Amerlcan nelghbours for thls lndlcator,
lt ls dwarfed by |ndla (Plgure l0).
The small number of sclentlsts worklng ln the buslness
sector dlrectly anects the number of patents orlglnatlng
from 8razll, ln the same way that domlnant lndustrlal
sectors and export coemclents do. There may be a
correlatlon between these low patent gures and the level
of quallcatlon of researchers employed ln the buslness
sector, glven the small fractlon wlth an advanced graduate
degree (see oe l09). Another factor may be a lack of
audaclty ln the P&D ob[ectlves of most 8razlllan
lndustrles, stemmlng from decades of operatlng ln a
closed market and an erratlc economy. Changes ln the
economlc cllmate slnce the l990s have created a more
open market, stronger competltlon and a stable
economy. |n turn, thls ls changlng attltudes ln many
companles but the lmpact has not yet made ltself felt ln
terms of the quantlty and quallty of buslness P&D.
Academlc patentlng has been galnlng momentum ln
8razll, especlally slnce the feats of some lnstltutlons
galned country-wlde vlslblllty, such as those of Unlcamp
and the Pederal Unlverslty of Mlnas Gerals. Unlcamp has
been strong ln patents for more than two decades and
has the largest stock of any 8razlllan academlc lnstltutlon.
|n the perlod 2000-2005, lt was awarded the most patents
after Petrobras, the 8razlllan state-owned oll company.
|n 2002, the unlverslty founded the Unlcamp Agency for
|nnovatlon encompasslng a Technology Transfer Omce,
thereby demonstratlng a strong penchant for llcenslng
and the generatlon of revenue from lts lntellectual
Agricultural
sciences
Applied
social sciences
8iological
sciences
Lngineering
Physics, maths,
chemistry and
geosciences
Health
sciences
2000
2008
l 457 3 525
l62 / 643
l 027 / 2ll8
320 / 692
663 / l 435
2 l40 6 07l
Figure 9: Sclentlflc artlcles publlshed ln 8razlllan
[ournals, 2000 and 2008
5outce: Sclelo 8razll database
Table 4: Sclentlflc artlcles publlshed by 8razll's maln research unlversltles, 2000-2009
University 2000 2003 2006 2009
Unlverslty of Sao Paulo (USP) 2 762 3 888 6 068 7 739
Unlverslty of the State of Sao Paulo (UNLSP) 772 l l04 2 065 2 782
Unlverslty of Camplnas (Unlcamp) l l90 l 498 2 386 2 582
Pederal Unlverslty of Plo de 1anelro (UPP1) l 080 l 253 l 778 2 357
Pederal Unlverslty of Plo Grande do Sul (UPPGS) 557 792 l 374 l 797
Pederal Unlverslty of Mlnas Gerals (UPMG) 597 8l0 l 392 l 685
Pederal Unlverslty of Sao Paulo (Unlfesp) 433 659 l 25l l 56l
Total for seven unlversltles above 7 39l l0 004 l6 3l4 20 503
Total for 8razll ll 978 l5 l25 23 06l 34 l72
Share of seven unlversltles above ln total (%) 62 66 7l 60
5outce: SCOPUS, search restrlcted to artlcles, notes and revlews, August 20l0
b...||
ll5
8
r
a
z
l
l
Thls sald, very few research unlversltles have, so far, been
able to make more money out of llcenslng than they
spend ln the process (Mowery et ol. l999). The real
motlvatlon for a unlverslty to llcense lts lntellectual
property should be ln order to fulll lts mandate of
dlnuslng knowledge throughout soclety and creatlng
opportunltles for lts students. An excluslve xatlon on
nanclal benets has thwarted many attempts by
8razlllan unlversltles to transfer technology and purchase
lt vla llcenslng fees and even attempts by P&D publlc
agencles. There ls stlll a lot to be learned ln 8razll about
the benets to soclety of generatlng new buslnesses vla
excellent hlgher educatlon, a sector ln whlch 8razll has
already obtalned some lmportant successes. One example
ls the Aeronautlcs Technology |nstltute, one of the best
englneerlng schools ln Latln Amerlca, whlch gave rlse to
the 8razlllan Aeronautlcs Company (LM8PALP).
S||SS SO|||S || |||O\A|O|
8razll can boast of some extremely successful cases of
knowledge-based lnnovatlon. Take the example of [et
alrcraft, a hlghly competltlve product of 8razlllan P&D.
Slnce belng prlvatlzed ln l994 at a tlme of economlc
crlsls, LM8PALP has gone on to become the thlrd-largest
alrcraft manufacturer ln the world. The rst unlts of the
90-seater LP1-l90 have been nylng commerclally slnce
early 2006 (see oe 94). Moreover, a subsldlary of
LM8PALP, the Nelva Aeronautlcs |ndustry, has produced
the world's rst alcohol-powered alrcraft, the LM8 202
|panema. 8y 2006, Nelva had dellvered more than 3 700
unlts, maklng the LM8 202 the most common agrlcultural
alrcraft ln 8razll.
The agrlbuslness sector has also obtalned outstandlng
results ln both productlon and productlvlty. Thls sector
benets from publlc P&D lnvestment vla the 8razlllan
Agrlcultural Pesearch Corporatlon (LM8PAPA) and other
organlzatlons wlthln the natlonal system of agrlcultural
P&D. Soybeans, oranges and conee are lmportant export
products, largely due to years of contlnual P&D.
Lnergy obtalned from ethanol ls another demonstratlon
of the country's ablllty to create and use knowledge to
generate opportunltles. The ProAlcool Natlonal
Programme (Alcohol Programme) launched ln the l970s ls
the world's most ambltlous scheme today for uslng
ethanol fuel ln automoblles (8ox 3). |n 2005, 50% of
0
300
600
2000 2003 2006 2009
Chile
Pussian Pederation
|ndia
South Africa
8razil
Mexico
Argentina
venezuela
27
l5
54
76
98
lll
l3l
l83
8
2l
45
60
93
l03
l96
679
Figure 10: USPTO patents awarded to 8razlllan
lnventors, 2000-2009
5outce: USPTO (Utlllty Patents)
property. Moreover, most of these llcenses are excluslve,
as ln thls case the llcensee takes part ln the development
of the lntellectual property through a co-operatlve P&D
agreement.
Of the top l0 awardees of patents by the 8razlllan Patent
Omce (|NP|) ln the perlod 2000-2005, three were academlc
lnstltutlons: Unlcamp, PAPLSP and the Pederal Unlverslty of
Mlnas Gerals. Thls seems to lndlcate two thlngs: htstly, that
academlc lnstltutlons have embraced the ldea of
protectlng thelr lntellectual property and are seeklng
opportunltles to generate buslnesses wlth lt, and,
seconJly, that enorts by lndustry to generate lntellectual
property remaln lnenectual, slnce lt ls rare to nd
sltuatlons ln whlch academlc lnstltutlons generate more
patents than lndustry among lndustrlallzed economles.
|||SO S|||| |||O| 2010
ll6
Box 3: 8loenergy P&D ln 8razll
S|rco t|o |.Jrc| c| t|o |.cA|ccc|
|.t|cr.| |.c..nno |r 195,
|rJJst.|.|, cvo.rnort .rJ .c.Jon|c
|| |.vo boor n.k|r . ccrs|Jo..b|o
ccrt.|bJt|cr tc t|o Jovo|cpnort c|
t|o ot|.rc| bJs|ross |r b...||. A .cJp
c| .o|| ost.b||s|oJ .oso..c|
c..r|..t|crs ||ko t|o orto. |c.
SJ..c.ro oc|rc|cy (), t|o
A.crcn|c.| |rst|tJto c| .np|r.s
(|A) .rJ t|o |ot.c.k |c. SJ..c.ro
|np.cvonort (||Jos.) |.vo Jovo|cpoJ
. |..o rJnbo. c| ro. v..|ot|os t|.t
|.vo ..|soJ t|o .vo..o y|o|J |.cn
50 tc 85 tcrs po. |oct..o. |rJJst.|.|
||, c|tor |r .sscc|.t|cr .|t|
Jr|vo.s|t|os, |.s |np.cvoJ |rJJst.|.|
p.cJJct|v|ty |.cn 55 tc 80 ||t.os c|
ot|.rc| po. tcr c| sJ..c.ro. |t |.s
.|sc cbt.|roJ |npc.t.rt .osJ|ts |r t|o
t.o.tnort c| |rJJst.|.| .os|JJos.
|o .ocort sJ.o |r |rto.r.t|cr.|
|rto.ost |r b|coro.y |.s |rtors|||oJ
.oso..c| |r t||s ||o|J |r n.ry
ccJrt.|os, c.Js|r b...|| tc .||r |ts
c.r st..toy cr ccnpot|r |r |cb.|
n..kots. ||s st..toy .o,J|.os rct
cr|y nc.o || bJt .bcvo .|| cJtt|r
oJo ||. cot|o. .|t| .rJ
ort..| A|ccc|, |A||S| onb..koJ cr
. p.coct |r 1999 tc |Jort||y
oxp.ossoJ oros |r sJ..c.ro .rJ |r
|Jrct|cr.| orcn|cs (S||S .rJ
S||S|Jr) .rJ t..|r |Jn.r
.oscJ.cos |r t||s ||o|J. ||s o||c.t
ccrt.|bJtoJ tc .r |rc.o.so |r t|o
rJnbo. c| sc|ort|||c ..t|c|os .bcJt
sJ..c.ro |r b...||.
|vor t|o pctort|.| |c. . n.ss|vo
sc.||rJp c| p.cJJct|cr .rJ t|o
ccnpot|t|v|ty c| b...|||.r sJ..c.ro
ot|.rc|, sJst.|r.b|||ty c.no tc bo .r
ossort|.| o|onort c| |rc.o.s|r
p.cJJct|v|ty. |r t|o p.st t|.oo yo..s,
. rJnbo. c| |r|t|.t|vos |.vo boor
|.Jrc|oJ |r b...|| tc |..ross
.Jv.rcoJ sc|orco tc sJst.|r.b|||ty
.rJ p.cJJct|v|ty t..ots. |c.
|rst.rco, |Vb|A|A, t|o st.toc.roJ
ccnp.ry |c. ..|cJ|tJ..| .oso..c|,
|.s cporoJ . J|v|s|cr cr ..c
oro.y.
|r .JJ|t|cr, . ro. .oso..c| cort.o
..s |r.JJ..toJ |r 2009, t|o b...|||.r
b|cot|.rc| Sc|orco .rJ oc|rc|cy
|.bc..tc.y (b|), |r .np|r.s |r t|o
St.to c| S.c |.J|c. b| |.s t|.oo
cboct|vos. tc po.|c.n ccnpot|t|vo
|| tc |np.cvo c.cps .rJ ccrvo.s|cr
p.t|s |c. b|cot|.rc| p.cJJct|cr |.cn
sJ..c.ro, tc p..tro. ct|o. .oso..c|
c..r|..t|crs .c.k|r |r .o|.toJ
..o.s, t|.cJ| . rot.c.k c|
.sscc|.toJ |.bc..tc.|os |r Jr|vo.s|t|os
.rJ .oso..c| |rst|tJtos .rJ, tc .ct .s .
sJpp||o. c| toc|rc|cy |c. t|o
|rJJst.y, p.cv|J|r st..to|c
|r|c.n.t|cr c| nJtJ.| ccrco.r.
A t||.J |r|t|.t|vo |s t|o |A||S|
|.c..nno |c. |oso..c| cr
b|coro.y (b|O||). b|O|| .|ns tc
c.o.to ||rk.os bot.oor pJb||c .rJ
p.|v.to || by Js|r .c.Jon|c .rJ
|rJJst.|.| |.bc..tc.|os tc .Jv.rco .rJ
.pp|y krc.|oJo |r ||o|Js .o|.toJ tc
ot|.rc| p.cJJct|cr |r b...||. |o
b|O|| p.c..nno |.s ||vo J|v|s|crs.
I SJ..c.ro ||.rt oc|rc|c|os,
|rc|JJ|r p|.rt |np.cvonort .rJ
sJ..c.ro |..n|r,
I |t|.rc| |rJJst.|.| oc|rc|c|os,
I b|c.o||ro.y oc|rc|c|os .rJ
.|cc|c| c|on|st.y,
I Ottc yc|o |r|ros .rJ |Jo| o||s,
ot|.rc| .pp||c.t|crs |c. nctc.
vo||c|os,
I Scc|.| .rJ |ccrcn|c |np.ct,
|rv|.crnort.| StJJ|os, |.rJ |so
.rJ |rto||octJ.| |.cpo.ty.
|o b|O|| |.c..nno |s .o||
o,J|ppoJ tc sJppc.t oxp|c..tc.y
.c.Jon|c .oso..c| cr t|oso tcp|cs
.rJ t..|r sc|ort|sts .rJ p.c|oss|cr.|s |r
ossort|.| ..o.s |c. .Jv.rc|r t|o
ot|.rc| |rJJst.ys c.p.c|t|os.
Or tcp c| t||s, b|O|| ost.b||s|os
p..tro.s||ps cc|JrJoJ by |A||S|
.rJ |rJJst.y |c. cccpo..t|vo ||
bot.oor |rJJst.|.| .rJ .c.Jon|c
|.bc..tc.|os .t Jr|vo.s|t|os .rJ
.oso..c| |rst|tJtos. Ot|o. .oso..c|
.orc|os |.cn t|o |oJo..| cvo.rnort
.rJ ct|o. st.to cvo.rnorts
p..t|c|p.to |r t|o p.c..nno. |oy
|rc|JJo ||, .rJ |A||V|. |r 2009,
b|O|| ccrt..ctoJ |ts ||.st .cJrJ c|
60 .oso..c| p.cocts.
A |cJ.t| |r|t|.t|vo |r p.c.oss |r
n|J2010 |s t|o ost.b||s|nort c| t|o
S.c |.J|c b|coro.y |oso..c| orto.,
.|t| |Jbs |r t|o t|.oo S.c |.J|c St.to
.oso..c| Jr|vo.s|t|os (|r|vo.s|ty c| S.c
|.J|c, |r|c.np .rJ |||S|). |o
cort.o .||| sot cJt tc .tt..ct . .o.to.
rJnbo. c| sc|ort|sts |r t|o ||o|J c|
b|coro.y tc t|o t|.oo p..t|c|p.t|r
Jr|vo.s|t|os .rJ .||| .oco|vo |JrJ|r
|.cn |A||S|, t|o st.to cvo.rnort
.rJ t|o Jr|vo.s|t|os t|onso|vos tc t|o
tJro c| |S,100 n||||cr cvo. t|o roxt
tor yo..s.
|r .JJ|t|cr tc t|oso st.to c.
|oJo..| |r|t|.t|vos, ccnp.r|os |.vo .|sc
stoppoJ Jp t|o|. || o||c.ts |r
b|coro.y. |ot.cb..s |.s . p.c..nno
cr soccrJoro..t|cr b|c|Jo|s, .||c|
Jso ..sto |.cn c.cps, .rJ |..o
ccnp.r|os sJc| .s \.|o, b..skon .rJ
Ox|torc ..o .|sc ccrJJct|r . |ct c|
b|coro.y.o|.toJ ||.
Source: authors, www.cnpae.embrapa.br/,
www.bloetanol.org.br/engllsh/lndex.php,
www.fapesp.br/en/bloen
b...||
ll7
8
r
a
z
l
l
automoblles sold ln 8razll were of the nex-fuel type
and, by 1anuary 2006, as much as 74%. On top of that,
the country adds 25% ethanol to gasollne to reduce
carbon emlsslons and lmport costs. Automakers ln
8razll have developed nex-fuel systems that can use
from 0 to l00% of ethanol or gasollne. Thls
technology ls the bralnchlld of 8razlllan P&D teams
worklng ln the country for forelgn-owned auto-parts
and automoblle manufacturers who have developed
a technology superlor to that used anywhere else ln
the world (8ueno, 2006, Lovlns et ol., 2009). |n 2008,
8razll was the world's second-largest ethanol
producer (24.5 bllllon lltres) after the USA, at a cost of
US$ 0.l9 per gallon, less than half the world average
(US$ 0.40). |ndustry, government lnstltutes and
unlversltles have developed better varletles of
sugarcane and more emclent plantlng and harvestlng
methods, ln tandem wlth more sophlstlcated ethanol
renerles.
|n each case, the maln asset has been a stock of well-
educated personnel tralned ln lnstltutlons whlch
meet the world's best academlc standards. All of
these lndustrles share another common feature: at
some polnt, each has depended on pollcles whlch
harnessed the government's purchaslng power to
stlmulatlng technologlcal development. The last
lngredlent ln thls reclpe for success has been a frultful
publlc-prlvate partnershlp to get the ldeas to market.
One challenge the country has yet to overcome ls
that of dlnuslng thls experlence and sklll ln
lnnovatlon through all sectors of lndustry. ears of a
closed market and economlc lnstablllty have taken
thelr toll on attltudes towards lnnovatlon ln the
buslness sector. The sector has, however, responded
qulte well to lncentlve measures, durlng the l990s
when the 8razlllan economy began openlng up to
the outslde world, the federal government developed
a country-wlde programme for lmprovlng the quallty
of lndustrlal products and processes that proved
hlghly successful. More recently, both the
government and leaders of lndustry have turned
thelr attentlon to technologlcal lnnovatlon. As a
result, momentum has been bulldlng to develop thls
lmportant area. Por example, the Natlonal
Confederatlon of |ndustry (CN|) lnltlated a Movement
for 8uslness |nnovatlon (ML|) ln 2009 to woo buslness
leaders, a scheme that ls already plcklng up speed.
|||||A|O|A| O||AbO|A|O|
8razlllan lnternatlonal sclentlc collaboratlon has been
steady for the past ve years, accordlng to vanz (2009).
However, at 30%, the share of lnternatlonally co-authored
artlcles ls substantlally lower than the gure of 42%
reported by Glanzel (200l) for the perlod l995-l996.
US sclentlsts are the maln partners for 8razlllans. A study
by Adams and Klng (2009) found that ll% of sclentlc
artlcles wrltten by 8razlllans between 2003 and 2007 had
at least one co-author ln the USA and 3.5% a co-author
from the UK. Argentlna, Mexlco and Chlle comblned
represented [ust 3.2% of co-authors of 8razlllan artlcles.
|nternatlonal sclentlc collaboratlon ls supported by both
federal and state agencles vla lnltlatlves ranglng from
lndlvldual scholarshlps to multllateral programmes.
CAPLS, the maln body responslble for supportlng and
evaluatlng graduate programmes, has a dlverse portfollo
of measures for nanclng lnternatlonal collaboratlon.
|n 2008, CAPLS granted 4 000 scholarshlps to 8razlllan
graduate students abroad. CAPLS also malntalns bllateral
collaboratlon programmes wlth Argentlna, Cuba, Prance,
Germany, the Netherlands, Portugal, Uruguay and the
USA. |n 2009, more than 500 [olnt research pro[ects were
nanced under these agreements.
Through the Department of |nternatlonal Collaboratlon
(ASC|N), the CNPq runs programmes ranglng from
lndlvldual scholarshlps for forelgners to reglonal
programmes for sclentlc collaboratlon. Latln Amerlca
and Afrlca, one of 8razll's prlorltles for reglonal
collaboratlon, benet from speclc programmes: ProSul
and ProAfrlca. Other CNPq programmes focus on speclc
elds wlthln a wlder reglon. One example ls the
|nterAmerlcan Collaboratlon ln Materlals lnvolvlng
Argentlna, Canada, Chlle, Colombla, 1amalca, Mexlco,
Trlnldad and Tobago, Peru and the USA.
PAPLSP ltself has agreements for co-fundlng research wlth
agencles ln Canada, Prance, Germany, Portugal, the UK
and USA. |n fact, all the maln 8razlllan unlversltles and
research organlzatlons oner servlces fosterlng
lnternatlonal collaboratlon ln research
6
.
6. See page 96 for more lnformatlon on Pan-Amerlcan sclentlflc
collaboratlon.
118
Brazilian scientists and organizations serve on the
governing bodies of the InterAcademy Panel,
InterAcademy Council, InterAmerican Network of
Academies of Science, International Council for Science,
Academy of Science for the Developing World and several
international disciplinary unions. Participation in these
decision-making bodies has helped to integrate Brazilian
science into global and local collaborative and large-scale
projects, while oering Brazils scientic community
greater international exposure.
One example of a large-scale collaborative programme is
that for the Southern Astrophysical Research (SOAR)
Telescope commissioned in 2003. This 4.1-m aperture
telescope has been designed to produce the best-quality
images of any observatory in its class in the world. Funded
within a partnership involving primarily Brazil, Chile and
three US institutions, the National Optical Astronomy
Observatory, Michigan State University and the University
of North Carolina at Chapel Hill, SOAR is situated on Cerro
Pachn at an altitude of 2 700 m, on the western edge of
the peaks of the Chilean Andes. Brazilian participation in
this project has contributed signicantly to the growth of
the scientic community and resulted in a rise in Brazilian
publications in astronomy from 274 in 2000 to 404 in
2009. World-class instruments, such as an integral eld
Box 4: China and Brazil developing space technology together
The ChinaBrazil Earth Resources
Satellites (CBERS) programme
embraces a family of remote-sensing
satellites built jointly by Brazil and
China. This example of successful
SouthSouth co-operation in high
technology currently includes five
satellites which provide coverage of
the worlds land areas. CBERS-1
functioned from October 1999 to July
2003, CBERS-2 from October 2003 to
June 2008 and CBERS-2B from
September 2007 to May 2010. CBERS-3
will be launched in 2011 and CBERS-4
in 2014. CBERS-3 and CBERS-4 are each
equipped with four cameras with
bands in visible, near-infrared, middle
and thermal infrared (see image
page 102).
Brazil and China share the
responsibility for, and cost of, building
the satellites. In Brazil, the National
Institute for Space Research (INPE)
designs half of the subsystems and
contracts them to the Brazilian space
industry. The Brazilian participation in
the programme amounts to a total
cost of about US$ 500 million, with
60% of investment taking the form of
industrial contracts.
Data obtained from the CBERS
satellites are released within a free and
open data policy. From 2004 to 2010,
more than 1.5 million images were
delivered to users in Brazil, Latin
America and China. These images
have applications in forestry and
agriculture assessment, urban
management and geological
mapping. Brazil uses the images to
survey deforestation in Amazonia and
to assess land use associated with cash
crops such as sugarcane and soybeans
and with large-scale cattle ranching.
China and Brazil have agreed on a
joint strategy for facilitating
international access to remote-
sensing data in Africa. From 2012
onwards, African ground stations in
South Africa, the Canary Islands,
Egypt, and Gabon will receive and
freely share CBERS data. The CBERS
programme thus enables Brazil and
China to contribute to global
environmental policy-making.
Source: www.cbers.inpe.br/
spectrograph, have been designed and built in Brazil for
installation in the SOAR facility.
Brazilian scientists are also collaborating with their Chinese
counterparts on an ambitious project to develop and operate
remotesensing satellites for Earth observation (Box 4).
Another important programme for international S&T
collaboration is led by the Brazilian Agricultural Research
Corporation (EMBRAPA). EMBRAPA has set up laboratories
in the USA, Netherlands, UK and Republic of Korea to
throw bridges to the most advanced research in the
world. EMBRAPA also has oces in Senegal, Mozambique,
Mali and Ghana. These oces are part of the EMBRAPA
Africa Programme, which strives to develop projects for
scientic co-operation. The oces in Africa also interact
with governments and local bodies to oer assistance in
dening priorities, so that EMBRAPA laboratories in Brazil
can propose contributions that address local needs.
AN ACTION PLAN FOR S&T
In 2007, the government presented a Plan of Action
in Science, Technology and Innovation for Brazilian
Development for the period 20072010.
Brazil
119
B
r
a
z
i
l
The Plan is an important advance in that it groups most of
the federal initiatives in S&T in a single document. This
allows for a much better understanding and monitoring of
the federal S&T system and, hypothetically, for an
evaluation of the Plans implementation. The Plan has
been welcomed by the scientic community.
The Plan does have its shortcomings, however. For one thing,
it fails to to integrate the various federal ministries that
should be involved in fostering science, technology and
innovation (STI). Federal initiatives are also poorly articulated
with those at state level. Moreover, in many cases, those
sectors dened as being strategic actually received a smaller
share of funding in 2008 than in 2000, as we have seen in
Figure 2. This is the case of agriculture, energy and defence,
for example. Nor has the goal of raising GERD to 1.5% of GDP
by 2010 been attained. These shortcomings do not invalidate
the usefulness of the Plan, however. Overall, it has been a
positive initiative with most of its proposals being
implemented to some extent. These shortcomings will need
to be rectied, however, in future action plans.
The Plan has four thrusts:
I To expand, integrate, modernize and consolidate the
national innovation system by improving co-ordination
at the federal, state and municipal levels, as well as
between these public entities and private enterprises.
The focus is on strategic areas for national development
and both the renewal and consolidation of international
co-operation. Another important goal is to increase the
number of scholarships and fellowships for under-
graduates, masters and PhD students, postdoctoral
students and senior researchers from 102 000 in 2007
to 170 000 by 2011.
I To improve and promote technological innovation in
companies by nurturing an innovation-friendly
environment within rms and by strengthening
industrial, technological and export policies. The aim is
to generate employment, raise income and add value to
each stage of the production process. One priority is to
increase the number of active researchers in the private
sector while, in parallel, training human resources and
developing a knowledge creation culture in enterprises.
Another goal is to create a structure for the Brazilian
Technology System (SIBRATEC). SIBRATEC is a group of
entities that helps companies across Brazil develop their
businesses by providing services that include
technology transfer and assistance. These services relate
in particular to the Basic Industrial Technology (TIB)
programme
7
. One goal is to increase the number of
business incubators and technological parks. Another is
to permit the creation of self-governing innovative
enterprises.
I To strengthen R&D in strategic areas that include
biotechnology, nanotechnology, agribusiness,
biodiversity and renewable sources of energy. Specic
goals are included for the nuclear, space, metrology,
national security and defence sectors.
I To promote science popularization and improve science
teaching, as well as technology diusion for social
inclusion and development. Social development is a
major objective of current state policies. Key tools are the
Mathematics Olympiads for Public Schools launched in
2005, which attracted 18 million participants in 2008; the
promotion of National Science and Technology Week in
October each year; support for the establishment of
TeleCenters in rural areas to narrow the digital divide and
ght poverty, a programme launched by the Ministry of
Communication in 2007, and; the programme oering
Research and Development Support for Nutritional and
Food Security. The latter was launched in 2008 by
networking Research and Technological Institutes of Food
Sciences and now oers information and consultancy
services to small and medium-sized enterprises, as well as
to individual farmers and food producers.
CONCLUSION
It is evident from the foregoing that Brazil has developed a
competitive academic base in science. Academia still faces a
number of challenges, however. Although the number of
scientic articles and doctorates granted annually has been
rising, there remains a lack of homogeneity in the regional
distribution of academic sta and the countrys knowledge
base: 60% of all scientic articles originate from just seven
universities, four of which are in the State of So Paulo. There
is also a lack of homogeneity in disciplinary elds. Eorts will
be required in engineering and computer science, for
example, to train more undergraduates and PhD-holders
and expand Brazils international presence. At the same time,
the advancement of knowledge in Brazil might benet from
7. This programme includes metrology, technical norms and standards,
conformity to standards, intellectual property and design.
|||SO S|||| |||O| 2010
l20
a more balanced governmental approach between dlrected
and unfettered research. Pecently, there has been a
seemlngly excesslve tendency to dlrect calls for pro[ects
towards speclc ob[ectlves. Thls penallzes curloslty-drlven
research, the cornerstone of a strong academlc system.
|ndustrlal P&D ls ln need of even greater attentlon than
academlc research. |t stlll suners from a lack of government
support, even though the sltuatlon has lmproved radlcally
over the past elght years. Pecent measures llke the law on
lnnovatlon (2004) and lts consequences, such as the
refurblshlng of tax-lncentlve leglslatlon and the lntroductlon
of a pollcy of subsldles, are expected to have a blg lmpact on
lndustrlal P&D. These measures fall wlthln the framework of
the natlonal |ndustry, Technology and Trade Pollcy (P|TCL)
adopted ln 2003. The emergence of the Natlonal 8ank for
Lconomlc and Soclal Development (8NDLS) as a fundlng
source for technologlcal development and lndustrlal P&D ls,
posslbly, the most lmportant boost for lndustrlal P&D ln the
country for many years.
As we have seen, research fundlng comes malnly from the
publlc purse (55%). 8razll falls below the OLCD average for
both lts GLPD/GDP ratlo (l.09%) and the share of GLPD
contrlbuted by government (0.59%). To meet the OLCD
average for publlc fundlng of P&D, 8razll would have to
lnvest an addltlonal P$3.3 bllllon (PPP US$ 2.3 bllllon). Thls
amount corresponds to roughly three tlmes the budget of
CNPq.
The largest gap of all wlth the OLCD countrles concerns
buslness spendlng on P&D. Here, the OLCD average (l.58%
of GDP) ls three tlmes that of 8razll (0.48% of GDP). Catchlng
up to the OLCD would entall the Herculean task of ralslng
prlvate P&D expendlture from US$ 9.95 bllllon ln 2008 to US$
33 bllllon. Thls challenge calls for much more enectlve pollcy
lnstruments than those employed thus far by the 8razlllan
state. Moreover, these must not be conned to nanclal
lnstruments, such as government subsldles, tax breaks and
procurement pollcles, but should also encompass the legal
and polltlcal lnstruments necessary to create an envlronment
conduclve to prlvate lnvestment ln P&D.
A nal note ls ln order here to address a questlon that comes
up frequently ln polltlcal clrcles ln 8razll, namely, 'why should
taxpayer money pay for P&D!' As a tentatlve answer, we
would say that there are at least two equally valld
[ustlcatlons for thls. One ls that contrlbutlng to the unlversal
pool of knowledge makes 8razlllans more capable of
determlnlng thelr own destlny. Llke people everywhere,
8razlllans ask themselves, 'How dld the Unlverse begln!''How
does lt work!''why does soclety behave the way lt does!'
'what drlves human belngs towards good or evll!'
Understandlng the classlcs of llterature and appreclatlng
nature and art are part of what makes us human. Studylng
these and an lnnlte number of other questlons enrlches us.
Thls alone would be reason enough to use taxpayer money
to nd sclence-based answers - even lncomplete ones - to
fundamental questlons and thereby lmprove our knowledge
of the Unlverse and humanklnd. Thls endeavour ls obvlously
much more the sphere of unlversltles than lndustry or the
prlvate sector.
The other reason why taxpayer money should nance P&D
seems far more popular nowadays than the rst reason
evoked above: the more knowledge a soclety obtalns by
employlng the sclentlc method, the rlcher lt becomes. Thls
utllltarlan vlew has strong appeal, especlally slnce the
dlscovery of the genome and atomlc energy, and the
lnventlon of the translstor and |nternet.
|n our vlew, both reasons are complementary rather than
antagonlstlc, slnce both percelve sclence as a productlve
force. Thls llne of reasonlng depends strongly on the capaclty
of lndustry and other enterprlses to lmprove 8razlllans'
standard of llvlng to make lts case.
The challenge for 8razll wlll be to turn these dual reasons lnto
a functlonlng tandem by creatlng condltlons under whlch
unlversltles and prlvate companles can, ln the words of
Prancls 8acon
8
, through 'good and sound research', make the
country a better place and a full member ln the concert of
natlons.
||||||||S
A8CP and Thomson venture Lconomlcs (2006) keott lot
the 5econJ 5emestet ol 2003. 30 Aprll. Assoclaao
8rasllelra de Caplta de Plsco (8razlllan Assoclatlon of
venture Capltal). Avallable at:
/www.capltalderlsco.gov.br/vcn/
8. Prancls 8acon (l56l-l626) was an Lngllsh phllosopher, statesman, [urlst,
sclentlst and lawyer who ls consldered the Pather of Lmplrlclsm.
b...||
l2l
8
r
a
z
l
l
8ueno, Pachel (2006) Sucesso de publlco lmpulslona
desenvolvlmento de carros que aceltam especles
dlferentes de combustivel, ln lnovooo un|com,
27 Pebruary. Avallable at
www.lnovacao.unlcamp.br/report
/news-autobosch.shtml
CAPLS (2005) Plono Noc|onol Je Ps-toJuooo 2005.
8rasilla. Avallable at:
www.capes.gov.br/capes/portal/conteudo/l0/PNPG.htm
Glanzel, w. (200l) Natlonal characterlstlcs ln lnternatlonal
sclentlc co-authorshlp relatlons. 5c|entomett|cs
5l(l):69-ll5.
|LD| (20l0) 0esohos Jo lnovooo - lncent|vos oto lnovooo:
O que lolto oo 8tos|l. |nternatlonal Lducatlon
Development |nltlatlve. Pebruary. Avallable at:
www.ledl.org.br/admln_orl/pdf/20l002ll_lnovacao.pdf
|nterAcademy Councll (2006) lnvent|n o 8ettet lutute.
Avallable at: www.lnteracademycouncll.net
1oly, C.A. et ol. (20l0) 8lodlverslty conservatlon research,
tralnlng, and pollcy ln Sao Paulo. 5c|ence 328,
pp.l358-l359.
Leta, 1. and 8rlto Cruz, C.H. (2003) A produao clentica
brasllelra, ln L.8.vlottl and M.M.Macedo (eds)
lnJ|coJotes Je C|nc|o e 7ecnolo|o no 8tos|l,
pp.l2l-l68. Camplnas, Unlcamp Publlshlng.
Alonso, wladlmlr 1. and Pernandez-1urlclc, Lsteban (2002)
Peglonal network ralses prole of local [ournals.
Notute, 4l5 (onllne).
Lovlns, A.8., Data, L. Kyle, 8ustness, O., Koomey, 1.G.,
Glasgow, N.1. (2004) 7he O|l lnJ Come. Avallable at:
www.ollendgame.com/PeadThe8ook.html
Mowery, D.C, Nelson, P.P., Sampat, 8.N, Zledonls, A.A.
(l999) The Lffects of the 8ayh-Dole Act on US
Pesearch and Technology Transfer, ln Lewls M.
8ranscomb, Pumlo Kodama and Plchard Plorlda (eds)
lnJustt|ol|z|n lnowleJe: un|vets|ty-lnJustty
l|nloes |n 1oon onJ the un|teJ 5totes. Harvard
Unlverslty Press, USA.
vanz, Samlle Andrea de Souza (2009) As keJes Je
Coloootooo C|entlhco Jo 8tos|l 2004-2006. PhD thesls.
Pederal Unlverslty Plo Grande do Sul, Porto Alegre.
Avallable at: www.lume.ufrgs.br/
\|bS||S
8razlllan |nnovatlon Agency: www.nep.gov.br
Movement for 8uslness |nnovatlon (Natlonal
Confederatlon of |ndustry):
www.cnl.org.br/lnovacao/
Sclence and Technology |ndlcators, Mlnlstry of Sclence
and Technology:
www.mct.gov.br/lndex.php/content/vlew/73236.html
Sclentlc Llectronlc Llbrary Onllne (Sclelo):
www.sclelo.org
CarIos Henrique de rito Cruz was born ln Plo de
1anelro ln l956. He ls Sclentlc Dlrector of the Sao
Paulo Pesearch Poundatlon (PAPLSP) ln 8razll and
Professor at the Gleb wataghln |nstltute of Physlcs at
the Unlverslty of Camplnas (Unlcamp). He has held
several other posltlons at Unlcamp, lncludlng those
of Pector, Dean of Pesearch and Dlrector of the
|nstltute of Physlcs. Hls research lnterests encompass
sclence pollcy and the study of ultrafast phenomena
uslng femtosecond lasers.
Professor de 8rlto Cruz ls a member of the Academy
of Sclences of the State of Sao Paulo and of the
8razlllan Academy of Sclences.
Hernan Chaimovich was born ln Chlle ln l939. A
blochemlst, he ls Pull Professor at the |nstltute of
Chemlstry at the Unlverslty of Sao Paulo and Chlef
Lxecutlve Omcer of the 8utantan Poundatlon. Hls
sclentlc contrlbutlons focus on synthetlc surfactant
veslcles, lnterfaclal enects on chemlcal and
blologlcal reactlvlty, mltochondrlal uncoupllng
protelns and the consequences of the speclclty of
lon-blndlng on lnterfaces.
Hls research lnterests lnclude hlgher educatlon,
sclence, technology and lnnovatlon. He ls a member
of several learned socletles, lncludlng the 8razlllan
Academy of Sclences, Latln Amerlcan Academy of
Sclences and the Academy of Sclences for the
Developlng world.
7he Jeveloment onJ toJuct|on ol
hotmoceut|cols |n enetol - onJ
o|otechnolo|col toJucts |n ott|culot
- |s w|thout Jouot the most successlul
exomle ol the Cuoon sc|ent|l|c
enJeovout out |t |s not the only oteo
ol |mottonce lot k80. Anothet
|mottont t|ot|ty toJoy |s enety.
0|sostet mon|tot|n onJ m|t|ot|on ote
olso tol|n on o tow|n tole, |n l|ht
ol the thteot ol sttonet hutt|cones,
Jtouhts, cotol oleoch|n onJ llooJ|n
|n lutute os o consequence ol cl|mote
chone.
|smael Clark Arxer
Cuba [10] [P3].qxd:Layout 1 20/10/10 10:46 Page 122
6
.
Cuba
|sn.o| |..k A.xo.
l23
|||O|||O|
The Pepubllc of Cuba ls an archlpelago comprlslng a maln
lsland and more than 4000 smaller lslands and keys, for a
total land area of l09 886 km
2
and a populatlon of roughly
ll mllllon. Cuba ls located ln the Carlbbean Sea [ust south
of the Troplc of Cancer. |ts lmmedlate nelghbours are the
8ahamas, Haltl, 1amalca, Mexlco and the USA.
The youngest Hlspano-Amerlcan republlc, Cuba was
founded ln l902, after a 30-year war of lndependence
agalnst Spanlsh rule whlch ended ln a four-year
occupatlon by US troops ln l898. Durlng the flrst half of
the 20
th
century, Cuba was heavlly controlled by forelgn
lnterests wlthln a plantatlon and extractlve economy.
A report by the oJ hoc Truslow Commlsslon of the
|nternatlonal 8ank for Peconstructlon and Development,
whlch had travelled to Cuba to study the provlslon of
loans, stated unequlvocally ln l950 that 'ln the fleld of
applled research and labs, there was no development at
all ln Cuba' (Saenz and Garcia-Capote, l989).
1ust months after establlshlng a revolutlonary
government, Presldent Pldel Castro made hls flrst sclence
pollcy statement ln 1anuary l960. 'The future of our
country has to be necessarlly a future of men |and
women| of sclence, of men |and women| of thought', he
sald, 'because that ls preclsely what we are mostly sowlng,
what we are sowlng are opportunltles for lntelllgence'
(Castro, l960).
Thls has been the cornerstone of Cuba's sclentlflc
development ever slnce. Pollowlng the revolutlon, the
development model evolved lnto a state-planned
economy wlth educatlon and sclentlflc development as
hlgh prlorltles. Most of the research centres ln Cuba today
were born of research groups, or started out as lnstltutes,
ln the decades lmmedlately followlng the Cuban
revolutlon ln l959. Some of these centres, llke the
Natlonal Centre for Sclentlflc Pesearch (CLN|C) founded ln
l965, played an essentlal role ln tralnlng young sclence
students at home and ln the eventual establlshment of
many other research lnstltutlons.
8y the dawn of the 2l
st
century, Cuba was percelved as
belng a proflclent country ln terms of sclentlflc capaclty,
desplte havlng experlenced more than four decades of a
trade embargo and restrlctlons on sclentlflc exchanges
lmposed by successlve US admlnlstratlons (1orge-Pastrana
and Clegg, 2008). |n a study commlssloned by the world
8ank ln 200l, wagner et ol of PAND, an S&T thlnk tank ln
the USA, classlfled natlons lnto four categorles accordlng
to thelr sclentlflc prowess: developed, proflclent,
developlng and lagglng. |n Latln Amerlca and the
Carlbbean, only 8razll and Cuba quallfled as 'proflclent'.
Cuba ls stlll recoverlng from the effects of the severe
economlc crlsls caused by the collapse of lts maln tradlng
partner, the Sovlet Unlon, ln the early l990s: GDP dropped
by about 40% ln less than flve years and new markets had
to be found for up to 75% of forelgn trade, under very
dlfflcult credlt condltlons.
Plgure l shows a sustalned, lf modest, lncrease ln Cuba's
GDP between 2003 and 2007. The result ls that the
country's GDP, both overall and per caplta, ls now on a par
wlth levels at the end of the l980s. Today, Cuba ranks
among medlum-lncome countrles. |t ls lnterestlng to note
the growth ln the percentage of GDP contrlbuted by
communlty, soclal and personal servlces: thls grew from
25.5% ln 2002 to 34.5% ln 2007. Cuba has also dlverslfled
lts economlc tles. |n 2006, lts maln forelgn tradlng
partners were venezuela, Chlna, Spaln and Canada,
ln descendlng order.
C
u
b
a
Figure 1: Growth ln Cuba's GDP and per-caplta GDP,
2003-2007 (%)
0 2 4 6 8 10 12
GDP per capita
GDP at constant prices
2007
2006
2005
2004
2003
Growth rate (%)
11.2
3.8
11.1
3.5
5.8
12.1
7.3
5.6
7.3
12.1
5outce: ONL (2008) 5tot|st|cs eotoool 2007
Schoolchlldren
dlscoverlng a
telescope
Photo:
Oscot lvotez/
Cuoon AcoJemy
ol 5c|ences
|||SO S|||| |||O| 2010
O|A||A|O| O| ||S|A||
|n the mld-l990s, a Mlnlstry for Sclence, Technology and
Lnvlronment (C|TMA) was establlshed wlth the alm of
harnesslng Cuban sclentlflc knowledge to a more
sustalnable form of development. The mlnlstry
encompasses a dozen sclence centres of natlonal lnterest,
some of these are among the best ln the country, llke the
|nstltute of Meteorology (Table l). There are subordlnate
executlve offlces ln each of the country's l4 provlnces,
as well as co-ordlnators for the l69 munlclpalltles.
|n l996, the Cuban Academy of Sclences was reorganlzed.
After 35 years of worklng malnly as a support body for
research and development (P&D), the members agreed to
new statutes allowlng the academy to return to lts tradltlonal
role of prlmary sclentlflc advlsory body. The lnstltutlon ls now
also responslble for recognlzlng excellence ln research and
for actlng as the representatlve of the Cuban sclentlflc
communlty, both ln Cuba and abroad. The academy has a
very long tradltlon. |t was one of the flrst merlt-based
l24
natlonal academles of sclence to be establlshed outslde
Lurope, ln l86l, even though lt langulshed for most of the
flrst half of the 20
th
century for the reasons evoked above.
An overall Not|onol Plon lot 5c|ence onJ 7echnoloy ls
prepared each year by C|TMA. The Plon ls followed up by
speclallzed staff and the accompllshment of ob[ectlves
and overall progress ls perlodlcally revlewed by expert
groups organlzed by C|TMA. Prlorlty ls glven to pro[ects
wlthln the Natlonal Pesearch Programmes ln Sclence and
Technology whlch have been approved at the hlghest
level of C|TMA, accordlng to a peer revlew process,
and whlch are ln turn funded by the state budget.
Other mlnlstrles select and support sector-targeted S&T
programmes ln a slmllar fashlon.
An analogous procedure ls followed at the provlnclal level
at the demand of terrltorlal authorltles. Delegate Offlces of
C|TMA contrlbute to the selectlon of local pro[ects and to
follow-up processes. These local P&D pro[ects are also
funded by the state budget and usually lmplemented by
unlverslty research groups or sclentlflc centres located ln
the terrltory.
|| ||||
R&D expenditure
Gross domestlc expendlture on P&D (GLPD) ln Cuba ls
more or less on a par wlth the mean for Latln Amerlca and
the Carlbbean, although reglonal spendlng has surged ln
recent years. The sltuatlon ls more or less equlvalent for
overall S&T expendlture (Plgure 2).
Most P&D pro[ects wlth a dlrect llnk to the lmmedlate
demands of the productlve sector are funded by
enterprlses (Plgure 3). The share of buslness fundlng of
P&D has decllned ln recent years (Plgure 4).
Human resource issues
|n 2008, 53.5% of all S&T professlonals were women.
Cuba ls second only to Uruguay ln Latln Amerlca for thls
lndlcator, accordlng to P|CT (20l0). Thls proportlon wlll
tend to lncrease, slnce 60% of graduates enterlng lnto a
sclentlflc career were women ln 2008 (ONL, 2008).
Tertlary educatlon ln Cuba today comprlses 65 centres
of hlgher educatlon, spread across more than
3500 campuses at the munlclpal level.
Table 1: Cuba's top 20 S&T research lnstltutlons`
Centre of Pharmaceutlcal Chemlstry www.cqf.sld.cu
Cuban |nstltute of Sugar Cane Derlvatlves www.lcldca.cu
|nstltute of Anlmal Sclence www.lca.lnf.cu
Unlverslty of Havana www.uh.cu
Centre of Genetlc Lnglneerlng and www.clgb.edu.cu
8lotechnology
|nstltute of Troplcal Medlclne Pedro Kouri www.lpk.sld.cu
Havana Technologlcal Unlverslty 1ose A. www.cu[ae.edu.cu
Lchevarria
|nstltute of Cybernetlcs, Mathematlcs and www.lcmf.lnf.cu
Physlcs
Centre of Molecular |mmunology www.clm.sld.cu
Plnlay |nstltute (vacclnes P&D) www.flnlay.edu.cu
Las vlllas Central Unlverslty Marta Abreu www.uclv.edu.cu
Natlonal Centre for Plant and Anlmal Health www.censa.edu.cu
Natlonal Centre of Sclentlflc Pesearch www.cnlc.edu.cu
Natlonal |nstltute of Agrlcultural Sclence www.lnca.edu.cu
8loplants Centre - Clego de Avlla Unlverslty www.bloplantas.cu
Cuba Neurosclence Centre www.cneuro.co.cu
|nstltute of Plant Health Pesearch www.lnlsav.cu
Natlonal |nstltute of Lconomlc Pesearch www.lnle.cu
|nstltute of Lcology and Systematlcs www.ecosls.cu
|nstltute of Meteorology www.lnsmet.cu
`Measured ln terms of the number of prlzes awarded by the Cuban
Academy of Sclences over l997-2006, on the basls of the number of
papers publlshed, the soclo-economlc beneflt of a research result, etc.
Source: author
Jb.
l25
Plrst-year enrollment ln hlgher educatlon more than
doubled between 2004/2005 and 2007/2008, from
36l 845 to 743 979. The soclal sclences and humanltles
contlnue to attract the greatest number of vocatlons,
followed by the medlcal sclences, wlth l87 690 flrst-year
students ln 2007/2008. A further 42 74l students chose
englneerlng ln 2007/2008. Lnrollment ln the natural
sclences and mathematlcs has remalned stable, wlth 3 970
flrst-year students ln 2004/2005 and 3 922 ln 2007/2008.
The total number of graduates has lncreased each year
thls century, wlth an lmpresslve leap ln 2007/2008 to
7l 475, compared to 44 738 the year before. Thls
performance ls largely due to the surge ln graduates ln
health-related dlsclpllnes, who numbered 8 396 ln
2006/2007 and 24 44l [ust twelve months later. On the
fllpslde, the number of graduates ln the natural sclences
and mathematlcs remalns low: they numbered 60l ln
2003/2004 and 559 ln 2007/2008. Today, there are more
than 900 000 unlverslty graduates ln Cuba, out of a
populatlon of ll mllllon.
Sclentlsts, englneers and technlclans are employed ln the
ll9 P&D lnstltutlons Cuba counts ln lts l4 provlnces and ln
34 other lnstltutlons performlng S&T servlces. However, only
a small mlnorlty (7.3%) of P&D personnel are employed as
researchers. |n 2006, the work of 7.l Cubans ln every l 000
was related to S&T ln one way or another, a ratlo whlch had
dropped to 6.4 by 2007 (P|CT, 20l0).
Cubas National Research Programmes
Natlonal Pesearch Programmes ln Sclence and Tech nology
(NPPs) ln 2009 are llsted ln Table 2. Some of these date back
to prevlous perlods, as ln the case of the Programme for
Global Change and the Lvolutlon of the Cuban Lnvlronment.
One of the new NPPs ls devoted to |nformatlon and
Communlcatlon Technologles (|CTs). |n fact, slnce the end of
2002, computer sclence has been glven a boost wlth the
establlshment of a large Unlverslty of |nformatlcs Sclence.
The maln campus ls located ln Havana, wlth three branches
elsewhere ln the country. |n 2006, thls unlverslty reached lts
deslgned capaclty of l0 000 students, all of whom
partlclpate actlvely ln the appllcatlon of research ln
lnformatlcs to the Cuban economy and soclety. As part of
efforts to spread computer llteracy to all those lnterested to
learn and ln the perspectlve of progresslve use of
lnformatlcs ln soclety, a network of local computer clubs has
been put ln place country-wlde slnce l990. Thls scheme has
been renewed and dupllcated onllne ln the past flve years.
As of 2009, there were 602 cyber-clubs dlstrlbuted across
the country, lnterconnected through an |ntranet servlce.
|nternet access remalns very low, at [ust ll.6% ln 2007
accordlng to the Unlted Natlons Statlstlcal Dlvlslon, although
thls ls a great lmprovement over the prevlous year (2.l%).
Gradual expanslon of access to |nternet wlll be dependent
on the condltlons under whlch connectlvlty can be assured.
Lxpandlng connectlvlty ls restrlcted by the hlgh cost of the
C
u
b
a
Figure 2: Cuban expendlture on S&T and P&D, 200l-2007 (%)
Cuba
Of which R&D
Latin America
Total S&T
Of which R&D
Total S&T
0.53
0.72
0.98
0.53
0.71
0.54
0.54
0.71
0.54
0.69
0.52
0.71
0.72
0.69
0.54 0.54
0.88
0.94 0.93
0.84
0.87
1.09
0.0
0.2
0.4
0.6
0.8
1.0
2005 2006 2007 2004 2003 2002 2001
0.56 0.51
0.41
0.44
0.60
0.67
5outce: P|CT (20l0) ll lstoJo Je lo C|enc|o
P
e
r
c
e
n
t
a
g
e
o
f

G
D
P
|||SO S|||| |||O| 2010
satelllte channels used - so far, the country's only avallable
posslblllty. |t ls also restrlcted by the refusal up to now to
allow Cuba to connect to |nternet uslng an optlc flbre cable
vla elther Plorlda or Mexlco, due to the US economlc
blockade, slnce both cables are managed by US companles.
Other lmportant NPPs are devoted to neurosclences and to
promotlng baslc research ln mathematlcs, physlcs and
l26
computer sclence. et other programmes deal wlth
prevlously well-establlshed prlorltles, as ln the case of plant
blotechnology and sustalnable food productlon. As a matter
of fact, the lmpact of Cuban blotechnology on agrlculture and
food productlon has been slgnlflcant. Several pro[ects for the
development of transgenlc plants contalnlng genes for
reslstance to pests and dlseases were under development ln
2009. The potentlal of transgenlc plants as systems for the
expresslon of recomblnant protelns ls belng actlvely explored.
Soclal sclences are also part of the NPP. Partlcular pro-
grammes are orlented, for example, towards coplng wlth
speclflc features and problems of Cuban soclety or ln
ldentlfylng and analyslng ma[or trends ln the global economy.
The sclentlflc endeavour devoted to energy efflclency and
the use of renewable energy sources does not quallfy as
an NPP but ls nevertheless part of a huge State effort to
ratlonallze energy consumptlon and promote savlngs.
Partlcular attentlon ls also belng pald to the lntegrated
management of water and soll resources, ln order to cope
wlth drought and lts effects. As a number of pro[ects
under thls sclentlflc endeavour are consldered a prlorlty,
they are lncluded ln the natlonal S&T budget.
The same goes for nanosclences. The government ls
beglnnlng to bulld capaclty ln thls fleld by provldlng baslc
facllltles and tralnlng personnel. Although nanosclences
are not formally recognlzed as an NPP, some related P&D
pro[ects are belng carrled out wlthln the framework of the
NPP devoted to new materlals.
Figure 3: GLPD ln Cuba by source of funds, 200l-2007
5outce: UNLSCO |nstltute for Statlstlcs database, 1une 20l0
Foreign
Government
Business
2001
6.2
36.2
57.6
13.0
2008
18.0
69.0
Figure 4: GLPD ln Cuba by source of funds, 200l
and 2008 (%)
0
50
100
150
200
250
300
m
i
l
l
i
o
n
s

o
f

p
e
s
o
s
2007 2006 2005 2004 2003 2002 2002
Other sources
Business
Government
Total
255.6
153.3
89.5
12.8
179.1
103.2
64.8
11.1
Jb.
l27
The priority given to biotechnology
|n the early l980s, Cuba stepped up lts lnternatlonal
exchanges. Thls ln turn made lt more vulnerable to some
eplzootlcs and epldemlcs. Thls would mark a turnlng polnt
ln Cuba's commltment to P&D: the comblnatlon of these
two factors, coupled wlth the avallablllty of a core human
potentlal, would motlvate Cuba to develop the sclentlflc
establlshment further and expand lts base lnto the
natlonal economy. Thls heralded the beglnnlng of
accelerated research ln molecular blology and genetlc
englneerlng whlch would culmlnate ln the foundlng of
the Centre of Genetlc Lnglneerlng and 8lotechnology ln
l986, one of Cuba's top P&D lnstltutlons.
Over a perlod of 20 years or so, the Cuban government
lnvested around US$l bllllon to develop the country's flrst
and most lmportant sclence node - that of west Havana -
comprlslng of 52 lnstltutlons and enterprlses related to
blotechnology, coverlng research, educatlon, health and
economlcs. Ten lnstltutlons form the core of thls node,
ln that they support the entlre effort flnanclally through
thelr productlon capacltles and exports.
|n 2008, these l0 lnstltutlons were carrylng out more than
l00 research pro[ects, malnly related to blotechnology
applled to human health, these have generated a product
plpellne of more than 60 new products. Most of these
products are protected by lntellectual property rlghts and
more than 500 patents have been flled abroad. Several
Cuban sclentlflc results have been awarded the world
|ntellectual Property Organlzatlon (w|PO) Gold Medal.
The case of blotechnology ls typlcal of Cuba's approach to P&D:
I the Cuban government ls the source of lnvestment,
I blotechnology ls part of the natlonal health system
and, for thls reason, natlonal needs become a prlorlty,
I success ln blotechnology ls essentlally supported by
Cuban sclentlsts and professlonals,
I blotechnology follows a 'closed cycle' from research to
commerclallzatlon by fully lntegrated state lnstltutlons,
wlth proflts generated from sales ln forelgn markets,
an lmportant part of whlch ls relnvested ln P&D,
I natlonal collaboratlon replaces competltlon among
lndlvlduals as a drlvlng force of Cuban blotechnology,
I 'spln off' state enterprlses grow out of sclentlflc
lnstltutlons,
I success ln product development has ln turn lmproved
Cuba's ablllty to access forelgn markets, especlally ln the
developed world, ln terms of quallty, productlon volumes,
cost, novelty and [olnt ventures (Lopez Mola et ol, 2006).
Two good examples are the llcenslng agreements slgned
ln 2005 wlth Chlna's 8lotech Pharmaceutlcal Ltd for the
[olnt development, productlon and marketlng of
monoclonal antlbodles to treat auto-lmmune dlseases
and lymphomas, and, secondly, the agreement slgned ln
2004 wlth the Amerlcan corporatlon Cancervax for
technology transfer ln vacclne productlon from Cuba to
the USA to combat mallgnant dlseases.
Other R&D piorities
The development and productlon of pharmaceutlcals ln
general - and blotechnologlcal products ln partlcular - ls
wlthout doubt the most successful example of the Cuban
sclentlflc endeavour but lt ls not the only area of
lmportance for P&D.
Another lmportant prlorlty today ls energy. P&D ln thls area ls
malnly related to wlnd energy productlon, hydropower, solar
photovoltalc and - to a lesser extent - thermal energy from
blomass. Generally speaklng, prlorlty ls glven to methods of
savlng energy and to the efflclent use of every energy source.
Cuba began lnventorylng and evaluatlng lts natural resources
and ecosystems some decades ago. A comprehenslve report
updatlng the state of the envlronment was commlssloned by
C
u
b
a
Table 2: Cuba's Natlonal Pesearch Programmes, 2009
Natlonal Pesearch Developments ln Neurosclences
Agrlcultural Productlon for Pood Securlty
Lnergy Pesources for Sustalnable Development
8aslc Pesearch ln Mathematlcs, Physlcs and Computer Sclence
|nformatlon and Communlcatlon Technologles
New Materlals
The Sugar |ndustry
Agrlcultural 8lotechnology
Pharmaceutlcal and 8lotech Products
Human and veterlnary vacclnes
Sustalnable Development of Mountaln Peglon Lcosystems
Cuban Soclety: Challenges and Perspectlves
The Cuban Natlonal Lconomy
Trends ln the world Lconomy and |nternatlonal Pelatlons
Global Change and the Lvolutlon of the Cuban Natural
Lnvlronment
Plant 8reedlng and Genetlc Pesources
Total: 21 million pesos (US$21 million)
5outce: author
|||SO S|||| |||O| 2010
C|TMA and eventually released ln October 2008, followlng the
latest methodologlcal guldellnes establlshed by the Unlted
Natlons Lnvlronment Programme (C|TMA-UNLP, 2008). More
than 70 PhD holders from more than 50 natlonal lnstltutlons
partlclpated ln the study. The report covers such key areas as
solls, water resources, blologlcal dlverslty and the
atmosphere, lt provldes a sclence-based approach to
sustalnable management of hydrographlc baslns, coastal
areas and the urban envlronment, these belng consldered the
maln areas on whlch to focus management by the dlfferent
authorltles lnvolved under the guldance of C|TMA.
Dlsaster monltorlng and mltlgatlon ls taklng on a growlng
role, ln llght of the threat of stronger hurrlcanes, droughts,
coral bleachlng and floodlng ln future as a consequence of
cllmate change. An evaluatlon was under way ln 2009 of
Cuba's vulnerablllty to extreme natural events, adaptatlon
to these and mltlgatlon of thelr effects. Larly warnlng
systems are constantly belng lmproved. when Hurrlcane
Gustav, the worst storm Cuba had seen for 50 years, struck
on 30 August 2008, followed [ust days later by Hurrlcane
|ke, approxlmately 2.7 mllllon Cubans were evacuated.
Lconomlc losses totalled an estlmated US$5 bllllon but,
thankfully, there were almost no casualtles.
|| O|||
Sclentlflc output ln Cuba, as expressed by sclentlflc papers
publlshed ln lnternatlonal [ournals, compares favourably
wlth the mean for Latln Amerlca and the Carlbbean.
However, avallable data show that, whereas Cuba was
l28
sllghtly ahead of the rest of the reglon ln 200l ln terms of
papers per l00 000 populatlon, the reglonal mean has
slnce progressed. |f we take the level of GDP lnto
conslderatlon ln calculatlng sclentlflc authorshlp, the data
palnt a slmllar plcture for the flrst few years of the decade.
However, both Cuba and the reglon begln loslng ground
from 2005 onwards (Plgure 5).
Desplte thls modest numerlc output ln lnternatlonal
publlcatlons, the results of Cuban research ln several sclentlflc
dlsclpllnes are of a hlgh quallty. |n vacclne development, Cuba
ls even at the forefront of research. One lmportant detall ls
that these results have a hlgh local soclal lmpact, all Cuban
chlldren are vacclnated, for lnstance, agalnst l3 dlseases and
elght of these vacclnes are produced locally.
Among Cuban pharmaceutlcal products, several should
be hlghllghted. These lnclude: the menlngltls 8 vacclne,
a recomblnant vacclne for hepatltls 8, a recomblnant
streptoklnase thrombolytlc agent, the cholesterol-lowerlng
Atheromlxol plll, recomblnant human erythropoletln and
colony-stlmulatlng factors. The llst ls long. To lt has recently
been added a proprletary humanlzed antlbody for the
treatment of cancer.
|n the dlagnostlc fleld, networks of neural dlagnostlcs
laboratorles and ultra-mlcro Lllsa systems (SUMA) for early
lnfant dlagnosls, blood safety and epldemlol oglcal
survelllance have been establlshed and contlnually
lmproved and expanded slnce the mld-l980s. These offer
coverage for the screenlng of the entlre Cuban populatlon
that ls unparalleled ln the world.
Figure 5: Cuban vlslblllty ln lnternatlonal sclentlflc publlcatlons, 200l-2007
Poets uol|sheJ et 100 000 oulot|on
0
1
2
3
4
5
6
7
8
2005 2004 2007 2006 2003 2002 2001
6
.
4
5
5
.
8
7
5
.
6
7
6
.
3
9
6
.
4
8
6
.
6
4
5
.
8
9 6
.
8
0
6
.
5
4
7
.
1
0
7
.
4
5
7
.
5
0
6
.
6
7
8
.
2
0
Poets uol|sheJ et u55 o|ll|on C0P
0
5
10
15
20
25
2005 2004 2007 2006 2003 2002 2001

2
1
.
4
6

1
5
.
2
7

1
7
.
5
9

1
8
.
9
3

1
8
.
7
9

1
9
.
1
4

1
6
.
0
7

1
7
.
1
9

1
5
.
8
7

1
4
.
9
7
1
4
.
8
6

1
3
.
7
3

1
2
.
7
6

1
3
.
0
5
Latin America and Caribbean Cuba
Jb.
l29
The lmpact on the populatlon's health ls evldent: menlngltls
epldemlcs have dlsappeared and hepatltls 8 ls on the brlnk of
belng eradlcated from the lnfant populatlon. The entlre Cuban
populatlon under 22 years of age ls lmmunlzed agalnst
hepatltls 8, the lncldence of whlch ls the lowest ln the world.
|||||A|O|A| |||A|O|S
The growing visibility of Cuban science
The vlslblllty of Cuba ln the lnternatlonal sclentlflc
communlty has lncreased somewhat ln recent years. |n 1uly
2004, the Amerlcan [ournal 5c|ence publlshed a paper on
the develop ment at the Unlverslty of Havana of a synthetlc
con[ugate polysaccharlde vacclne agalnst loemoh|lus
|nlluenzoe type 8. Thls bacterlum ls responslble for half of
the bacterlal lnfectlons ln chlldren under the age of flve,
lncludlng some of the most feared, llke menlngltls. |n
September of the followlng year, 5c|ence showcased Maria
Guzman, head of the vlrology department at the Troplcal
Medlclne |nstltute Pedro Kouri (|PK) ln Havana and a
leadlng world expert on dengue fever. Guzman was
presented as one of l2 'global volces of sclence' ln an lssue
commemoratlng the [ournal's l25
th
annlversary.
|n 2008, the Cuban Academy of Sclences awarded a natlonal
prlze for the development and commerclal productlon of
the flrst pentavalent vacclne produced ln the developlng
world. The result of close co-operatlon among several
Cuban centres of excellence, thls new synthetlc vacclne
provldes protectlon agalnst l. |nlluenzoe lnfectlons, as well
as tetanus, dlphtherla, whooplng cough and hepatltls 8.
|n December of the same year, Notute 8|otechnoloy
publlshed a revlew of the Cuban blotech lndustry.
Artlcles wrltten by young Cuban authors ln baslc sclences are
also belng publlshed ln hlgh-ranklng lnternatlonal sclentlflc
[ournals llke the lntetnot|onol 1outnol ol Vothemot|cs and
Vothemot|col 5c|ences (Abreu, 2005). Accordlng to data
avallable at Thomson Peuter's web of Knowledge, Cuban
physlclsts were clted, on average, 60 tlmes per year ln
2004-2008, a slgnlflcant lncrease. See also Plgure 6.
International scientific co-operation
The Cuban sclentlflc establlshment ls actlve ln lnternatlonal
co-operatlon, through bllateral agreements and by way of
partlclpatlon ln lnternatlonal organlzatlons. 8llateral
agreements coverlng a wlde range of research toplcs are ln
place wlth Argentlna, 8razll, Colombla, Mexlco and venezuela.
8eyond the reglon, Chlna, |ndla and Malaysla are the maln
partners. Cuba ls an actlve member of the |nternatlonal
Councll for Sclence and the |nterAcademy Panel for
|nternatlonal |ssues. |t also belongs to reglonal bodles llke
the |nterAmerlcan Network of Sclence Academles and the
Carlbbean Sclentlflc Unlon. The embargo has not been
effectlve ln preventlng lnternatlonal co-authorshlp of
sclentlflc publlcatlons, except as concerns co-operatlon
wlth US sclentlsts.
C
u
b
a
Figure 6: Publlcatlons ln Cuba by ma[or fleld of sclence, 2000-2008
0
50
100
150
200
250
2007 2006
214
156
96
90
81
79
33
26
2005 2004 2003 2002 2001 2000 2008
Mathematics
Engineering and technology
Earth and space
Clinical medicine
Chemistry
Biomedical research
Biology
Physics
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxtended) complled for UNLSCO by
the Canadlan Observatolre des sclences et des technologles
|||SO S|||| |||O| 2010
Ongoing medical assistance to developing countries
Cuba also provldes medlcal asslstance to developlng
countrles confronted wlth an emergency. As a typlcal
example, Cuba and 8razll both responded to a wHO
request ln 2007 to provlde the large quantltles of doses of
A-C antl-menlngococcal vacclne requlred by Afrlcan countrles
faclng health emergencles. The reglon at rlsk ls home to
400 mllllon people and covers 2l countrles, lncludlng 8urklna
Paso, Ghana, Mall, Nlger, Nlgerla and Sudan.
Cuban medlcal co-operatlon goes back over 40 years but
lt changed lnto hlgher gear wlth the launch of the
Comprehenslve Health Programme (CHP) ln l998. Thls
began as an emergency response to the lnternatlonal
appeal for help formulated by the presldents of Central
Amerlcan countrles devastated by Hurrlcane Mltch.
Gradually, CHP developed lnto a regular asslstance
programme for Central Amerlcan and Carlbbean countrles.
At the request of thelr governments, the geographlcal
scope of the programme was later broadened to lnclude
some Afrlcan countrles. As of 2009, Cuban collaborators
worklng for the CHP had provlded medlcal care to
95.4 mllllon people and performed surgery on more than
2.2 mllllon patlents. At last count, Cuban personnel had
vacclnated 9.4 mllllon people.
O|||S|O|
8y harnesslng S&T to soclal needs over the past 40 years,
Cuba has managed to eradlcate llllteracy, extreme
poverty, hunger and lnfant deaths due to preventlve
dlseases. Today, the country ranks 5l
st
ln the UNDP's
Human Development |ndex, placlng lt among countrles
wlth hlgh human development (UNDP, 2009). Cuba's level
of development ls consldered as belng on a par wlth that
of Uruguay (50
th
), Mexlco (52
nd
) and Costa Plca (54
th
), and
as dlstanclng 8razll (75
th
). |n the reglon, besldes Uruguay,
only 8arbados (37
th
), Argentlna (49
th
), Chlle (44
th
) and
Antlgua and 8arbuda (47
th
) rank hlgher. Moreover,
accordlng to the world wlde Pund Por Nature's l|v|n
Plonet report of 2006, Cuba ls the only country wlth an
acceptable 'ecologlcal footprlnt' (wwP, 2006, page l9).
where should Cuba go from here! Speclal care wlll need to
go lnto updatlng and strengthenlng the technologlcal
lnfrastructure of lts P&D lnstltutlons. Por example, between
2005 and 2008, the Cuban government modernlzed the local
Meteorologlcal Servlce operated by the |nstltute of
l30
Meteorology by lnstalllng modern computlng systems and
other equlpment. |n 2009, thls was stlll work ln progress
but there were already slgns of a marked lmprovement ln
the efflclency of the early warnlng and hurrlcane-tracklng
systems. Thls modernlzatlon process should extend
progresslvely to other branches of meteorologlcal sclence llke
the mathematlcal modelllng of potentlally dangerous natural
events. |n the near future, lt wlll be lmperatlve to update the
research technology of centres lnvolved ln other absolute
prlorltles for P&D, such as food securlty or energy research.
Some strateglc areas have been proposed as prlorltles for
the short and medlum term, to drlve renewed lnvestment
ln S&T lnfrastructure, whlch wlll of course be dependent on
the country's posslbllltles for fundlng. These areas have
been ldentlfled by means of a detalled consultatlon
process conducted ln 2007-2008 by C|TMA, ln whlch the
Academy of Sclences took part. The process recelved lnput
from more than 600 sclentlflc experts, unlverslty professors
and declslon-makers, and lncludes contrlbutlons from
terrltorlal authorltles and buslness leaders. The ldentlfled
strateglc areas can be summarlzed as follows:
I |nnovatlon conduclve to lmport substltutlon, a hlgher
standard of llvlng and more efflclent productlon
processes, such as ln the areas of food productlon,
constructlon technologles, water management,
energy-efflclent technologles and renewable sources
of energy. 8y 2020, lt ls hoped that l8% of the
country's total energy consumptlon wlll be provlded
by renewable sources.
I Competltlve opportunltles to attaln a level of
excellence ln areas where Cuba has recognlzed
capacltles, or ls developlng such capacltles, ln order to
enhance exports and lmprove llvlng condltlons:
prlmarlly, selected areas of blotechnologles, |CTs and
advanced medlcal equlpment, thls lncludes the
expanslon of speclallzed value-added S&T servlces,
as ln the case of medlclne.
I S&T flelds ln whlch Cuba must reach the forefront of
knowledge or keep up wlth relevant new and
convergent developments, such as materlals sclence,
blolnformatlcs and neurosclences. wlth regard to
nanosclence and nanotechnology, a government
endeavour ls currently devoted to capaclty-bulldlng,
wlth speclal emphasls on tralnlng hlghly quallfled
human resources to work ln the fleld.
Jb.
l3l
I S&T problems that are especlally relevant to Cuba's
sustalnable soclo-economlc development and to
whlch slgnlflcant contrlbutlons can be provlded by the
natlonal ST| system. Lfforts ln thls area malnly focus on
devlslng sclence-based measures to adapt to the
lmpact of cllmate change, as well as applled research
related to reduclng vulnerablllty to natural dlsasters.
b|b||O|A||+
Abreu, Plcardo (2005) Plemann 8oundary value Problem
for Hyperanalytlc Punctlons. lntetnot|onol 1outnol ol
Vothemot|cs onJ Vothemot|col 5c|ences, vol. l7,
pp. 282l-2840.
Castro, Pldel (l960) ll lututo Je nuestto Pott|o t|ene que set
necesot|omente un lututo Je lomotes Je C|enc|o.
Natlonal Agrarlan Peform |nstltute (|NPA), Havana.
C|TMA (2007) Annuol keott 2007. Cuban Mlnlstry for
Sclence, Technology and Lnvlronment.
Clark Arxer, |. (l999) l38 Anos de la Academla de Clenclas
de Cuba: vlslon de la Clencla en el Proceso Hlstorlco
Cubano. Ldltorlal ln AcoJem|o, Havana.
Pernandez Marquez, A. and Perez de los Peyes, P. (eds) |ln
press|. lvoluot|on ol the Cuoon lnv|tonment: ClO Cuoo
2007. Cuban Mlnlstry for Sclence, Technology and
Lnvlronment and Unlted Natlons Lnvlronment
Programme.
Galbralth, 1ames K. (2002) A Perfect Crlme: |nequallty ln
the Age of Globallzatlon. 0oeJolus, l3l:l, pp. ll-25.
1orge-Pastrana, Serglo and Clegg, Mlchael (2008) US-Cuban
sclentlflc relatlons. 5c|ence, 322, l7 October, p. 345.
Lopez Mola, Lrnesto, Sllva, Plcardo, Acevedo, 8orls,
8uxado, 1ose A., Agullera, Angel, Herrera, Luls (2006)
8lotechnology ln Cuba: 20 years of sclentlflc, soclal
and economlc progress. 1outnol ol Commetc|ol
8|otechnoloy, l3, pp. l-ll.
ONL (2008) 5tot|st|cs eotoool 2007. Oflclna Naclonal de
Lstadistlca (Cuban Natlonal Statlstlcs Offlce): www.one.cu
Saenz, T., Garcia-Capote, L. (l989) Clencla y Tecnologia en
Cuba. Ldltorlal ln C|enc|os 5oc|oles. Havana.
UNDP (2009) lumon 0eveloment keott 2009. Overcomlng
8arrlers: Human Moblllty and Development. Palgrave.
Unlted Natlons Development Programme.
C
u
b
a
wagner, C., 8rahmakulam, |., 1ackson, 8., wong, A., oda, T.
(200l) 5c|ence onJ 7echnoloy Colloootot|on: 8u|lJ|n
Cooc|ty |n 0evelo|n Countt|es/ PAND Sclence and
Technology report MP-l357, March. Peport prepared
for the world 8ank.
wwP (2006) l|v|n Plonet keott 2006 world wlde Pund Por
Nature: www.panda.org/lndex.cfm!uNews|D83520
\|bS||S
Academy of Sclences of Cuba: www.academlaclenclas.cu
Cuban Natlonal Statlstlcal Offlce: www.one.cu
Ismael Clark Arxer was born ln Havana ln l944.
After graduatlng as a medlcal doctor from the Unlverslty
of Havana ln l967, he speclallzed ln cllnlcal blo chemlstry
at the Natlonal Centre for Sclentlflc Pesearch. Hls work
there was lnterrupted ln l975 when he took up a one-
year fellowshlp at Prledrlch-Schlller Unlverslty ln Germany.
Dr Clark Arxer has been llnked to the Cuban Academy of
Sclences slnce l977, actlng successlvely as General Sclentlflc
Secretary, vlce-Presldent for 8lology and Medlclne, and as
the Academy's Plrst vlce-Presldent. Pollowlng the creatlon of
the Mlnlstry for Sclence, Technology and Lnvlronment ln
l994, he was appolnted Plrst vlce-Mlnlster. Two years later,
he was made Presldent of the Cuban Academy of Sclences
at the tlme of lts reorganlzatlon.
He was the elected Chalrman of the Carlbbean
Assoclatlon of States' Speclal Commlttee for Co-operatlon
ln Lducatlon, Sclence and Technology, Health and
Culture from l996 to l998, and he served from 2000 untll
2005 as Secretary of the Carlbbean Sclentlflc Unlon.
Dr Clark Arxer ls Pull Professor at the Unlverslty of
Havana and at the Hlgher |nstltute of Technology and
Applled Sclences (lnSTLC). He ls a member of both the
Carlbbean Academy of Sclences and of the Academy of
Sclences of the Domlnlcan Pepubllc. Many of hls
artlcles have been publlshed ln Cuban [ournals and ln
speclallzed volumes ln Mexlco, Spaln, Trlnldad and
Tobago and venezuela.
One ot|ht sot |n on othetw|se
tothet somote tooleou |s the locus
on h|het eJucot|on.
Harold Pamklssoon and |shenkumba A. Kahwa
Caricom_v7 [P3].qxp:Layout 1 18/10/10 18:31 Page 132

.
The CAP|COM countrles
|..c|J |.nk|ssccr .rJ |s|orkJnb. A. |.|..
l33
|||O|||O|
Llke elsewhere, the Carlbbean reglon faces numerous
challenges ln a world that ls becomlng more and more
lnterconnected. The peak ln lnternatlonal prlces of food
and energy ln 2007 and 2008 has further weakened the
fraglle economles of many countrles. |n 1amalca, for
example, the lmport blll for petroleum products of
roughly US$2 bllllon ln 2007 was slmllar to the value of
exports, whlch stood at nearly US$l.8 bllllon the same
year, ln 2006, the lmport blll had represented [ust 66% of
export earnlngs (Government of 1amalca, 2006).
|n such a cllmate, most governments ln the reglon would flnd
lt dlfflcult to augment thelr current lnvestment ln research
and development (P&D), whlch has largely stagnated over
the past decade at a dlsmal level of about 0.l% of GDP
(Plannlng |nstltute of 1amalca, 2007). Thls ls well below the
target of l% of gross domestlc expendlture on P&D (GLPD)
that many developlng countrles agree they should strlve for.
Thls target ls not unreasonable and has already been
achleved by one of the smallest and poorest countrles,
Pwanda, whlch devotes l.6% of GDP to sclence, technology
and lnnovatlon (ST|) |Afrlcan Development 8ank, 2007|. As a
consequence, the Mlllennlum Development Goals (Annex ||)
could remaln largely unfllled, wlth most of the countrles ln
the reglon unable to llft themselves out of the poverty trap.
The global recesslon that orlglnated ln the USA ln 2008 has
exacerbated the sltuatlon. The fraglle tourlsm lndustry on
whlch so many of the reglon's economles depend has been
severely affected. Por example, 83 460 tourlsts holldayed on
the lsland of Tobago ln 2006, compared to [ust 23 580 from
1anuary to 1une 2008, accordlng to the Central Statlstlcal
Offlce of Trlnldad and Tobago. The unofflclal occupancy rate
of hotels for the wlnter of 2008/2009 was about 30%, down
from the normal rate of over 70%. |n addltlon, both 1amalca
and Guyana have experlenced a drastlc reductlon ln the flow
of remlttances from abroad, upon whlch they are so
dependent: ln Guyana, remlttances contrlbuted 22% of GDP
ln 2006. Lven Trlnldad and Tobago, the strongest economy ln
the reglon, has not been exempt from the 'meltdown'. |n early
2009, the government had to rescue, vla a flnanclal ballout,
one of the blggest prlvate companles ln the country, CL
Plnanclal, whlch reportedly contrlbuted 25% of GDP and
whose lnvestments extended beyond the reglon. wlth
weakenlng economles and the attendant rlslng
unemployment, the lmmedlate outlook for the reglon
does not look brlght.
|n splte of thls, the sclentlflc communlty must pursue lts
efforts to persuade governments that many of the
Carlbbean's soclo-economlc problems cannot be solved
wlthout a dedlcated push to develop and apply sclence
and technology (S&T), partlcularly ln the areas of
renewable energy and food securlty (8ox l). The fate of
the reglonal centre for renewable energy, whlch was to be
hosted by 8arbados untll the pro[ect collapsed recently,
does not send an encouraglng slgnal. Governments must
reslst the temptatlon to put S&T on the back burner. The
determlnatlon of Presldent Obama to 'restore sclence to
lts rlghtful place and wleld technology's wonders' may
make the task of convlnclng governments a llttle easler.
|n the larger countrles, there are blocks to bulld upon.
The governments of 1amalca and Trlnldad and Tobago have
both formulated long-term development plans, v|s|on 2030
and v|s|on 2020 respectlvely, whlch place ST| capaclty-
bulldlng at thelr heart. Trlnldad and Tobago's v|s|on 2020 was
devlsed ln 2002. |t rests on flve plllars: enabllng competltlve
buslness, developlng lnnovatlve people, nurturlng a carlng
soclety, lnvestlng ln sound lnfrastructure and the
envlronment, and promotlng effectlve government. |n 2006,
the flrst operatlonal plan was devlsed for 2007-20l0. As for
1amalca, lts v|s|on 2030 wlll be the country's flrst long-term
development plan. |t was presented to Parllament ln 2009.
The plan ls belng lmplemented vla three medlum-term
soclo-economlc pollcy frameworks, through whlch fundlng
wlll be ldentlfled. The plan's strateglc prlorltles lnclude the
development of human resources, lnternatlonal
competltlveness, envlronmental sustalnablllty, health,
soclal protectlon, ST|, effectlve governance, and law
and order.
|| ||||
Trends in human resources
One brlght spot ln an otherwlse rather sombre tableau ls
the focus on hlgher educatlon. Over the last few years,
two new unlversltles have been establlshed ln the
Carlbbean, the state-owned Unlverslty of Trlnldad and
Tobago (2004) and the prlvate Unlverslty of the Southern
Carlbbean (2006), also sltuated on the lsland of Trlnldad.
Thls brlngs the number of tertlary-level lnstltutlons ln the
countrles of the Carlbbean Common Market (CAP|COM),
wlth the exceptlon of Haltl, to seven, for a populatlon of
about slx mllllon (Table l): a ratlo that compares
favourably wlth other reglons.
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
Students at the
Unlverslty of the
west |ndles
Photo: un|vets|ty
ol the west lnJ|es,
5t Auust|ne
comus
|||SO S|||| |||O| 2010
l34
Moreover, thanks malnly to the lntroductlon of free tertlary
educatlon ln Trlnldad and Tobago ln 2006, student
enrollment has lncreased substantlally. Por example, the
three campuses of the Unlverslty of the west |ndles (Uw|)
have seen enrollment cllmb by, respectlvely, 65% (Cave Hlll
ln 8arbados), 68% (Mona ln 1amalca) and l02% (Trlnldad
and Tobago) |Plgure l}. Growth ln graduate enrollment has
been less lmpresslve over the same perlod and malnly
conflned to teachlng, as opposed to research programmes.
whlle the rapld expanslon of tertlary educatlon ln the
reglon ls most encouraglng, lt has led to one ma[or
problem. Generally speaklng, the burgeonlng student
populatlon has not translated lnto a proportlonate
lncrease ln academlc staff, resultlng ln addltlonal teachlng
dutles and space requlrements. Thls has an adverse
lmpact on efforts to create a vlbrant research culture.
To the credlt of the Uw|, 'semester leave' and research
fellowshlps have been lntroduced to deal wlth thls
sltuatlon.
Another problem concerns sabbatlcal leave. Thls ls meant
to be accorded every slx years so that staff can focus on
Table 1: Key soclo-economlc lndlcators for the CAP|COM countrles, 2008
Public Public
GDP GDP GDP expenditure expenditure on GERD/
Population HDI per capita annual annual on education tertiary education GDP
2008 ranking (PPP$) growth growth (% GDP) (% of all levels, ratio
(thousands) 2007 2008 2007 (%) 2008 (%) 2008 2008) 2007
Antlgua and 8arbuda 87 ` 47 20 970 l0.0 2.5 3.9
-6
6.7
-6
-
8ahamas 338 52 - 2.8 2.8
-l
- - -
8arbados 255 37 l9 l89 -2.l
-5
-2.l
-5
6.7 30.l -
8ellze 30l 93 6 743 l.2 3.8 5.l
-l
0.7
-l
-
Domlnlca 67 ` 73 8 706 3.4 4.3 4.8 - -
Grenada l04 74 8 882 3.6 2.l 5.2
-5
9.8
-5
-
Guyana 763 ll4 3 064 5.4 3.0 6.l
-l
5.9
-l
-
Haltl 9 876 l49 l l24 3.4 l.3 - - -
1amalca 2 708 l00 7 7l6 l.4 -l.3 6.2 l5.7 0.06
-5
Montserrat 5 ``
-l
- - - - 3.3
-4
- -
St Kltts and Nevls 5l` 62 l6 467 4.0 8.2 9.3
-3
-.
-6
-
St Lucla l70 69 9 836 0.8 0.5 6.3 - 0.36
-8
St vlncent and Grenadlnes l09 9l 8 998 7.7 -l.l 7.0
-l
5.4
+l
0.l5
-5
Surlname 5l5 97 7 40l 5.2 5.l - - -
Trlnldad and Tobago l 333 64 25 l73 5.5 3.5 4.2``
-6
- 0.06
-n data refer to n years before reference year l change slnce prevlous evaluatlon ` natlonal estlmatlon `` Unesco |nstltute for Statlstlcs estlmatlon
5outce: for GLPD and educatlon: UNLSCO |nstltute for Statlstlcs, 1uly 20l0, for GDP per caplta and GDP annual growth: world 8ank, world Development
|ndlcators, as of May 20l0, for populatlon: Unlted Natlons, Department of Lconomlc and Soclal Affalrs, Populatlon Dlvlslon, for populatlon: UNDLSA (2009),
2009, wotlJ Poulot|on Ptosects: the 2008 kev|s|on, for HD| ranklng: UNDP (2009) lumon 0eveloment keott 2009
0
2 000
4 000
6 000
8 000
10 000
12 000
St Augustine Mona Cave Hill
2006 2005 2004 2003 2002 2001
Figure1: Undergraduate enrollment at the three
campuses of the Unlverslty of the west |ndles,
200l-2006
5outce: Harrls, L. N. (2007) Personal communlcatlon. Peport to
Councll vlce-Chancellor, Unlverslty of the west |ndles, l3 May
|o A||OV ccJrt.|os
l35
thelr research and recharge thelr scholastlc batterles for a
year. Thls beneflts not only the lndlvldual but also the
lnstltutlon. However, for flnanclal reasons, sabbatlcal leave
ls not a regular entltlement ln the reglon. |n some cases, lt
has even become an award for longevlty, thereby defeatlng
the very purpose for whlch lt ls meant. Unlversltles thus
need to revlslt thelr pollcy for sabbatlcal leave.
There ls another problem whlch thls tlme affects Guyana
and Surlname speclflcally. Although the salarles of
academlc staff have rlsen over the years ln these
countrles, they stlll remaln unattractlve and
uncompetltlve, a sltuatlon that ls hardly llkely to change ln
the near future. Thls makes lt dlfflcult to recrult hlgh-
quallty staff and, consequently, to mount competltlve
postgraduate programmes and create an enabllng
research envlronment. Together, Carlsclence (8ox 2) and
the Uw| are trylng to help the natlonal Unlversltles of
Guyana and Surlname lmprove thelr postgraduate and
staff development programmes.
whlle some attempts have been made to address gender
lssues, the stotus quo has largely prevalled ln recent years.
There ls stlll a pauclty of senlor women at both the
professorlal and declslon-maklng level of S&T. The Paculty
of Pure and Applled Sclences at the Uw|, for example,
counts [ust four full women professors out of a staff of over
l50. The 'leaky plpellne' has not yet been repalred, wlth
women renounclng posts of responslblllty for a varlety of
reasons that lnclude the confllct wlth famlly llfe and a
certaln dlscomfort wlth the sclence culture. |n dlsclpllnes
such as physlcs and computer sclence, women are stlll few
and far between at the faculty level. There have been
clalms of dlsparltles ln remuneratlon and ln the allocatlon
of research funds and facllltles. The sltuatlon ls reversed
when lt comes to undergraduate and post-graduate
enrollment, as here women contlnue to outnumber men.
At the Uw|'s Mona campus, for example, about 73% of
undergraduate students were women ln 2005/2006 and
2006/2007. Pollcy- and declslon-makers wlll have to
lntenslfy thelr efforts to address thls gender lmbalance.
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
Box 1: A centre of excellence to safeguard food securlty ln 1amalca
|r V..c| 2008, .t . t|no c| osc.|.t|r
p.|cos |c. co.o.| |npc.ts, t|o '.n.|c.r
V|r|sto. c| A.|cJ|tJ.o, |.|stcp|o.
J|tcr, .rrcJrcoJ t|o ost.b||s|nort c|
. cort.o c| oxco||orco |c. ..|cJ|tJ.o .t
t|o V|r|st.ys bcJ|os |oso..c| St.t|cr |r
St .t|o.|ro. |o cort.o |s bo|r
Jovo|cpoJ t|.cJ| . |S,3 n||||cr
p.cv|s|cr |.cn t|o Sp.r|s| Aorcy |c.
|rto.r.t|cr.| |ovo|cpnort, |r . J.|vo tc
s.|oJ..J '.n.|c.s |ccJ socJ.|ty.
|ssort|.||y, t|o cort.o .||| bo .
|.c|||ty t|.t Jcos .pp||oJ .oso..c|,
p..ct|c.| .oso..c| .rJ t..|r|r |r t|o
|.tost ..|cJ|tJ..| toc|rc|c|os |r t|o
.c.|J, b.soJ cr cJ. rooJs .rJ cJ.
.o,J|.onorts, |. J|tcr cJt||roJ.
|oso rooJs .rJ .o,J|.onorts |rc|JJo
t|o |np|onort.t|cr c| .Jo,J.to .rJ
o|||c|ort |..|.t|cr noc|.r|sns .rJ
systons, c.c|..J Jovo|cpnort .rJ
.oor|cJso toc|rc|cy. |o |.nortoJ
t|o n|sJso .rJ .bJso c| ..to., rct|r
t|.t |ts rct t|.t .o Jcrt |.vo orcJ|
|o ro. cort.o .||| bo .c.k|r cr
.oor|cJso oxp.rs|cr, .oor|cJsos
bo|r . |c.n c| p.ctoctoJ ..|cJ|tJ.o
.opJtoJ |c. t|o|. ||| p.cJJct|v|ty.
'.n.|c. sort 12 oxtors|cr c|||co.s tc
cst. ||c. |c. . ncrt| tc stJJy
.oor|cJso toc|rc|cy |r Ap.|| 2008,
JrJo. .r ..oonort s|roJ bot.oor
t|o t.c ccJrt.|os o..||o. t|o s.no yo...
Arct|o. |r|t|.t|vo .||| ccrs|st c|
Jovo|cp|r c.ss.v., . J.cJ|t
.os|st.rt c.cp, tc .oJJco JoporJorco
cr |npc.toJ st..c|os ||ko .|co, cc.r
.rJ .|o.t. |o n|r|sto. J|sc|csoJ t|.t
.pp.cx|n.to|y 2 000 .c.os c| .ostc.oJ
b.Jx|to |.rJs |.J boor |Jort|||oJ |c.
t|o pJ.pcso c| .c.|r c.ss.v., .
p.coct t|.t .cJ|J |rvc|vo sn.||
|c|Jo. |..no.s. |o n|r|st.y .|sc p|.rs
tc JrJo.t.ko tost t.|.|s tc Joto.n|ro
t|o sJ|t.b|||ty c| c.ss.v. .s . sJbst|tJto
|c. cc.rb.soJ ||vostcck |ooJ.
5outce: Mlnlstry of Agrlculture, Government
of 1amalca: www.[ls.gov.[m/agrlculture/
..to., |ts t|.t .o Jcrt Jso |t p.cpo.|y,
.o cvo.|..|.to .rJ .o |.vo tc ||rJ .
..y tc Jo.| .|t| t|.t.
|o n|r|sto. rctoJ t|.t c|t.Js
c.cps .o.o t|o cr|y ost.b||s|oJ
c.c|..Js |r '.n.|c.. |o st.ossoJ t|o
rooJ tc Jc t|o s.no .|t| ct|o. c.cps
sJc| .s c.s|o., r.sobo..y, n.rc
.rJ c.c.c. \|t| c.c|..Js ccno .|sks,
|o s.|J, boc.Jso t|oy ..o sJscopt|b|o
tc J|so.sos. \o ..rt tc pJt scno
c.p.c|ty |r tc .rt|c|p.to scno c|
t|cso .|sks .rJ Jo.| .|t| t|on.
|. J|tcr s.|J t|.t, crco t|o
cort.o ..s ost.b||s|oJ, |o .cJ|J bo
sook|r tc |r|t|.to cc||.bc..t|cr .|t|
|rst|tJt|crs ||ko t|o |r|vo.s|ty c| t|o
\ost |rJ|os (|\|) tc cpt|n|.o t|o
|.c|||tys .oscJ.cos. |o |.J .|.o.Jy
.Jv|soJ t|o |r|vo.s|ty c| oc|rc|cy,
.|to. |t .pp.c.c|oJ ||n .o..J|r
c||o.|r co.t|||c.t|cr |r ..|cJ|tJ..|
.oso..c|, tc orto. |rtc J|scJss|crs .|t|
t|o |\| cr . pcss|b|o p..tro.s||p.
|||SO S|||| |||O| 2010
The mlgratlon of skllled labour ls another key lssue. The
flgures remaln hlgh for many CAP|COM countrles. Por
example, about 27 000 1amalcans (l% of the populatlon)
mlgrated to the USA, Canada or the UK ln 2007. Thls sald,
the lncrease ln remlttances from natlonals worklng abroad
has cushloned the lmpact of mlgratlon and softened lts
tradltlonal lmage somewhat. Pemlttance lnflows lnto
1amalca, for lnstance, stood at US$l.9 bllllon ln 2007,
close to export earnlngs of US$l.8 bllllon. Thls makes
remlttances 1amalca's top forelgn-exchange
earner. |t ls essentlal to determlne how CAP|COM
countrles can otherwlse engage the dlaspora ln
natlonal development programmes. A number of
l36
organlzatlons grouplng the dlaspora have been formed
and ln some cases have attracted large numbers.
|t ls ln thls context that the Carlbbean Dlaspora for
Sclence, Technology and |nnovatlon was offlclally
launched ln September 2008 ln Port of Spaln, at the
l0
th
annlversary of Carlsclence, by Pltzgerald 1effrey,
Mlnlster of Sclence and Technology and Tertlary
Lducatlon of Trlnldad and Tobago. Thls ls a commendable
effort, partlcularly ln llght of the fact that chronlc braln
draln ls not about to go away, glven the unllkellhood
of soclo-economlc condltlons lmprovlng ln the
foreseeable future.
Figure 2: |nternet users per l00 populatlon ln the Carlbbean, 2002 and 2008
A
n
t
i
g
u
a

a
n
d

B
a
r
b
u
d
a
B
a
r
b
a
d
o
s
S
t

V
i
n
c
e
n
t
a
n
d

G
r
e
n
a
d
i
n
e
s
S
t

L
u
c
i
a
D
o
m
i
n
i
c
a
B
a
h
a
m
a
s
S
t

K
i
t
t
s
G
u
y
a
n
a
D
o
m
i
n
i
c
a
n

R
e
p
u
b
l
i
c
M
o
n
t
s
e
r
r
a
t
T
r
i
n
i
d
a
d

a
n
d

T
o
b
a
g
o
B
e
l
i
z
e
H
a
i
t
i
S
u
r
i
n
a
m
e
0
20
40
60
80
12.50
19.15
26.85
11.93
5.55
14.64
18.42
4.16
6.82
20.32
21.15
16.47
10.58
5.68
10.13
0.89
75.03
58.68
41.16
31.54
73.67
17.02
21.58
31.33
11.31
60.49
9.71
2008
2002
5outce: Unlted Natlons Statlstlcal Dlvlslon, Mlllennlum Development Goals lndlcators
|o A||OV ccJrt.|os
l37
Adequate fundlng ls a prerequlslte for the creatlon of a
dynamlc research culture. The reallty ln the Carlbbean ls
that lnvestment ln P&D by both governments and the
prlvate sector ls grossly lnadequate. Thls ls the ma[or
dlfflculty encountered by reglonal sclentlsts. Let us take
the case of Trlnldad and Tobago. 8y far the wealthlest of
the Carlbbean countrles, wlth a boomlng economy based
on natural resources, lt spent a mere 0.06% of GDP ln
2007 on P&D and an average of 0.l2% over 2000-2005.
At thelr annual meetlng ln l999, the heads of
government endorsed a proposal to establlsh a
Carlbbean Peglonal Pesearch Agency. A decade later,
thls ls yet to become a reallty. Slmllarly, the share of
buslness P&D ln the total remalns very low throughout
the reglon, even lf lt has grown ln Trlnldad and Tobago
from l3% ln 2000 to 24% ln 2005, accordlng to the
UNLSCO |nstltute for Statlstlcs.
The role of business
The maln buslnesses ln the reglon are assoclated wlth:
(l) oll and gas, ln Trlnldad and Tobago, (2) alumlna and
bauxlte, ln Guyana, 1amalca and Surlname, (3) agrlculture,
ln nearly all countrles, and (4) tourlsm, nearly all
countrles.
Much of the reglon ls no longer self-sufflclent ln food.
|n l995, 8ellze, Domlnlca, Guyana, St Lucla and St vlncent
and the Grenadlnes all exported more food than they
lmported, whereas 1amalca managed to balance food
lmports and exports. 8y 2004, only 8ellze and Guyana
were stlll exportlng more food than they lmported and
1amalca was lmportlng over 60% of staple foods,
accordlng to the Mlnlster of Agrlculture. The growth ln
tourlsm may have contrlbuted to thls sltuatlon, as lt has
lntenslfled the demand for food not grown ln the reglon
(PAO, 2007).
P&D ls conducted malnly ln parent countrles beyond
the reglon. However, a dlsturblng trend, albelt one
whlch may be [ustlfled by economlc competltlve
envlronments, ls that some ma[or locol companles
have establlshed P&D facllltles ln thelr overseas
operatlons to respond more effectlvely to market
realltles abroad and at home. Por example,
GraceKennedy, a large lndl genous 1amalcan company,
establlshed an P&D outflt ln Canada ln 2006 to develop
new products for lts domestlc and forelgn markets
(Melkle, 2006).
|n response to thls new reallty, Kahwa (2003) proposed a
model of P&D for developlng countrles that flnd thelr
P&D skllls underutlllzed at home. Dubbed 'Strateglc
Decoupllng', the model seeks to focus the P&D effort of a
researcher from a developlng country on competltlve
global P&D opportunltles. The model rests on success ln
the lnternatlonal P&D arena earnlng researchers from
developlng countrles serlous attentlon at home,
thereby spawnlng confldence ln thelr abllltles at all
levels. |ndeed, the success of the small but growlng
pharmaceutlcal P&D operatlons undertaken by the
Uw| campuses ln 8arbados and 1amalca ls lndlcatlve
of the potentlal effectlveness of the Strateglc
Decoupllng model.
These developments notwlthstandlng, a healthy level of
lnnovatlon seems to be taklng root ln some buslnesses.
The chlcken and egg lndustry ln the reglon ls vlbrant and
vertlcally lntegrated, wlth a falrly large small-farmer base
produclng hlgh-quallty poultry products. Thls sald, the
process by whlch thls has been achleved needs to be
carefully studled and documented, so that lessons
learned therefrom can be repllcated ln other sectors.
Por the most part, lnnovatlon ln the productlve sector ls,
accordlng to 5c|ence, 7echnoloy onJ lnnovot|on Pol|cy
kev|ew, 1omo|co (UNCTAD, l999), hampered by a
dlsconnectlon between the P&D effort and crltlcal
lndustry needs. The productlve sector ls not lnvestlng
enough ln P&D (ln-house or otherwlse), there ls thus llttle
lncentlve for researchers to pay the requlslte attentlon to
the problems of lndustry. There ls a need for pollcy
lnnovatlon to create an lntegrated envlronment ln whlch
P&D lnstltutlons, the government and the prlvate sector
all work together to brlng S&T to bear on economlc
growth, poverty reductlon and [ob creatlon and ln ralslng
the standard of llvlng.
Some buslness lncubatlon ls golng on ln 1amalca at the
Unlverslty of Technology and at the country's Sclentlflc
Pesearch Councll. The Uw| has also establlshed the Mona
|nstltute of Applled Sclences (ln 200l) to spearhead lts
efforts to transfer technology and commerclallze the
frults of research. Success ls slow ln comlng, however, thls
ls largely due to the lack of mechanlsms for venture
capltal, comblned wlth weak llnkages - even non-
exlstent ln some cases - between unlversltles, publlc
research lnstltutes and the prlvate sector ln natlonal
systems of lnnovatlon.
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
|||SO S|||| |||O| 2010
|| O|||
CARICOM publications
Although there are some encouraglng developments ln
terms of P&D output, progress ls stlll palnfully slow ln the
Carlbbean. There are also perslstent reports of a
dlsconnectlon between the output of researchers, on the
one hand, and the P&D needs of the productlve sector,
on the other. |n 2008, Prlme Mlnlster Goldlng of 1amalca
asserted that 'research has been too academlc' and
demanded that lt be 'synchronlzed wlth growth
ob[ectlves'. Although he makes a crltlcally lmportant
polnt, research has stlll not been planned and resourced
to perform thls role ln any of the CAP|COM countrles.
|ndeed, the cltatlon rate ln the lnternatlonal llterature for
orlglnal research artlcles from the reglon shows only
modest growth of roughly 22% over 200l-2005 and even a
l38
worrlsome downturn ln 2006. Purthermore, artlcles ln baslc
sclences tend to be stagnatlng at about l50 per year for the
200l-2007 perlod, save for a peak ln 2005 (Plgure 3). The
ma[orlty of orlglnal research artlcles come from medlcal
and allled flelds due, ln part, to the effectlveness of the west
lnJ|on VeJ|col 1outnol ln nurturlng research and publlcatlon
skllls (Plgure 4). The partlclpatlon rate ln orlglnal research
publlshlng ls more encouraglng. whereas 1amalca, Trlnldad
and Tobago and 8arbados have tradltlonally domlnated
CAP|COM publlcatlons ln lnternatlonal llterature, every
CAP|COM country except Montserrat has shown some
research and publlshlng actlvlty durlng 200l-2007.
Newcomers 8ahamas, 8ellze and Grenada, ln partlcular, are
showlng some promlse (Plgure 5).
The domlnant lnstltutlon ln hlgher educatlon for the past
60 years has been the Uw|. whlle thls ls stlll the case, wlth
over 70% of CAP|COM artlcles stemmlng from the Uw|,
other lnstltutlons have also come on the scene (Plgure 6).
Box 2: Carlsclence
..|sc|orco |s . sJb.o|cr.| rot.c.k
c| sc|ort|sts bort cr Jp..J|r t|o
.c.Jon|c oxco||orco c| ..JJ.to,
pcst..JJ.to .rJ || p.c..nnos
|r t|o ..|bbo.r. Ar |O .|||||.toJ tc
|||SO, ..|sc|orco ..s |.Jrc|oJ |r
'Jro 1999 |r '.n.|c..
|o rot.c.k st.|vos tc st.ort|or
t|oc.ot|c.| .rJ p..ct|c.| krc.|oJo |r
b.s|c .rJ .pp||oJ sc|orcos |r t|o
..|bbo.r, tc |rc.o.so t|o rJnbo. c|
pcst..JJ.to .rJ || p.c..nnos,
.rJ tc |csto. t|os bot.oor t|oso
p.c..nnos. ..|sc|orco |s .|sc
sJppc.t|r t|o Jovo|cpnort c| .r
.cc.oJ|t.t|cr .rJ ov.|J.t|cr syston
|c. pcst..JJ.to sc|orco
p.c..nnos. ..|sc|orco ccc.J|r.tos
oxc|.ros bot.oor .oso..c|o.s,
to.c|o.s .rJ stJJorts, c..r|.os c|rt
.oso..c| p.cocts .rJ .o|cr.|
ccJ.sos, .rJ sJppc.ts cJ..|cJ|Jn
Jovo|cpnort .rJ t|o t..|r|r c|
sc|orco to.c|o.s. |r 200, |t c..r|.oJ
t|o ||.st ..|bbo.r SJnno. Sc|cc| |r
V.t|on.t|cs .rJ ||ys|cs, tc
systons n.ko ccrcopts c|
ort.op.oroJ.s||p .rJ t|o Jso c|
S| p..t c| t|o oJJc.t|cr cJ..|cJ|Jn
|.cn t|o p.|n..ysc|cc| |ovo|.
..|sc|orco .ort cr tc c..r|.o .
A||OV Sc|orco |JJc.t|cr
cr|o.orco |r '.n.|c. |r |cvonbo.
200, spcrsc.oJ by |||SO, t|o
|rto.Ano.|c.r |ot.c.k c| Ac.Jon|os
c| Sc|orcos .rJ t|o ..|bbo.r
Ac.Jony c| Sc|orcos.
|r Soptonbo. 200, ..|sc|orco
c..r|.oJ . |cJ.J.y ccr|o.orco |r
cb.c cr .oro..b|o oro.y |r t|o
..|bbo.r. ||s |oJ tc t|o c.o.t|cr c|
t|o cnn|ttoo cr ..|bbo.r
|JJc.t|cr .rJ .p.c|tybJ||J|r |c.
SJst.|r.b|o |ro.y |r 2008, cvo.soor
by ..|sc|orco.
Source: author
Download the Carlsclence brochure (2008):
www.unesco.org/sclence/psd/thm_lnnov/
carlsclence.shtml
Por detalls: www.sta.uwl.edu/fsa/dmcs/carlsclence
|rt.cJJco pcst..JJ.to stJJorts .rJ
.oso..c|o.s tc |.crt|o. sc|orco |r t|oso
J|sc|p||ros. |o J|t|n.to c.| |s tc
|np.cvo sc|orco oJJc.t|cr .rJ c.o.to
. pcc| c| ycJr |rto.r.t|cr.||y
ccnpot|t|vo .oso..c| sc|c|..s. ||s
|rc|JJos |csto.|r ||rk.os .|t| t|o
p.cJJct|vo soctc..
|r .ocort yo..s, ..|sc|orco |.s
cro boycrJ |ts c.||r.| n.rJ.to tc
onb..co t|o orv|.crnort.| sc|orcos.
|t |.s JrJo.t.kor . ..to. p.coct
|JrJoJ by |||SO, |c. ox.np|o, .rJ
c..r|.oJ . .c.ks|cp cr cc.st.|
o.cs|cr |r 2005.
S|rco 2006, ..|sc|orco |.s
|r|t|.toJ .rJ sJppc.toJ .|| t|o n.c.
.o|cr.| noot|rs. |o ||.st ..s
|..ross|r Sc|orco .rJ oc|rc|cy
|c. ..|bbo.r |ovo|cpnort (.|r|J.J
.rJ cb.c) |r 2006, .||c| J.o.
p..t|c|p.rts |.cn cvo.rnort,
.c.Jon|. .rJ |rJJst.y. As p..t c| t|o
Plan of Action, . .c.k|r .cJp cr
sc|orco oJJc.t|cr ..s sot Jp .||c|
.occnnorJoJ t|.t cJ. oJJc.t|cr
|o A||OV ccJrt.|os
l39
Thelr publlcatlon rates remaln modest but that of
St Georges Unlverslty ln Grenada ls showlng conslderable
promlse, lts publlcatlons are domlnated by the medlcal
sclences. The governments of Guyana and Surlname wlll
need to lnvest more ln thelr natlonal unlversltles to turn
thelr scholarly productlvlty around.
CAP|COM researchers exhlblt conslderable readlness to
collaborate, especlally wlth thelr counterparts ln the USA,
Canada and the UK who co-authored 29%, ll% and 6 %
respectlvely of CAP|COM papers over 200l-2007. Thls ls
an lmportant step ln the process of adaptatlon, dlffuslon
and adoptlon of S&T by the developlng countrles that
make up CAP|COM.
|ntellectual property lssues are usually settled by
researchers wlth the asslstance of speclallzed offlces and
pollcles establlshed at thelr unlversltles and research
lnstltutlons. There are potentlal sources of lntellectual
property ln medlcal, agrlcultural, englneerlng and baslc
research. The protectlon of lntellectual property ls
frequently hampered by a shortage of funds and
researchers also tend to resort to authorlng a research
paper rather than dolng all they can to brlng thelr work
to patentable levels. These are strateglc lssues that the
reglon wlll have to tackle.
CARICOM patents
The plcture wlth regard to CAP|COM patents ls a llttle
murky but lt does show some lmprovement ln lnnovatlon
ln 1amalca and Trlnldad and Tobago (Plgure 7). |n 1amalca,
the number of patents granted to local lnventors
lncreased from zero ln 200l to nlne ln 2005 and 2006.
The number of appllcatlons recelved by the 1amalca
|ntellectual Property Offlce ls lncreaslng, largely due to
external lnterest. 1amalcan appllcants numbered ln the
range of 4-2l annually over the 200l-2007 perlod.
The patent sltuatlon ln Trlnldad and Tobago shows
conslderable lnterest from forelgn appllcants, whlch
augers well for the country's efforts to make the economy
knowledge-drlven. However, ln lts drlve for a knowledge-
lntenslve economy, lt wlll be lmportant for Trlnldad and
Tobago to cultlvate home-grown lnventlons, achleve the
Mlllennlum Development Goals and reallze lts own
ambltlons of obtalnlng developed-country status by 2020.
The |ntellectual Property Offlce of Trlnldad and Tobago
reports that there are fewer than two appllcatlons per year
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
Figure 3: Artlcles publlshed ln the baslc sclences ln
the CAP|COM countrles, 200l-2007
0
100
200
300
400
500
600
2007 2006 2005 2004 2003 2002 2001
419
164
394
134
Share of basic sciences Scientic publications
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence
Cltatlon |ndex Lxpanded
Figure 4: Sclentlflc publlcatlons ln the CAP|COM
countrles by broad dlsclpllne, 200l-2007 (%)
0
10
20
30
40
50
60
Engineering Agriculture Basic sciences Medical
15
56
33
2
Note: The comblned total ls greater than l00% because some
publlcatlons relate to more than one dlsclpllne
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence
Cltatlon |ndex Lxpanded
from local lnventors. 8arbados' patents are even rarer and
have mostly been granted to forelgn appllcants. The reglon's
lnventors have been somewhat successful wlth thelr patent
appllcatlons ln the USA, especlally the 8ahamanlans, who
secured 32 patents from the US Patents and Trademark
Offlce (USPTO) over 2002-2007. Other countrles havlng
secured USPTO patents over the same perlod are: 8arbados
(7), 1amalca (6), St Lucla (2), and Trlnldad and Tobago (6).
|||SO S|||| |||O| 2010
l40
Figure 5: Cumulatlve number of sclentlflc publlcatlons ln the CAP|COM countrles, 200l-2007
0 200 400 600 800 1000 1200
Montserrat
St Vincent and the Grenadines
St Kitts and Nevis
St Lucia
Antigua and Barbuda
Dominica
Bahamas
Belize
Suriname
Haiti
Grenada
Guyana
Barbados
Trinidad and Tobago
Jamaica
0
1 191
1 000
62
32
87
115
84
19
59
345
9
16
5
63
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence Cltatlon |ndex Lxpanded
Figure 6: Sclentlflc publlcatlons by unlverslty ln the CAP|COM countrles, 200l-2007 (%)
As o shote ol totol teseotch
23.6
71.2
2.2
1.2
0.6
0.5
0.3
0.2
0.2
University of the West Indies*
Non-university research
St Georges University (Grenada)
University of Guyana
University of Suriname
College of the Bahamas
Northern Caribbean University (Jamaica)
American University Antigua
University of Technology (Jamaica)
`Servlng all CAP|COM countrles except Guyana and Surlname
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence Cltatlon |ndex Lxpanded
|o A||OV ccJrt.|os
l4l
|| |O|| O| |||O|A| bO|||S
There are two ma[or reglonal NGOs ln the reglon, the
Carlbbean Academy of Sclences (CAS) and Carlsclence.
Pounded ln l988, CAS has had a new lease of llfe ln recent
years. |t has mounted ma[or sclentlflc meetlngs ln
Guadeloupe (2006), on the theme of Sclence and Technology
ln a Carlbbean Lnvlronment and, ln Grenada (2008), on
Sclence and Technology: vehlcles for Sustalnable Lconomlc
Development ln the Carlbbean. CAS has also obtalned a
grant from the Luropean Unlon for a pro[ect to ralse
awareness of |CT lssues. wlthln thls pro[ect, CAS organlzed a
Carlbbean Conference on |nformatlon and Communlcatlon
Technology: Pesearch, Appllcatlons and Pollcles, at the Mona
Campus of Uw| ln March 2009, lmmedlately followed by an
awareness-bulldlng workshop. Desplte the LU grant, CAS
contlnues to be plagued by fundlng shortages.
CAS has conslderable potentlal for moblllzlng sclentlsts
ln the reglon. |t reaches out to the wlder sclentlflc
communlty through lts membershlp of the Carlbbean
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
0
50
57
16
0
239
0
34
163
6
319
64
100
150
200
2007 2005 2003 2001
0
50
100
150
200
250
300
350
2007 2005 2003 2001
Patents granted to local inventors
Total patents granted
Total patent applications
` Local appllcants ln Trlnldad and Tobago are fewer than two per year.
5outce: 1amalca |ntellectual Property Offlce (2008), |ntellectual Property Offlce of Trlnldad and Tobago (2006) wlth update 1anuary 2009
1amalca Trlnldad and Tobago`
Figure 7: Patent appllcatlons ln 1amalca and Trlnldad and Tobago, 2000-2007
Sclentlflc Unlon, the Academy of Sclences for the
Developlng world (TwAS), the |nterAmerlcan Network of
Sclence Academles and the |nterAcademy Panel (|AP). |t ls
hoped that the support lt en[oys from lnternatlonal
sclentlflc academles wlll strengthen lts reglonal posltlon
and attract fundlng from wlthln the Carlbbean.
Carlsclence en[oys close tles to UNLSCO and lts Abdus Salam
|nte rnatlonal Centre for Theoretlcal Physlcs ln |taly, to the
Organlzatlon of Amerlcan States, and to the |nternatlonal
Centre for South-South Co-operatlon ln Sclence,
Technology and |nnovatlon launched ln Malaysla ln 2008.
Por a reglon as small as the Carlbbean, these llnks are
essentlal lf lt ls to malntaln a dynamlc sclentlflc communlty.
As for the Carlbbean Councll of Sclence and Technology
(CCST), an lntergovernmental organlzatlon, lt contlnues to
operate wlth support from only a handful of governments.
Mokhele (2007) has noted the operatlonal dlfflcultles faced
by the CCST slnce lts lnceptlon and recommended that lts
fate be declded by the authorltles.
|||SO S|||| |||O| 2010
l42
S|||||||| |||O|A|
OO|||A|O|
The lack of a crltlcal mass of sclentlsts ln any of the
Carlbbean countrles, coupled wlth weak and fraglle
economles wlth the notable exceptlon of Trlnldad and
Tobago, makes reglonal co-operatlon a necesslty.
Lven ln Trlnldad and Tobago, there are [ust 477 sclentlsts
per mllllon populatlon.
A number of events have been held ln recent years to
strengthen co-operatlon ln the Carlbbean. |n 2006, a
ma[or conference on Harnesslng Sclence and Technology
for Carlbbean Development was held ln Trlnldad and
Tobago under the ausplces of CAP|COM and the
patronage of then Prlme Mlnlster of Grenada, Kelth
Mltchell, who at the tlme served as Head of Government
wlth responslblllty for S&T wlthln CAP|COM. The
conference's maln sponsors were UNLSCO and
Box 3: The Mokhele Peport
|r 200, . .opc.t ort|t|oJ Using Science,
Technology and Innovation to Change
the Fortunes of the Caribbean Region ..s
p.op..oJ by |. ||ctsc Vck|o|o, |c.no.
|.os|Jort .rJ ||o| |xocJt|vo O|||co. c|
t|o |.t|cr.| |oso..c| |cJrJ.t|cr c|
ScJt| A|.|c., JrJo. . ccrsJ|t.rcy
ccnn|ss|croJ by |||SO .rJ t|o
A||OV Stoo.|r cnn|ttoo cr
Sc|orco .rJ oc|rc|cy.
Higher education
|o .opc.t rctoJ t|.t t|o.o .o.o
ccnpotort |||o. oJJc.t|cr
|rst|tJt|crs |r t|o A||OV ccJrt.|os
bJt v|.tJ.||y rc |JrJ|r tc sJppc.t
|J||t|no pcst..JJ.to stJJ|os, .|t|
t|o pcss|b|o oxcopt|cr c| .|r|J.J.
Vck|o|o cbso.voJ t|.t t||s s|tJ.t|cr
..s ...v.toJ by t|o p.c.oss|vo
|css c| t|o .o|cr.| c|...cto. c| t|o
|\| by t|o Jovc|Jt|cr c| .Jt|c.|ty tc
r.t|cr.| .Jt|c.|t|os |r . |o. n.c.
to..|tc.|os. Vck|o|o ..JoJ t|.t
pc||t|c.| Jovc|Jt|cr .cJ|J JrJo.n|ro
.rJ t|o S ccnnJr|ty. |o |c.no.
c.|t|c|.oJ t|o Jr.||||rross c|
.oso..c|o.s tc t.ck|o t|o rooJs c|
scc|oty .rJ t|o |.tto. |o|t t|o|. .c.k
..s n|sJrJo.stccJ.
Funding and implementation
|o .opc.t st.ossoJ t|.t cvo.rnort
sporJ|r cr S .rJ || ..s
n|r|scJ|o, ovor t|cJ| |rvostnort |r
.oso..c| .rJ |rrcv.t|cr ..s t|o bost
p.t| |c. |||t|r ccJrt.|os cJt c|
JrJo.Jovo|cpnort. Vck|o|o J.oJ
cvo.rnorts tc |c.o |rto.r.t|cr.|
p..tro.s||ps bJt pc|rtoJ cJt t|.t t||s
J|J rct no.r t|oy s|cJ|J .o||r,J|s|
.ospcrs|b|||ty |c. st|nJ|.t|r S| .t
|cno. |o rctoJ t|.t t|o bJ.o.Jc..t|c
.rJ ccrsorsJ.| r.tJ.o c|
cvo.rnort bcJ|os p.cnptoJ t|o
bo||o| t|.t .orc|os |c.noJ .rJ
|JrJoJ by t|on s|cJ|J bo cpo..toJ
.t ..ns |ort| |c. ||ox|b|||ty .rJ
o|||c|orcy. Or t|o ccrt...y, st.toJ
Vck|o|o, t|oso |rst|tJt|crs rooJoJ tc
t|o |npotJs tc...Js .o|cr.|
|rto..t|cr, .t . t|no .|or |rto..t|cr
..s bo|r pJ.sJoJ by ct|o. n.c.
|cb.| oc..p||c.| b|ccks, ospoc|.||y
.s .c.Jon|c .oso..c| ..s bost
.Jv.rcoJ |r sn.|| |s|.rJ st.tos by
.o|cr.| cc||.bc..t|cr. |o |J.t|o.
|rt|n.toJ t|.t t|o to..|tc.|os .|t|cJt .
|\| c.npJs rooJoJ J.ort .ttort|cr.
Economic structure
Vck|o|o cbso.voJ t|.t t|o .o|crs
occrcny ..s n.|r|y no.c.rt||o .rJ
so.v|coc.|ortoJ, .|t| n|r|r .rJ
..|cJ|tJ.o bo|r |r Joc||ro. |o |.ck
c| . pJs|pJ|| .o|.t|crs||p bot.oor
S .rJ p.cJJct|cr torJoJ tc
J|sccJ..o ycJt| |.cn stJJy|r
sc|orco, .t . t|no .|or t||s ..s
ossort|.| |c. Jovo|cpnort.
||s J|sccrroct bot.oor S .rJ
scc|oty |.J |oJ tc . p.cpors|ty tc
c.|t|c|.o .|t|cJt p.cpcs|r sc|Jt|crs,
|o cbso.voJ. |t |.J .|sc c.o.toJ .
sc||sn bot.oor t|o |o.Jo.s c| scc|oty
Carlsclence. Lmanatlng from thls Conference were the
7oooo 0eclotot|on and an accompanylng Plon ol Act|on.
A Steerlng Commlttee was subsequently establlshed by
Prlme Mlnlster Mltchell to drlve lmplementatlon of the
Plon ol Act|on.
UNLSCO agreed to provlde a consultant to vlslt the reglon,
assess the status of S&T and asslst ln provldlng the
necessary platform for lmplementlng the Plon ol Act|on.
The consultant, Dr Khotso Mokhele, vlslted the reglon ln
late 2006 before submlttlng a report to UNLSCO early the
followlng year. Known as the Mokhele Peport, lt was
presented by UNLSCO to hlgh-level government and
CAP|COM offlclals ln September 2007 (Mokhele, 2007).
A hlgh-level meetlng lnvolvlng mlnlsters of sclence and
technology and educatlon, heads of tertlary lnstltutlons
and captalns of lndustry was convened by the Offlce of
Prlme Mlnlster Mltchell ln Aprll 2008 to dlscuss the
Mokhele Peport (8ox 3).
|o A||OV ccJrt.|os
l43
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
bo nc.o .cccJrt.b|o t|.r
cvo.rnort bcJ|os.
Recommendations
|o .opc.t .occnnorJoJ .
sJp..r.t|cr.| .pp.c.c| tc |||o.
oJJc.t|cr .rJ ||. |t c.||oJ |c. t|o
sott|r Jp c| . .o|cr.| |oso..c| .rJ
|rrcv.t|cr Aorcy, t|o noJ|Jn tc
|crto.n |JrJ|r c| .||c| .cJ|J
rooJ tc bo .ssJ.oJ by t|o
cvo.rnort .rJ b.rk|r soctc., v|.
sc|t |c.rs, ..rts .rJ sc cr. |o
.orcy .cJ|J bo n.rJ.toJ tc |csto.
t|os bot.oor b.||t ycJr
ort.op.oroJ.s .rJ ycJr sc|ort|sts,
toc|rc|c|sts .rJ or|roo.s, tc n.ko
t|o bost Jso c| krc.|oJo tc c.o.to
ro. bJs|rossos .rJ cbs.
|o .opc.t .|sc .occnnorJoJ
Jovo|cp|r . t.J|y ..|bbo.r
Jr|vo.s|ty. |r p...||o|, |t c.||oJ |c. .
|JrJ tc bo sot Jp .|t||r t|o .orcy
tc .||c. |c. |J||t|no pcst..JJ.to
stJJy .rJ pcstJcctc..| |o||c.s||ps tc
9 Ap.|| 2008, ccrvoroJ spoc|||c.||y tc
J|scJss t|o .opc.t. |r ccnnort|r cr
|ts ||rJ|rs, |. A.rc|Jc \ortJ.. c| t|o
O|||co c| t|o |.|no V|r|sto. |r '.n.|c.
.ckrc.|oJoJ t|.t c|o.. occrcn|c
Jon.rJ |c. S ..s |..o|y rcr
ox|stort |r t|o ..|bbo.r, Josp|to t|o
|.ct t|.t bct| Jon.rJ .rJ sJpp|y
.o.o |npc.t.rt tc t.|o. |rrcv.t|cr.
|o cbso.voJ t|.t |r cJ. .o|cr, t|o.o
|s .o.scr.b|y ccJ || bJt p||ct
p|.rts, sc.|oJps, .op.|., Jos|r,
n.|rtor.rco .rJ or|roo.|r
c.p.b|||t|os ..o .o.k .rJ c|tor
.bsort. ||s |.s tc bo .onoJ|oJ.
|o noot|r .occnnorJoJ t|o
ost.b||s|nort c| t|o ..|bbo.r
Sc|orco |cJrJ.t|cr .s sccr .s
pcss|b|o tc Jovo|cp S| |c. t|o
.o|crs Jovo|cpnort. Ancr ct|o.
|Jrct|crs, t|o |cJrJ.t|cr .cJ|J bo
.ospcrs|b|o |c. st.ort|or|r t|o
.o.k ||rk bot.oor t|o p.|v.to soctc.
.rJ .c.Jon|. by |csto.|r
cc||.bc..t|vo ||.
n.ko t|o Jr|vo.s|ty nc.o |rc|Js|vo.
|o |JrJ ccJ|J bo .Jn|r|sto.oJ by
t|o |oso..c| .rJ |rrcv.t|cr Aorcy.
|t .|sc .occnnorJoJ t|o |.Jrc|
c| .r || sJ.voy tc .ovo.| t|o t.Jo
st.to c| .||.|.s .rJ p.cv|Jo J.t. c| Jso
|c. |rto.r.t|cr.| ccnp..|scrs.
Arct|o. koy .occnnorJ.t|cr
..s |c. |Os ||ko t|o ..|bbo.r
Ac.Jony c| Sc|orcos .rJ ..|sc|orco
tc bo st.ort|oroJ, .s t|oso .o.o
ccrs|Jo.oJ v|t.| |c. p.cv|J|r Jptc
J.to |r|c.n.t|cr .rJ .r.|ys|s c| t|o
|r||Jorco c| |cb.| S cr t|o
..|bbo.r .o|cr. ||s ..s .|| t|o
nc.o |npc.t.rt, rctoJ Vck|o|o, |r
t|.t t|o.o ..s rc .o|cr.| t||rkt.rk,
rc. .ry sc|orco .Jv|sc.s tc t|o p.|no
n|r|sto.s c. p..||.norts, .|t| t|o
oxcopt|cr c| '.n.|c. .rJ Jy.r..
Reception of the report
V.ry c| t|o .opc.ts ||rJ|rs .o.o
orJc.soJ .t . noot|r c| t|o
A||OV ccJrt.|os |r .or.J. cr
The prlnclpal recommendatlon from thls meetlng was
'that an overarchlng broad-based agency called the
Carlbbean Sclence Poundatlon be establlshed as soon as
posslble to develop S&T and bulld the requlslte capaclty
to harness S&T for the reglon's development'. Thls ls an
opportunlty for the sclentlflc communlty to deal wlth lts
problem of fragmentatlon and unlte under one umbrella
to transform the reglon's S&T landscape.
O|||S|O|
The CAP|COM reglon en[oys a certaln measure of stablllty.
|t also has a reasonable lnfrastructure ln place for
educatlon, lnformatlon and communlcatlon, together
wlth a group of dedlcated sclentlsts. The reglon therefore
possesses the foundatlons on whlch to bulld lts capaclty
to harness S&T more effectlvely to the soclo-economlc
development of the Carlbbean.
However, thls can only be achleved lf there ls the polltlcal
wlll to move forward and the actlve co-operatlon of all
stakeholders. |n thls regard, lt ls heartenlng to see that the
strongly recommended Carlbbean Sclence Poundatlon
has now become a reallty. |t was offlclally launched on
2l September 20l0 at the Carlbbean Sclence Porum. The
premonltory theme of the forum was Sclence, Technology,
|nnovatlon and Lntrepreneurshlp - the way Porward for
the Carlbbean.
CAP|COM Steerlng Commlttee on Sclence and
Technology. UNLSCO, Parls: www.unesco.org/sclence/
psd/thm_lnnov/carlsclence.shtml
N|HLPST (2007) 5c|ence onJ 7echnoloy lnJ|cotots
2000-2004. Natlonal |nstltute of Hlgher Lducatlon,
Pesearch, Sclence and Technology, Trlnldad and
Tobago: www.nlherst.gov.tt/st-statlstlcs/survey-
hlghllghts/s-and-t-lndlcators-2000-2004.htm
Plannlng |nstltute of 1amalca (2007). lconom|c onJ 5oc|ol
5utvey 1omo|co 2007. Chapters 4, l0 and 22. Klngston.
(2005) v|s|on 2030: Not|onol 0eveloment Plon.
Klngston: http://plo[.gov.[m/1DPOvervlew.aspx
UNCTAD (l999) 5c|ence, 7echnoloy onJ lnnovot|on Pol|cy
kev|ew, 1omo|co. Unlted Natlons Conference on Trade
and Development (UNCTAD), Geneva.
watklns, A., Lhst, M. (eds.) (2008) 5c|ence, 7echnoloy, onJ
lnnovot|on: Cooc|ty 8u|lJ|n lot 5usto|noole Ctowth.
world 8ank, washlngton DC: http://web.worldbank.org/
\|bS||S
Carlbbean Academy of Sclences: www.caswl.org
Carlsclence: http://sta.uwl.edu/fsa/dmcs/carlsclence/
Pastactlvltles.asp
Mlgratlon Pollcy |nstltute: www.mlgratlonlnformatlon.org/
Natlonal Commlsslon for Sclence and Technology of
1amalca: www.ncst.gov.[m/S&T_pollcy.htm
west lnJ|on VeJ|col 1outnol: www.mona.uwl.edu/fms/wlm[/
|||SO S|||| |||O| 2010
l44
||||||||S
Afrlcan Development 8ank (2007) ln 5uott ol l|het
lJucot|on, 5c|ence onJ 7echnoloy. Draft orlentatlon
strategy presented at Stakeholders Consultatlve
workshop, Accra,l2-l3 Aprll 2007.
8ourne, C. (2008) Perspectlves on Lnhanclng Sustalnable
Growth and Development of Carlbbean Agrlculture.
Paper presented to the 44
th
annual meetlng of the
Carlbbean Pood Crops Soclety, Mlaml 8each Pesort,
l3-l7 1uly 2008. (Prof. 8ourne ls the Presldent of the
Carlbbean Development 8ank.)
8rathwalte, C. w. D. (2008) looJ 5ecut|ty Chollene |n the
Cot|ooeon. Address to conference at the Unlverslty of
the west |ndles, St Augustlne, Trlnldad and Tobago,
30 November 2008.
PAO (2007) At|cultutol 7toJe Pol|cy onJ looJ |n the
Cot|ooeon: 5ttuctutol lssues, Vult|lotetol Neot|ot|ons
onJ Comet|t|veness. Pome, Pood and Agrlculture
Organlzatlon of the Unlted Natlons. Avallable at:
www.rlc.fao.org/progesp/pesa/carlcom/
Government of 1amalca (2006) Cteen Poet: the 1omo|co
lnety Pol|cy 2006-2020. 1amalca, Cablnet Offlce,
Pebruary. Avallable at:www.natlaw.com/lnteram/
[m/eg/sp/sp[meg00005.pdf
Kahwa, |.A., de Castro Morelra, |. (2003) Developlng world
sclence strategles. Letter. 5c|ence, 302(565l):
pp.l677-l679.
Kahwa, |. A. and Pamklssoon, H. (2005) The CAP|COM
countrles, ln: uNl5CO 5c|ence keott 2005. UNLSCO,
Parls. Avallable at http://unesdoc.unesco.org/lmages/
00l4/00l430/l43007e.pdf
Melkle, A. (2006) GraceKennedy lnvests ln P&D ln Canada
plns hope on new product development. 1omo|co
Cleonet, l2 November. Avallable at: www.[amalca-
gleaner.com/gleaner/2006lll2/buslness/
buslnessl.html
Mlnlstry of Plannlng and Development (2006) v|s|on 2020.
|ncludes flrst operatlonal plan for 2007-20l0. Mlnlstry
of Plannlng and Development, Trlnldad and Tobago.
Avallable at: www.vlslon2020.lnfo.tt/cms/99!
Mokhele, K. (2007) us|n 5c|ence, 7echnoloy onJ
lnnovot|on to Chone the lottunes ol the Cot|ooeon
ke|on. ('The Mokhele Peport'). UNLSCO and the
|o A||OV ccJrt.|os
l45
T
h
e

C
A
P
|
C
O
M

c
o
u
n
t
r
l
e
s
Ishenkumba A. Kahwa currently serves as Dean of
the Paculty of Pure and Applled Sclences at the Mona
Campus ln 1amalca of the Unlverslty of the west
|ndles, after havlng served as Head of the Department
of Chemlstry from 2002 to 2008.
Prof. Kahwa was born ln Tanzanla ln l952. After
obtalnlng an MSc ln lnorganlc chemlstry from the
Unlverslty of Dar es Salaam, he went on to complete a
PhD at Loulslana State Unlverslty ln the USA ln l986.
Pour years later, he set up a laser laboratory at the Uw|
to study the electronlc behavlour of novel molecules
wlth supramolecular aggregatlons and potentlal new
appllcatlons ln blomedlcal dlagnostlcs and
therapeutlc, catalytlc and nano-mechanlcal systems.
|n addltlon to chemlstry, Prof. Kahwa has a keen
lnterest ln both envlronmental research and pollcy
and the lnteractlons between soclety and the
sclence-technology-lnnovatlon trlad. Thls dual
lnterest led hlm to form a broad-based team whlch
developed and launched a set of study programmes
ln Occupatlonal and Lnvlronmental Safety and Health
at the Uw| ln 2006.
Harold Ramkissoon was born ln l942 ln Trlnldad and
Tobago. He was educated flrst at the Unlverslty of the
west |ndles then at the Unlversltles of Toronto and
Calgary ln Canada. A mathematlclan, he ls currently
Professor Lmerltus at the Unlverslty of the west |ndles
ln Trlnldad.
Prof. Pamklssoon has made notable contrlbutlons to
understandlng of mlcropolar and mlcrocontlnuum
flulds and Marangonl lnstabllltles and has played a
plvotal role ln the advancement of sclence ln the
Carlbbean reglon. He has been the reclplent of
several awards, lncludlng the Chaconla Gold Medal,
Trlnldad and Tobago's second-hlghest natlonal award,
the Academlc Gold Medal from Slmon 8olivar
Unlverslty ln venezuela, and the Plrst CAP|COM
Sclence Award.
Prof. Pamklssoon ls a Pellow of both the Carlbbean
Academy of Sclence and the Academy of Sclences for
the Developlng world (TwAS), as well as a
Correspondlng Member of the Cuban Academy of
Sclences and the venezuelan Academy of Sclences.
He ls also Lxecutlve-Secretary of Carlsclence.
7he lu |s now cleotly the wotlJ leoJet os
lot os 5Cl uol|cot|ons ote concetneJ.
8ut whot counts |n tetms ol |nut |s
exenJ|tute on k80 onJ, |n tetms ol
outut, |nnovot|on etlotmonce.
Peter Tlndemans
EU chapter [12] [P3]:Layout 1 18/10/10 18:36 Page 146
8
.
European Union
Peter Tindemans
147
INTRODUCTION
The European Union (EU) nowcounts 27 member states.
Since the previous enlargement embraced 10 new
countries
1
on 1 May 2004, Bulgaria and Romania have joined
the fold, on 1 January 2007. The total population of the
EU-27 stood at 495.5 million in 2008, versus 486.6 million
five years earlier for the same 27 countries. Negotiations
with three more candidate countries are ongoing: Croatia,
the Former Yugoslav Republic of Macedonia andTurkey.
Eleven countries have concluded co-operation agreements
in science and technology (S&T) that involve contributing to
the budget of the EUs Seventh Framework Programme for
Research andTechnological Development (FP7), covering
20072013. These include the four remaining members of
the European FreeTrade Association (EFTA), Iceland,
Liechtenstein, Norway and Switzerland, as well as Israel and
Turkey. The others are Albania, Bosnia and Herzegovina,
Croatia, the Former Yugoslav Republic of Macedonia,
Montenegro and Serbia. These 11 countries participate in the
FP7 on the same footing as the EUmember states. In
describing developments and performance in the EU
member states over the coming pages, some information on
the EFTAcountries in particular will thus be included. Neither
Turkey nor those countries in Southeast Europe which are
not EUmembers will be discussed, however, as they are the
object of separate chapters (see pages 183 and 201).
Real growth in GDP for the EU-27 came to 11.9%for the
cumulative five-year period to 2008, resulting in an
estimated GDP per capita in purchasing power parity (PPP)
of 25 100 in 2008 (Table 1). Obviously, growth rates vary
greatly among the 27 member states. Slovakia, Latvia and
Lithuania lead the pack with five-year real growth rates of as
much as 4043%. At the other end of the scale, Italy and
Portugal report lagging five-year growth rates of 56%.
Clearly, the newer member states are catching up in
economic terms, although there remain yawning absolute
differences. Estimated GDP per capita (in PPP) in 2008 is
lowest in Bulgaria and Romania, at 10 000 and 11 300
respectively, followed by Poland and Latvia at 13 800 and
13 900. Apart fromthe exceptional case of Luxembourg,
where GDP per capita was a whopping 67 600 in 2008, the
normal high scorers are Ireland, the Netherlands and
Austria at 36,300, 33 400 and 31 300 respectively.
That was before the recession. There is little doubt that the
next UNESCOScience Report, looking back on the years
20102014, will paint a very different picture. The economic
recession that has been hurting countries deeply all over the
world since the last quarter of 2008 will have a widely
varying impact on individual EUmember states. That much
is clear fromthe May 2009 forecasts for GDP growth or
rather shrinkage with estimates of a contraction of more
than 10%in 2009 for some countries. Ireland has been one
of the first casualties; after decades of an economic miracle,
E
u
r
o
p
e
a
n
U
n
i
o
n
1. Cyprus, Czech Republic, Estonia, Hungary, Latvia, Lithuania, Malta,
Poland, Slovakia and Slovenia
Table 1: Population and GDP in the EU, 2008
Country Population 5-year GDP 2008 GDP
2008 growth rate per capita
(million) (%) (PPP )
EU-27 497.5 11.9 25 100
Austria 8.3 14.5 31 300
Belgium 10.7 12.4 29 500
Bulgaria 7.6 35.5 10 000
Cyprus 0.8 22.0 23 200
Czech Republic 10.4 31.3 20 900
Denmark 5.5 10.7 30 100
Estonia 1.3 32.8 16 200
Finland 5.3 17.6 28 900
France 63.8 10.0 27 200
Germany 82.2 9.1 29 100
Greece 11.2 20.7 24 300
Hungary 10.0 15.3 15 500
Ireland 4.4 22.8 36 300
Italy 59.6 4.9 24 900
Latvia 2.3 41.6 13 900
Lithuania 3.4 40.1 15 200
Luxembourg 0.5 26.1 67 600
Malta 0.4 14.1 19 600
Netherlands 16.4 13.8 33 400
Poland 38.1 30.2 13 800
Portugal 10.6 5.8 18 900
Romania 21.5 38.7 11 300
Slovakia 5.4 42.8 17 600
Slovenia 2.0 28.5 23 100
Spain 45.2 16.7 26 200
Sweden 9.2 14.7 30 900
United Kingdom 61.2 11.9 29 600
Source: Eurostat
Computer chip.
In February 2010,
Researchers at the
Tyndall National
Institute in Cork,
Ireland,
announced a
breakthrough in
transistors with
the design and
fabrication of the
world's first
junctionless
transistor. These
can be produced
at 10-nanometer
scale using
existing
fabrication
techniques.
Photo:
Andrey Volodin/
iStockphoto
the Irish economy contracted by 8.5% on an annual basis
in the first three months of 2009, according to the Irish
Central Statistics Office.
Although several countries have stated individually and
collectively that investment in research and education will
be essential to overcome the crisis and even consolidate
their position afterwards, neither the recovery packages
put together by both individual countries and the EU, nor
the budgetary forecasts for research and education seem
yet to warrant great optimism, in marked contrast to the
USA. One example is the United Kingdom; in its 30 April
2009 issue, the British journal Nature reported that, apart
from an additional 1.4 billion for low-carbon business and
technology, the UKs recovery package provided few
incentives for research and development (R&D). One
measure amounted to swapping 103 million from the
research councils budget for blue-skies research
2
in key
areas of economic importance. This finding seems to tally
with the much less optimistic, more passive view among
companies in Europe than their counterparts in the USA
and China, or even in wider Asia. The biannual Survey
3
of
1 309 Chief Financial Officers of companies in the USA,
Europe, China and the rest of Asia on their expectations
for the second quarter of 2009 found that European
companies still regarded their future with pessimism. They
chose to focus on reducting costs and investment in R&D,
in preference to redefining their business model, markets
or strategies.
From a global perspective, by far the most important
political development in relation to R&D in recent years will
have been Chinas rapid move centre stage. Collaboration
with individual researchers, between universities or
between funding agencies is on the rise and, in policy
discussions on research infrastructure, China is considered
a global player, yet another manifestation of its
omnipresence. Meanwhile, Europe still lacks the necessary
co-ordination mechanism to co-operate on a large scale
with a country like China. We shall examine Chinas rising
star towards the end of the present chapter (see page 177).
148
SOME KEY POLICY ISSUES
There is growing recognition in Europe that, without some
fundamental changes in the way member states and the
EU institutions define their responsibilities in science,
technology and innovation (STI), Europe will not easily
achieve its goal of becoming the most competitive and
dynamic knowledge-based economy in the world by
2010. The Lisbon Strategy, as it is known, was adopted by
heads of state and government in the Portuguese capital
in 2000. Two years later in the Spanish city of Barcelona,
they would fix a target for achieving this eldorado: each
country would strive to devote 3% of GDP to expenditure
on research and development (GERD) by 2010, with the
private sector expected to contribute two-thirds of this
effort. It is no secret today that this target will not be met.
The concept of the European Research Area dates back to
the adoption of the Lisbon Strategy in 2000 (see page 194).
The concept has since been revitalized by the European
Commission, the Council of Ministers and the European
Parliament to express the idea that Europe as a whole
must make big strides in six areas:
Europe must have a sufficient number of researchers
who must be well-trained and mobile;
research infrastructure is vital to facilitate research in all
areas of S&T;
excellent institutions of higher learning and research
are needed;
knowledge sharing across research bodies including
the private sector is a key prerequisite for success;
co-ordinated research programmes must form a glue
for dispersed national efforts;
last but not least, Europe must be open to the world in
its STI efforts.
The EUs Framework Programmes and Europes national
programmes cannot continue to operate in the relative
isolation from one other that has become their hallmark.
This includes the programmes of the national funding
agencies, which are all the more important in that they
constitute most of the flexible funding for research.
Co-ordination between national programmes has always
been part of European rhetoric but it is now being
admitted that the slew of mechanisms embraced
successively to bring about co-ordination have not
worked well. Part of the reason for this was no doubt the
adoption of a far too comprehensive and insufficiently
2. Scientific research that has no immediate application in the real world;
also known as curiosity-driven research and at times employed
interchangeably with the term basic research.
3. The survey of European Chief Financial Officers is conducted by Tilburg
University in the Netherlands: www.cfosurveyeurope.org
EU chapter [1] [Ed2]:Layout 1 25/11/10 10:59 Page 148
|J.cpo.r |r|cr
l49
focused approach to co-ordlnatlon, wlthout asklng where
and when co-ordlnatlon was actually most urgently
needed or whether key stakeholders would be wllllng to
accept co-ordlnatlon.
The 1olnt Technology |nltlatlves dlscussed farther down
may be a step forward, as they lnvolve both LU fundlng
and natlonal funds, even lf thelr complexlty ls dauntlng
(see oe l63). |ndeed, the 1olnt Technology |nltlatlves,
comblned wlth the Luropean Pesearch Councll and
lntense dlscusslon on research lnfrastructure, mlght well
trlgger a fundamental reconslderatlon of the framework
programmes and lntroduce a shlft away from a very large
number of small pro[ects towards fundlng of a few ma[or
mechanlsms. Greater fundlng for a truly lndependent
Luropean Pesearch Councll, a theme whlch wlll also be
dealt wlth later, or maybe even more counclls for dlfferent
flelds of sclence, could be a better way of spendlng
research funds at the Luropean level. Slmllarly, funds
could be better spent on large research facllltles and on
concentrated, large-scale mlsslons to tackle challenges for
Lurope as a whole. A stronger Luropean Pesearch Councll
wlll, of course, make the lssue of the councll's relatlonshlp
to the natlonal fundlng agencles and the consequences
for academlcally orlented research unavoldable. Thls lssue
could have been convenlently dealt wlth at the tlme the
Luropean Pesearch Councll was founded ln 2006.
||S|||O|A| |||O|V
Ratification of the Lisbon Treaty
The role of the LU ln P&D has been deflned ln the varlous
treatles that have successlvely shaped the LU over the past
50 years. The seeds of the LU were sown wlth the Luropean
Coal and Steel Communlty and the Luropean Atomlc Lnergy
Communlty of the l950s. These deflned very speclflc
responslbllltles ln coal and steel and nuclear research. Only
ln the l980s and l990s dld amendments to exlstlng treatles
extend the LU's responslbllltles beyond lndustrlal
competltlveness.
The Llsbon Treaty was flnally ratlfled by the last of the 27 LU
member states ln November 2009. Thls treaty adds one ma[or
responslblllty: 'The Luropean Unlon shall draw up a Luropean
space pollcy and measures to that effect may take the form of
a Luropean space programme.' How thls wlll work out ln
relatlon to the lntergovernmental Luropean Space Agency
wlll be a key lssue for the next flve years.
Those member states whlch flnance the Luropean Space
Agency have accepted thls new role for the LU, some
allegedly ln antlclpatlon of recelvlng flnanclal contrlbutlons
from the LU for the functlonlng of the agency. Thls
enlargement of the scope of the LU's responslbllltles has gone
hand ln hand wlth an lncrease ln budgets (see oe l60).
One Luropean reform that has been stalllng ls that
concernlng patents. Lveryone agrees that a communlty
patent ls vltal - that ls, a patent flled wlth, and granted by, the
Luropean Patent Offlce that would be valld throughout the
LU and offer the posslblllty of appeallng a patent or lltlgatlng
for lnfrlngement vla a slngle court preferably. Such a patent
has been under dlscusslon slnce the l970s and, ln the past
few years, the Luropean Commlsslon has lntroduced
proposals to establlsh a communlty patent. However,
problems over language and [urlsdlctlon have remalned
unsurmountable hurdles: a natlonal court has [urlsdlctlon
and, up untll recently, every member state could lnslst on an
offlclal translatlon of any patent granted. wlth 27 members,
these requlrements are no longer a vlable optlon but not all
countrles are prepared to admlt thls. Some progress has
been made ln the area of translatlon especlally: the 2008
London Agreement ls an optlonal agreement among
members of the Luropean Patent Conventlon whlch llmlts
the number of translatlons of a patent. A communlty patent
nevertheless remalns a dlstant prospect. However, ln
December 2009, mlnlsters reached a polltlcal agreement on
a Luropean patent lncludlng a Luropean [urlsdlctlon,
although some detalls wlll stlll have to be negotlated.
Reform of higher education
7he 8olono Ptocess
|n many Luropean countrles, vast reforms have taken
place ln the past decade. |n others, they are stlll ln
progress. These reforms affect the unlverslty sector ln
partlcular, wlthln the 8ologna Process whlch lntends to
create a Luropean Hlgher Lducatlon Area by 20l0 (8ox l).
The reforms lnclude changes ln fundlng mechanlsms and
ln unlverslty tles to enterprlses. Key lssues concern how to
foster dlverslty among unlversltles, autonomy, quallty,
quallty assurance and evaluatlon, an outward orlentatlon
4
L
u
r
o
p
e
a
n

U
n
l
o
n
4. Unlversltles wlth an outward orlentatlon look for lnsplratlon ln research
to the key challenges socletles are faclng. They renew currlcula wlth the
same perspectlve ln mlnd and engage wlth companles and socletal
organlzatlons on the role unlversltles should play. They also pay more
attentlon to the non-academlc skllls people need, such as communlcatlon
skllls, a team splrlt, entrepreneurlal skllls, etc.
|||SO S|||| |||O| 2010
and flexlblllty. These lssues are clearly related. Por
example, greater autonomy requlres a better quallty
assurance system. Slmllarly, a stronger outward
orlentatlon and responslveness are dlfflcult to achleve
wlthout greater autonomy and flexlblllty.
|n Lurope, there tends to be a general adheslon to the
ldea that unlversltles need greater autonomy. There ls
unease ln Prance, however, that thls wlll translate lnto a
power shlft from the professors to unlverslty
management, wlth admlnlstrators rather than faculty
decldlng on the appolntment of professors or on the
allocatlon of research fundlng. These concerns are
unfounded and reflect a lack of knowledge of
l50
successful unlverslty systems abroad. Some have polnted
out that true autonomy can only come from the flnanclal
autonomy obtalned by a unlverslty that succeeds ln
ralslng funds from prlvate lndustry and other sources.
Most Luropean unlversltles have been bullt upon, or
adopted, the Humboldt model. Thls model ls named after
wllhelm von Humboldt (l767-l835), who deslgned the
Prusslan educatlon system whlch would later become a
model for unlverslty systems ln Lurope, 1apan and the
USA. The Humboldt model advocates a unlty of teachlng
and research at the lnstltutlonal, personnel and student
levels. Under the Humboldt model, academlc tralnlng ls
hardly concelvable wlthout some lnvolvement ln research,
Box 1: The 8ologna Process
|o bc|cr. |.ccoss .|ns tc c.o.to .
|J.cpo.r |||o. |JJc.t|cr A.o. by
2010. |o p.ccoss ct JrJo. ..y .|t|
t|o .Jcpt|cr c| t|o Bologna
Declaration |r t|o |t.||.r c|ty c| t|o
s.no r.no |r 'Jro 1999. |o t|.oo
p.|c.|t|os c| t|o bc|cr. |.ccoss ..o.
t|o |rt.cJJct|cr c| t|o t|.oocyc|o
syston (b.c|o|c.s + n.sto.s +
Jcctc..to), ,J.||ty .ssJ..rco, .rJ
t|o .occr|t|cr c| ,J.||||c.t|crs .rJ
po.|cJs c| stJJy .c.css |J.cpo.
|vo.y soccrJ yo.., n|r|sto.s
.ospcrs|b|o |c. |||o. oJJc.t|cr |r
t|o 46 bc|cr. ccJrt.|os noot tc
no.sJ.o p.c.oss .rJ sot ro.
p.|c.|t|os. A|to. bc|cr. (1999), t|oy
not |r |..Jo, .oc| |opJb||c (2001),
bo.||r, o.n.ry (2003), bo.or,
|c...y (2005), |crJcr, || (200)
.rJ |oJvor/|cJv.|r|.|oJvo,
bo||Jn (2009). |o |.tto. noot|r
|ccJsoJ cr t|o |npc.t.rco c| |||o|cr
|o..r|r, .|Jor|r .ccoss tc |||o.
oJJc.t|cr .rJ ncb|||ty. |t ..s |o.o
t|.t t|o 2020 t..ot ..s ||xoJ |c.
orsJ.|r t|.t .t |o.st 20 c| t|cso
..JJ.t|r |r t|o |J.cpo.r |||o.
|JJc.t|cr A.o. sporJ t|no .b.c.J
stJJy|r c. t..|r|r.
.oJ|.toJ .rJ n.r.oJ tc t|o ..ys |r
.||c| Jr|vo.s|t|os ..o cvo.roJ.
|o || |s sJppc.t|r . b.c.J ..ro c|
no.sJ.os tc ncJo.r|.o t|o ccrtort
.rJ p..ct|cos c| |||o. oJJc.t|cr |r
t|o 2 nonbo. st.tos .rJ t|o ||s
28 ro||bcJ.|r ccJrt.|os. ||s
sJppc.t |rc|JJos t|o |||o|cr
|o..r|r |.c..nno, t|o |rst.Jnort
|c. |.o.ccoss|cr Ass|st.rco, t|o
|J.cpo.r |o||bcJ.|ccJ .rJ
|..tro.s||p |rst.Jnort .rJ t|o
|ovo|cpnort ccpo..t|cr
|rst.Jnort, t|o onpJs p.c..nno
.rJ t|o ||s p.c..nno |c.
.c.|J.|Jo .c.Jon|c cccpo..t|cr,
|..snJs VJrJJs.
|o || |s .|sc sJppc.t|r t|o
.orJ. |c. ncJo.r|.|r Jr|vo.s|t|os
t|.cJ| t|o |np|onort.t|cr c| ||
.rJ t|o cnpot|t|voross .rJ
|rrcv.t|cr |.c..nno, .s .o|| .s v|.
t|o st.JctJ..| |JrJs .rJ |c.rs |.cn
|J.cpo.r |rvostnort b.rk.
5outce: http://ec.europa.eu/educatlon
/hlgher-educatlon/docl290_en.htm
Offlclal webslte of the 8ologna Secretarlat:
www.ond.vlaanderen.be/hogeronderwl[s/
bologna/
Stoo.oJ by |J.cpo.r n|r|sto.s
.ospcrs|b|o |c. |||o. oJJc.t|cr, t|o
bc|cr. |.ccoss |s . cc||oct|vo o||c.t,
|t .|sc |rvc|vos pJb||c .Jt|c.|t|os,
Jr|vo.s|t|os, to.c|o.s .rJ stJJorts,
onp|cyo.s, ,J.||ty .ssJ..rco
.orc|os, |rto.r.t|cr.| bcJ|os .rJ
|rst|tJt|crs. A|t|cJ| t|o p.ccoss
oxtorJs boycrJ t|o ||s bc.Jo.s, |t |s
c|cso|y ccrroctoJ .|t| || pc||c|os
.rJ p.c..nnos. |c. t|o ||, t|o
bc|cr. |.ccoss |s p..t c| . b.c.Jo.
o||c.t tc J.|vo . |J.cpo c| krc.|oJo.
|r V.y 2006, t|o |J.cpo.r
cnn|ss|cr J.oJ nonbo. st.tos tc
p.oss cr .|t| t|o ncJo.r|..t|cr c|
|J.cpos Jr|vo.s|t|os.|o .|n |s tc
|rc.o.so cJ. Jr|vo.s|t|os ccrt.|bJt|cr
tc t|o ||sbcr AorJ. |c. nc.o .c.t|
.rJ nc.o .rJ botto. cbs, t|oy s.|J.
|J.cpos 4 000 Jr|vo.s|t|os |.vo
orc.ncJs pctort|.|, nJc| c| .||c|
Jr|c.tJr.to|y cos Jrt.ppoJ boc.Jso
c| v..|cJs .||J|t|os .rJ ||rJ..rcos.
|o cnn|ss|cr |s J.|r nonbo.
st.tos tc |.oo Jp t|o ||s sJbst.rt|.|
.oso.vc|. c| krc.|oJo, t.|ort .rJ
oro.y .|t| |nnoJ|.to, |rJopt| .rJ
ccc.J|r.toJ c|.ro. |.cn t|o ..y |r
.||c| |||o. oJJc.t|cr systons ..o
|J.cpo.r |r|cr
l5l
wlth the consequence that acqulrlng a unlverslty degree
can take many years. Of course, the expanslon of
unlverslty systems to provlde tertlary educatlon to
growlng numbers of students, comblned wlth the need
for greater efflclency and cost-effectlveness, has lnevltably
led to changes. The rhetorlc emerglng from many
dlscusslons on unlversltles, however, stlll reflects an
attachment to the Humboldt model, desplte the fact that
lt may not be sustalnable.
A comparlson wlth the US hlgher educatlon system makes
thls abundantly clear. A good startlng polnt ls the now
well-known ranklng of unlversltles worldwlde by
Shanghal 1latong Unlverslty. There ls no need to dlscuss
here ln detall the merlts or demerlts of thls ranklng, or for
that matter of any ranklng. what matters ls that the
crlterla used for the Shanghal 1latong ranklng are based
on research capaclty. when lt comes to research, all
ranklng systems would demonstrate that Lurope spreads
lts resources relatlvely thlnly compared to the USA.
|t ls obvlous that Amerlcan unlversltles domlnate
lnternatlonal ranklngs (Plgure l and Table 2). Only when
we take lnto account the unlversltles placed 5l
st
to l00
th
do we flnd a much better balance between Lurope and
the USA. A more detalled comparlson of two world-class
US unlversltles (Stanford and the Massachusetts |nstltute
of Technology) wlth three top-tler Luropean unlversltles
(Cambrldge ln the UK, Lldgensslsche Technlsche
Hochschule ln Swltzerland and Karollnska ln Sweden)
suggests one lmportant reason. Although the research
budgets of Luropean unlversltles are certalnly
conslderable, the budgets of the two US unlversltles are
larger stlll. As a matter of fact, the Natlonal Sclence
L
u
r
o
p
e
a
n

U
n
l
o
n
Figure 1: Number of top Luropean and US unlversltles
5outce: Shanghal 1laoTong Unlverslty
0
10
20
30
40
50
60
Europe
USA
Other
Top 10 Top 20 Top 50 Top 100
2
8
0
2
17
1
10
36
4
34
54
12
7abIe 2: Comparlson between key US and Luropean research unlversltles, 2006
Massachusetts S tanford idgenssische Cambridge karoIinska
Institute of Univ ersity, 7echnische Univ ersity, Institutet,
7echnoIogy, USA USA HochschuIe Uk Sweden
Zrich (7H),
SwitzerIand
Scope 8road 8road Sclence and 8road Medlcal
englneerlng
8udget, excludlng
constructlon US $l.4 bllllon US $2.6 bllllon -750 mllllon -780 mllllon -440 mllllon
Number of students l0 200 l4 900 l2 700 l7 800 8 000
Proportlon of
undergraduate to
graduate students 2:3 45:55 2:3 2:l 3:l
8udget for US $660 mllllon ln US $900 mllllon -430 mllllon -285 mllllon ln -370 mllllon
research sponsored P&D sponsored P&D research grants
Pesearch contracts
from lndustry ~l5% <5% ~9% l0-l5% ~9%
Note: 8udget data are typlcally for 2006 or prospects for 2007
5outce: Tlndemans et ol. (2007) 7he lutoeon lnst|tute ol 7echnoloy: o leos|o|l|ty 5tuJy lot the lutoeon Potl|oment
|||SO S|||| |||O| 2010
Poundatlon's statlstlcs on research at US unlversltles reveal
that about 200 unlversltles account for almost all unlverslty
research ln the USA. Llberal arts colleges, communlty
colleges and others provlde the bulk of tertlary educatlon
(see oe 45).
The sltuatlon ls very dlfferent ln Lurope. The ambltlon of many
unlversltles ls to become a research unlverslty, ln llne wlth the
prevalllng ldeal of what a unlverslty should be, based on the
Humboldt model. One example ls Poland, whlch has
l47 unlversltles performlng research, accordlng to
LPAwATCH. The consequence of thls ls much fewer resources
for the average unlverslty. 1amll Salml, Tertlary Lducatlon
Co-ordlnator wlthln the world 8ank's Human Development
Network, concluded ln a recent global analysls that world-
class unlversltles share three key factors (Salml, 2009). l|tstly,
they have a concentratlon of top talent, both among faculty
and among students. 5econJly, they have abundant
resources. 7h|tJly, they have approprlate governance systems.
Lurope thus needs to foster greater dlverslty among lts
unlversltles and other lnstltutlons of hlgher learnlng. Many of
the reforms Luropean countrles have wltnessed over the past
decade have dlverslflcatlon as thelr goal, sometlmes expllcltly,
more often lmpllcltly. Dlverslflcatlon has several components,
lncludlng the concentratlon of research fundlng. Luropean
countrles are stlll very reluctant to embrace thls. 1ust as the
LU's Pramework Programmes have relled ln many ways on
creatlng networks and other forms of collaboratlon to create
supposedly a crltlcal mass, so too do most natlonal
programmes and pollcles. Only ln the UK has there been a
dellberate pollcy of augmentlng the concentratlon of
research resources, as wlll be explalned shortly. Lven wlthln
the UK, there has been a lot of opposltlon from the reglons.
The pollcy has been dlluted ln any case slnce the dlstlnctlon
between polytechnlcs and unlversltles was abandoned ln the
early l990s.
Lventually, the concentratlon of research fundlng ln
selected unlversltles wlll have to be accompanled by many
unlversltles redeflnlng themselves as the equlvalent of
llberal arts colleges. Thls form of dlfferentlatlon ls certalnly
made easler by the generallzatlon of the bachelor's and
master's degree programmes at the heart of the 8ologna
Process, whlch was adopted by Luropean countrles a
decade ago and ls gradually belng lmplemented ln many
countrles. However, ln most countrles, a bachelor's degree
ls stlll not regarded as a full unlverslty educatlon by
students, parents and employers allke.
l52
A thlrd dlmenslon of dlfferentlatlon ls quallty. Of course, no
one wants to be a low-quallty lnstltutlon. Currently, quallty
assurance schemes are belng lntroduced ln most countrles
to lncrease quallty. However, lt ls slmply lmposslble for every
unlverslty to belong to the top tler of research unlversltles.
Moreover, there are some very good reasons for chooslng a
dlfferent mlsslon, for example to provlde a reglon wlth good-
quallty tertlary educatlon. One very lnterestlng example of a
country trylng to lncrease lnstltutlonal dlfferentlatlon ls
Germany wlth lts 'lxzellenz ln|t|ot|ve'. Pesponslblllty for hlgher
educatlon ln Germany rests wlth the states. The federal
government therefore has to manoeuvre carefully to
lntroduce pollcles and schemes affectlng hlgher educatlon.
Thus, when the federal government arrlved at the vlew that
the lnternatlonal competltlveness of German unlversltles
requlred greater dlfferentlatlon, lt took lengthy dlscusslons
wlth the states before they would agree, ln 2005, to adhere to
thelxzellenz ln|t|ot|ve. |n two rounds ln 2005 and 2006,
unlversltles were lnvlted to submlt three types of plan for
total addltlonal fundlng of -2 bllllon. Pelatlvely speaklng, that
ls perhaps not such an enormous amount but, ln the
complex world of German pollcy-settlng, and glven the very
tradltlonal posltlon and organlzatlon of German unlversltles,
the lxzellenz ln|t|ot|ve marks a slgnlflcant evolutlon that ls
representatlve of what ls happenlng ln other countrles.
Graduate schools were lntroduced some 25 years ago as a
means of formallzlng and lmprovlng PhD tralnlng. One
component of the lxzellenz ln|t|ot|ve was thus to select
39 excellent graduate schools over tlme. A second
component focused on clusters of excellence: research
groups ln several dlsclpllnes and lnstltutlons wlthln a reglon
were to create strong reglonal clusters. Thlrty-seven such
clusters have been selected. These lnclude a Nanosystems
|nltlatlve ln Munlch, for lnstance, but also a cluster ln
Heldelberg on Cultural Lxchange ln Lurope and Asla ln a
Global Context. The thlrd and last component lnvlted
unlversltles to submlt strateglc plans for thelr lnstltutlon as a
whole. Only nlne unlversltles have recelved thls recognltlon.
Some flve or slx unlversltles clearly stand out ln terms of the
number of awards they have recelved for the three
components of the lxzellenz ln|t|ot|ve.
whatever one's mlsslon, approprlate governance systems
are vltal for effectlveness. Autonomy ls a key factor ln thls
regard. |n a study carrled out by the 8ruegel Poundatlon,
the performance of Luropean unlversltles was analysed
and relatlons between governance, spendlng and
performance lnvestlgated (Aghlon et ol., 2007). The
concluslon was stralghtforward. Luropean unlversltles
|J.cpo.r |r|cr
l53
must become more autonomous, ln partlcular wlth
regard to budgets but also when lt comes to hlrlng
faculty, remuneratlon, course deslgn and student
selectlon, partlcularly at the master's level. Thls process
towards more autonomy ls ongolng.
LPAwATCH regularly collects data on developments ln
the ST| systems and pollcles of the LU member states on
the basls of reports by natlonal correspondents. The 2008
LPAwATCH report summarlzes key recent unlverslty
reforms. Coverlng a perlod between 200l and 2008, lt
llsts formal legal reforms for 2l LU countrles. Of these,
l6 expllcltly mentlon autonomy as one of thelr ob[ectlves
or prlnclples. Some examples follow:
I The Danlsh Unlverslty Act of 2003 stlpulated larger
autonomy for unlversltles and the 2007 ma[or
restructurlng of Danlsh unlversltles gave them greater
flexlblllty ln the recrultment of researchers.
I |n Spaln, the Organlc Law for unlversltles of 200l
llkewlse lncreased the autonomy of unlversltles.
I |n Llthuanla, hlgher educatlon ls currently undergolng
a reform that should be complete ln 20l0. The move ls
towards greater autonomy, even though a hlgh level
of regulatlon reportedly perslsts.
I The 2005 Act on Hlgher Lducatlon ln Poland brought
a much hlgher level of lnstltutlonal autonomy.
I The Prench Law on Unlverslty Pesponslbllltles and
Preedom of 2007 afforded unlversltles greater power
and responslblllty for hlrlng staff, 20 unlversltles were
the flrst to become autonomous ln 2009.
I The Hlgher Lducatlon Law of 2002 ln Slovakla
lntroduced a ma[or reform lmplylng, |ntet ol|o, greater
lnstltutlonal autonomy. Thls resulted ln unlversltles
becomlng self-governlng, self-organlzed entltles.
I |n Plnland, the government response to concerns
about the lagglng performance of Plnnlsh unlversltles
has been to lntroduce a development plan wlth
greater autonomy as one of lts plllars, next to the
merger of lnstltutlons, for example.
I The one exceptlon whlch proves the rule seems to be
Slovenla, where the government proposed
augmentlng lts lnvolvement ln matters such as
nomlnatlons or even the promotlon of staff ln a draft
blll ln 2007. Strong opposltlon led to the mlnlster's
reslgnatlon, however, so Slovenla may eventually lose
lts status as the exceptlon to the rule.
Autonomy goes hand ln hand wlth accountablllty and
mechanlsms for quallty evaluatlon and quallty assurance. |n
practlcally all countrles, government fundlng for unlverslty
research follows a dual approach. Next to lnstltutlonal
fundlng, usually flowlng dlrectly from the government to
the unlversltles, there ls competltlve fundlng provlded by
one or more research counclls or natlonal fundlng agencles.
The balance between the two types of fundlng can be very
dlfferent from one country to another. |n the Unlted
Klngdom, for example, about 2.8 bllllon ls funded by the
research counclls and l.5 bllllon comes ln the form of
lnstltutlonal fundlng through the hlgher educatlon
research counclls. To take another example, Prance created
a Natlonal Pesearch Agency (Aence not|onole Je techetche)
ln 2005 for fundlng exploratory research pro[ects wlthln
government-set prlorltles on a competltlve basls. The alm ls
to arrlve at 20% competltlve fundlng by 20l0. Many of the
examples and data presented here are based on the
LPAwATCH 2008 country reports.
Petlotmonce oteements
The focus ln the present sectlon has been on lnstltutlonal
funds and attempts by countrles to relate thls fundlng ln
some way to performance. Por competltlve funds, such a
relatlon ls self-evldent. Throughout the LU, we flnd a varlety
of mechanlsms. Performance agreements are one example.
Concluded for a perlod of three to flve years, these
agreements have been lntroduced ln recent years ln
Austrla, Denmark, Plnland and Luxembourg, for example.
|n the latter case, a performance agreement was concluded
at the tlme of the foundlng of the Unlverslty of
Luxembourg, the country's flrst unlverslty. |n each case, the
mlnlster and the unlverslty agree on a sometlmes vast
number of targets whlch the unlverslty accepts to achleve.
These may be quantltatlve and relate to educatlon,
research, technology transfer and tles to lndustry, patents
and so on. As an example, Table 3 descrlbes the
Development Contract for 2008-20l0 slgned by Aarhus
Unlverslty and the Danlsh Mlnlster for Sclence, Technology
and |nnovatlon.
Por educatlon, the budget the mlnlstry provldes can often
be related to some unlt prlce, for example the estlmated
L
u
r
o
p
e
a
n

U
n
l
o
n
|||SO S|||| |||O| 2010
costs of tralnlng a bachelor ln a three-year course. Por
research, that ls lmposslble and therefore the lnstltutlonal
research budget ls usually a lump sum resultlng from
negotlatlons wlth the mlnlstry on the basls of lncremental
changes. As these agreements have only been lntroduced
recently, no evaluatlons have so far been carrled out.
A very dlfferent scheme has been ln use ln the Unlted
Klngdom slnce the early l990s. |n 2008, the latest ln a serles
of Pesearch Assessment Lxerclses was held to declde about
the allocatlon to unlversltles of the l.5 bllllon pounds per
annum avallable as lnstltutlonal research fundlng. Thls ls a
hlghly competltlve scheme wlth very strong lncentlves for
wlnners and penaltles for losers. No country has so far
l54
followed anythlng slmllar to the UK's Pesearch Assessment
Lxerclse. Lven ln the UK, the debate contlnues, as the swlngs
ln fundlng from one perlod to the other can be slgnlflcant
and therefore lead to effects that not everyone conslders
beneflclal ln the long run. On the other hand, the scheme
does promote competltlon and a concentratlon of research
fundlng, both hallmarks of research ln the top league. |n the
Pesearch Assessment Lxerclse, unlversltles choose the unlts
of assessment (such as cardlovascular research) ln whlch they
wlsh to submlt proposals. |n 2008, these unlts numbered 67.
A proposal conslsts of a number of researchers ldentlfled by
name, plus evldence of thelr quallty as researchers ln the
form of papers, cltatlons or the number of PhD students
supervlsed, for example. There ls no requlrement to submlt
Table 3: Development contracts for Aarhus Unlverslty ln Denmark, 2006 and 20l0
5electeJ oct|v|t|es
Activity Indicator 2006 2010
keseotch
Pesearch productlon Number of research publlcatlons 5 09l 5 575
|nternatlonallzatlon of research Number of forelgn researchers attracted l49 220
Attractlon of external LU funds US$ l7.8 mllllon US$ 26.4 mllllon
non-government funds Prlvate Danlsh and forelgn funds US$ 7l.6 mllllon US$ 82.4 mllllon
PhD actlvlty Number of degrees conferred 223 39l
0etee totommes
New enrollments Newly enrolled students 8achelor's: 4 955 8achelor's: 5 467
Master's: 3 440 Master's: 4 370
Drop-outs Drop-out percentage 8achelor's: 35.9% 8achelor's: 30.4%
Master's: ll.2% Master's: 8.0%
Completlon tlme Percentage of students completlng 8achelor's: 39.0% 8achelor's: 4l.2%
studles ln prescrlbed tlme Master's: ll.5% Master's: 28.l%
Quallty assurance of degree Number of completed degree 50% l00%
programmes programmes for whlch evaluatlon
of teachlng ls publlshed on web
0|ssem|not|on ol lnowleJe
Contlnulng and further educatlon Number of course partlclpants 6 050 6 400
Partlclpatlon ln publlc debate Number of wrltten contrlbutlons to l 746 2 750
popular medla
Collaboratlon wlth buslness Number of collaboratlon agreements 276 350
communlty Number of reported lnventlons 59 ll0
keseotch-ooseJ oJv|ce to the outhot|t|es
Pesearch-based advlce to |ncome from advlce to authorltles US$ 90.8 mllllon US$ l03.4 mllllon
authorltles
5outce: Aarhus Unlverslty
|J.cpo.r |r|cr
l55
all researchers actlve ln a partlcular unlt of assessment.
The Hlgher Lducatlon Pundlng Counclls have set up panels
to assess the lndlvldual researchers uslng a 'star system'
ranglng from four to zero stars. The upshot ls that a group
ranked hlghest (four stars) gets seven tlmes as much as a
group wlth an average ranklng (two stars). As for groups wlth
a low ranklng, they get nothlng.
Only Poland has a system bearlng some resemblance to
that of the UK. |nstltutlonal research fundlng ls based on an
external assessment system. A flxed set of lndlcators ls used
to evaluate performance over three years. Pesearch unlts
are benchmarked agalnst slmllar unlts ln the same
dlsclpllne then ranked ln flve categorles. Pelatlvely less
money ls lnvolved, however, and the system ls not as
severe, nor apparently as automatlc, as the UK system.
|n most countrles, however, there ls only an lndlrect llnk
between lnstltutlonal fundlng of unlverslty research and
performance. Moreover, when some form of formula
fundlng ls used, thls may lnvolve, for example, the number
of PhD degrees conferred. That ls the case, for lnstance, ln
the Netherlands where lnstltutlonal research fundlng for
unlversltles ls baslcally frozen at some hlstorlcal level but
where around 25% ls proportlonal to the number of PhD
degrees awarded by the unlverslty. That does not mean that
countrles have not set up extenslve evaluatlon mechanlsms.
|ndeed, thls ls one of the key developments of recent years.
Here agaln, some examples serve to lllustrate the trend: |taly
has evaluated the research results of unlversltles and publlc
research bodles from 200l to 2003 but thelr lmpact on
pollcy and fundlng has been shown to be llmlted as yet. Thls
evaluatlon was carrled out lnltlally through a commlttee
establlshed by the Mlnlstry for Unlversltles and Pesearch
that has slnce been superseded by a Natlonal Agency for the
Lvaluatlon of Unlversltles and Pesearch slnce 2008. Once lt
becomes operatlonal, the agency's flndlngs should gulde
the allocatlon of publlc funds for research.
Prance, too, has moved away from a scattered evaluatlon
system towards the creatlon of a central Agency for
Lvaluatlon of Pesearch and Hlgher Lducatlon. Thls agency
wlll evaluate research at three levels: l|tstly, lnstltutlons
wlll be assessed, lncludlng thelr lnternal rules for staff
evaluatlon, seconJly, the research unlts of both
unlversltles and publlc research bodles wlll be evaluated
to the tune of around l 000 per year, and th|tJly, degrees
and dlploma structures wlll be revlewed and lead to some
sort of accredltatlon of the programmes. How thls wlll
affect lnstltutlonal research fundlng remalns to be seen.
Up untll now, the unlversltles have negotlated four-year
contracts wlth the mlnlstry.
The Netherlands also has a natlonal system for evaluatlng
research at unlversltles and at the lnstltutes conductlng
academlc research under the umbrella of the Poyal Academy
for Arts and Sclences (KNAw) and the Netherlands
Organlsatlon for Sclentlflc Pesearch (NwO) but the system
operates ln a dlfferent way. The Assoclatlon of Dutch
unlversltles, KNAw and NwO agreed on a common protocol
ln 2002: they accept evaluatlons, done at the level of research
groups, whenever a research group straddles both a
unlverslty and a research lnstltute or could be evaluated ln
two dlfferent sclentlflc areas, they have establlshed a
common cycle so that research groups ln each dlsclpllne are
assessed once every slx years. Moreover, there ls a facllltatlng
organlzatlon they are at llberty to lnvlte to organlze the
evaluatlons. |t ls up to the management of a glven unlverslty,
KNAw or NwO, however, to declde whether unlversltles are
to have thelr research groups ln a partlcular dlsclpllne
evaluated by the same lnternatlonal vlsltatlon commlttee or
whether they prefer a separate evaluatlon for thelr lnstltutlon
only. Any flnanclal consequences are the sole responslblllty
of these management bodles. A unlverslty's lnstltutlonal
research budget belng flxed wlthout room for negotlatlon
wlth the mlnlstry, management has to declde whether to
reallocate research budgets lnternally. Thls has been done to
a slgnlflcant degree ln recent years. |n an lnterestlng
development, the unlversltles, KNAw and NwO have all
agreed recently to experlment wlth a broader assessment
protocol that expllcltly measures not only the economlc
lmpact but also the socletal lmpact of research for those
groups and lnstltutes wlth an expllcltly socletal mlsslon.
|n Germany, there ls no natlonal system for evaluatlng
unlverslty research but, for all other publlc research, lt ls the
German Sclence Councll whlch carrles out evaluatlons. All
lnstltutes belonglng to renowned German research umbrella
organlzatlons llke the Max Planck Soclety are regularly
evaluated. |n 2009, the Sclence Councll was ln the process of
completlng an evaluatlon of the 50 or so government
research lnstltutes. The Sclence Councll's assessments are
usually taken very serlously by research bodles.
Plnland ls another country that has a thoroughly developed
system of research evaluatlon. Here, the Academy of Sclences
ls responslble, next to the Technology Poundatlon (TLKLS),
for technology development and lnnovatlon support
L
u
r
o
p
e
a
n

U
n
l
o
n
|||SO S|||| |||O| 2010
programmes. The Plnnlsh academy ls the equlvalent of the
research fundlng counclls or agencles ln other countrles.
Once every three years, the academy carrles out an
evaluatlon of the entlre research system ln Plnland, wlth
publlcatlon output belng an lmportant lndlcator. The Plnnlsh
academy also assesses research at the programme level and
ls lncreaslngly looklng not only at the lmmedlate output but
also the longer-term lmpact of research. The academy also
evaluates sclentlflc dlsclpllnes uslng a method slmllar to that
employed ln the Netherlands: forelgn expert panels assess a
large number of research groups on past performance.
The results of the varlous assessments serve as lnput for
the performance contracts that accompany lnstltutlonal
government fundlng but there are no algorlthms
lnvolved. Many more examples could be glven for most of
the LU member states but the trend ls clear from [ust thls
handful of countrles: more expllclt evaluatlons,
evaluatlons at varlous levels, such as research groups,
programmes, dlsclpllnes or lnstltutlons, a varlety of
mechanlsms to llnk performance to lnstltutlonal research
budgets, and, lncreaslngly, attempts to extend the scope
of evaluatlons to the longer-term and socletal lmpact.
|||O||A| OO|||A|O|
A|| ||||A|O| A|| O||
|n thls sectlon, we shall be descrlblng a number of
Luropean schemes for collaboratlon and lssues llke the
development of research lnfrastructure whlch are based
on agreements between governments or between
natlonal fundlng agencles. we shall then move on to the
LU's role ln fosterlng collaboratlon ln P&D.
The reglon contlnues to develop the Luropean dlmenslon of
what, ln the past, were purely natlonal landscapes of
unlversltles, research lnstltutes, companles, research fundlng
agencles, pollcles and regulatlons. Over the past two
decades, Lurope has wltnessed a much greater degree of
co-operatlon among researchers ln dlfferent Luropean
countrles. The LU's Pramework Programmes, about whlch
more wlll be sald later, have played a key role ln thls respect.
The new Luropean Pesearch Councll ls an lmportant
development at the lnstltutlonal level, although lt ls not yet
a complete success. The [ury ls also stlll out on another
lnstltutlon, the Luropean |nstltute of |nnovatlon and
Technology. Ma[or S&T-based servlces and lndustrles have
also often acqulred a Luropean flavour.
l56
One very vlslble example of pan-Luropean research ls the
alrcraft manufacturer Alrbus. The company ls the result of a
merger by the formerly lndependent alrcraft companles of
four Luropean countrles, Prance, Germany, Spaln and the
UK. Alrbus employs about 57 000 people. |t produces about
half of the world's [et alrllners and ls credlted wlth deslgnlng
the blggest alrllne [et ln the world, the A380, whlch, desplte
delays, was dellvered to lts flrst customer ln 2007. The
company has subsldlarles ln Chlna, 1apan and the USA.
Also ln the transport sector, hlgh-speed traln servlces are
spreadlng thelr net ever wlder across Lurope. These are
one of the transeuropean networks that have been
ldentlfled ln the LU treatles as essentlal lnfrastructure for
Lurope. Of course, operatlonal costs and lnvestment ln
these rallways are borne by the rall companles concerned.
|nformatlon lnfrastructure ls another area ln whlch
pan-Luropean co-operatlon ls bearlng frult. GLANT ls the
pan-Luropean data communlcatlon lnfrastructure vla whlch
all the natlonal research and educatlon networks (NPLNs) ln
Lurope co-operate. Through lt, they are connected to each
other and to llke networks around the world. The thlrd phase
was launched ln December 2009. |t promlses to provlde
Lurope wlth hlghly advanced networklng servlces for
educatlon and research for the comlng years. |ts
development, constructlon and operatlng costs are half
funded by the NPLNs themselves and half by the LU
through lts PP7.
One sector to watch ln comlng years wlll be nuclear energy.
wlth the energy crlsls and current concerns about global
warmlng, governments seem to be reassesslng thelr
posltlon on nuclear energy, whlch they now see as a reallstlc
optlon. How the LU nuclear reactor lndustry posltlons ltself
wlll be a vltal questlon. So far, the nuclear reactor lndustry
has been domlnated by Areva ln Prance and Slemens ln
Germany, two companles whlch co-operated untll early
2009 vla a [olnt venture. Areva and Slemens have both put a
lot of effort lnto what was flrst termed the Luropean
Pressurlzed water Peactor then the Lvolutlonary Pressurlzed
Peactor and now slmply LPP. However, the flrst two LPP
reactors under constructlon, one ln Plnland and the other ln
Prance, are faclng very costly and lengthy delays llnked to
the redeslgnlng of part of the reactor.
The LU has vowed to slash carbon emlsslons by 20%
compared to l990 levels by 2020 and lndlcated that lt
would be prepared to commlt to greater cuts lf other hlgh
|J.cpo.r |r|cr
l57
emltters llke the USA and Chlna do the same. The LU wlll
essentlally have recourse to the carbon tradlng
mechanlsm to meet thls target. However, everyone seems
to agree that, lf we are serlous about keeplng global
temperature rlse thls century to a manageable 2 C, thls
wlll mean cuttlng back emlsslons by 80-90% by 2050 then
achlevlng negatlve emlsslons by 2080. The latter target ls
not lmposslble but would requlre drastlc measures. |f the
LU follows thls more ambltlous path, lt wlll need to
lnvest masslvely ln P&D ln the comlng years to develop
clean energy technologles that can be deployed on a
large scale.
One recent development at the Luropean level wlll have
ma[or repercusslons for the chemlcals lndustry. On
l 1anuary 2007, the Luropean Communlty adopted the
Peglstratlon, Lvaluatlon, Authorlsatlon and Pestrlctlon of
Chemlcal Substances (PLACH). The alm of PLACH ls to
lmprove the protectlon of human health and the
envlronment by obllglng chemlcal companles to declare
the lntrlnslc propertles of chemlcal substances. |n parallel,
PLACH sets out to enhance the lnnovatlve capablllty and
competltlveness of the LU chemlcals lndustry. |nformatlon
ls amassed ln a central database run by the Luropean
Chemlcals Agency ln Helslnkl, Plnland.
After many years of dellberatlons, the LU has also reached
a declslon, at last, as to the fate of Gallleo, a state-of-the-
art, autonomous global satelllte navlgatlon system whlch
wlll provlde autonomous navlgatlon and posltlonlng
servlces, lnteroperable wlth the Global Posltlonlng System
(GPS) and the Global Navlgatlon Satelllte System
(GLONASS). The flrst Gallleo test satelllte was launched by
the Luropean Space Agency ln September 2009.
Europes international research organizations
varlous countrles ln Lurope have bullt up large research
organlzatlons slnce the Second world war (Table 4). The
foundlng of these centres was partly polltlcally motlvated
but also responded to an economlc reallty underlylng the
sclentlflc arguments: ln many areas, lnvestment ln P&D
had slmply become too expenslve for lndlvldual countrles
to bear. The one exceptlon to the rule ls the Luropean
Molecular 8lology Laboratory. Here, the problem was not
the slze of the lnvestment requlred but rather the
dlsclpllnary rlgldlty of unlverslty structures, whlch meant
they had dlfflculty accommodatlng the new
'lnterdlsclpllne' of molecular blology.
The seven largest laboratorles are the Luropean
Organlzatlon for Nuclear Pesearch (CLPN), Luropean
L
u
r
o
p
e
a
n

U
n
l
o
n
Table 4: |nternatlonal research organlzatlons ln Lurope
Organization Field of research Year Annual budget
established (millions of
euros), 2007
Luropean Organlzatlon for Nuclear Pesearch (CLPN) Partlcle physlcs l954 700
Luropean Space Agency (LSA)` Space research, mlcro-gravlty,
Larth observatlon l975 800
Luropean Southern Observatory (LSO) Astronomy l962 l48
|nstltut Laue Langevln (|LL) Neutron research l967 79 (2008)
Luropean Molecular 8lology Laboratory (LM8L) Molecular blology l974 7l
Luropean Synchrotron Pesearch Paclllty (LSPP) Synchroton radlatlon research l984 80
Luropean Puslon Development Agreement (LPDA)`` Puslon research and development l999 -
` The Luropean Space Agency was establlshed by the merger of the Luropean Space Pesearch Organlsatlon and the Luropean Launcher Development
Organlsatlon. The annual budget of -800 mllllon covers only the programmes for sclence, Larth observatlon and mlcrogravlty, LSA's total budget ls -3 694 mllllon.
`` The LPDA comblnes the LU's fuslon programme and the natlonal fuslon programmes co-ordlnated ln thls LPDA and ls the contlnuatlon of long-standlng
co-operatlon based on the Luropean Atomlc Lnergy Communlty (LUPATOM), one of the three orlglnal Luropean Communltles that are now all lntegrated ln
the LU. The 1olnt Luropean Tokamak has been the maln faclllty for fuslon research up untll now, the next stage wlll be the |nternatlonal Thermonuclear
Lxperlmental Peactor (8ox 2).
5outce: outhot
|||SO S|||| |||O| 2010
Puslon Development Agreement, Luropean Molecular
8lology Laboratory, Luropean Space Agency, Luropean
Organlsatlon for Astronomlcal Pesearch ln the Southern
Hemlsphere, Luropean Synchrotron Padlatlon Paclllty, and
the |nstltut Laue Langevln. A couple of years ago, these
organlzatlons formed L|POforum, a platform for
lmprovlng thelr vlslblllty ln Luropean pollcy dlscusslons,
among other goals.
These laboratorles are consldered to be among the best ln
the world. wlth the exceptlon of the Luropean Space
Agency (LSA), they are all dedlcated P&D organlzatlons.
|n tandem wlth lts speclflc research mlsslon, LSA ls, of
course, llke all ma[or space agencles, lnvolved ln technology
development, the constructlon and operatlon of launchers
and spacecraft, and ln supportlng Luropean space pollcy.
All but the Luropean Puslon Development Agreement are
lntergovernmental bodles. That ls, they have been
establlshed by an oJ hoc group of countrles whose
governments have concluded an lnternatlonal agreement
to establlsh a research organlzatlon, wlth representatlves
of these governments formlng a councll whlch acts as the
supreme admlnlstratlve and strategy-determlnlng body.
Thermonuclear fuslon ls the only area ln whlch the Luropean
Commlsslon has real authorlty. |t ls also the only area ln whlch
a substantlal part of Luropean P&D budgets are concentrated
wlthln LU mechanlsms. Slnce the l950s, natlonal fuslon
programmes have been co-funded and strongly co-ordlnated
by thls central mechanlsm. Thls has glven Lurope a leadlng
posltlon ln developlng and now also hostlng the -l0 bllllon
l58
|nternatlonal Thermonuclear Lxperlmental Peactor currently
belng bullt ln Prance (8ox 2). LPDA ls now ls focuslng on co-
ordlnatlon, lncludlng the collectlve use of the 1olnt Luropean
Tokamak for as long as thls, the largest current P&D fuslon
faclllty, remalns operatlonal.
As far as the other lntergovernmental Luropean research
organlzatlons are concerned, the ma[or event of the past
flve years has no doubt been the lnauguratlon of CLPN's
Large Hadron Colllder ln the autumn of 2008. Thls new
accelerator ls also a global collaboratlve effort and wlll be
the world's leadlng partlcle physlcs faclllty for the next
l5 years or so wlth operatlons havlng resumed ln late
2009 after lnltlal technlcal problems.
One other Luropean research laboratory stands out, the
1olnt Pesearch Centre of the LU wlth flve locatlons ln |spra
(|taly), Karlsruhe (Germany), Mol (8elglum), Petten
(Netherlands) and Sevllle (Spaln). |t dlffers from the
L|POforum research organlzatlons ln that lt ls not
concerned wlth operatlng large user research facllltles.
More wlll be sald about lt ln the sectlon on fundlng P&D ln
the LU (see oe l60).
A road map for research infrastructure
The pollcy dlscusslon on new research lnfrastructure has
become lntense ln Lurope. |n 2002, the LU member states
and the Luropean Commlsslon declded to establlsh a
Luropean Strategy Porum on Pesearch |nfrastructure
(LSPP|). LSPP| conslsts of hlgh-level offlclals from the LU
member states and the Commlsslon. Taklng the 20-year
loc|l|t|es Outlool of the US Department of Lnergy as an
Box 2: The |nternatlonal Thermonuclear Lxperlmental Peactor
|o p.coct |c. .r |rto.r.t|cr.|
|o.ncrJc|o.. |xpo.|nort.| |o.ctc.
(|||) |rvc|vos ||r., t|o |J.cpo.r
|r|cr, |rJ|., '.p.r, t|o |opJb||c c|
|c.o., |Jss|.r |oJo..t|cr .rJ t|o |SA.
|o ncst .nb|t|cJs cc||.bc..t|vo
p.coct |r sc|orco ovo. ccrco|voJ, |||
|s Jovo|cp|r . .o.ctc. .||c| .||| ccst
-10 b||||cr tc ccrst.Jct .rJ .Jr |c. |ts
.rt|c|p.toJ |||ot|no.
Orco cpo..t|cr.|, t||s oxpo.|nort.|
.o.ctc. .||| bo pc.o.oJ by rJc|o..
orcJ| spooJs tc cvo.ccno t||s
o|oct.cn.rot|c .opJ|s|cr Jrt|| t|o
rJc|o| c.no c|cso orcJ| tc .c||ovo
|Js|cr.
|r 2006, t|o p.coct p..tro.s
cptoJ tc bJ||J t|o .o.ctc. |r t|o
tc.r c| .J...c|o |r |..rco,
.o||oct|r |J.cpos |o.J|r .c|o |r
t|o.ncrJc|o.. |Js|cr. crst.Jct|cr
s|cJ|J bo ccnp|otoJ by .bcJt 2018.
Por detalls: www.lter.org
|Js|cr, . toc|rc|cy .||c| ccJ|J
c|.ro t|o |.co c| rJc|o.. pc.o.,
|Jc|o.. .o.ctc.s cJ..ort|y Jso rJc|o..
||ss|cr .||c|, Jr||ko rJc|o.. |Js|cr,
p.cJJcos ..J|c.ct|vo ..sto.
|c.ovo., rJc|o.. |Js|cr |.s yot
tc bo |J||y n.sto.oJ. ||s |s boc.Jso
rJc|o| st.cr|y .os|st bo|r b.cJ|t
c|cso tcot|o., c.|r tc c| t|o|.
pcs|t|vo c|..o |rJJcoJ by t|o|.
p.ctcrs. |o ||| .o.ctc. .cJ|J rooJ
tc .cco|o..to t|o rJc|o| tc |||
|J.cpo.r |r|cr
l59
example,
5
LSPP| publlshed a kooJ Vo of 35 new research
facllltles or upgrades to exlstlng ones ln 2006, 'research
lnfrastructures' ln the Luropean [argon. The constructlon
of these new facllltles was consldered as belng vltal for
consolldatlng Lurope's competltlve edge ln P&D. The
LSPP| kooJ Vo was updated ln December 2008 and now
contalns 44 facllltles. The coverage ls much wlder than for
the US report: materlals and analytlcal facllltles for
physlcal and englneerlng sclences, facllltles for the
medlcal and blologlcal sclences, lnfrastructure for soclal
sclences and humanltles, as well as for energy,
envlronmental sclences and so on.
Much of thls lnfrastructure wlll be dlstrlbuted. An example ls a
pro[ect ln whlch blobanks across Lurope form effectlvely one
blg Luropean blobank. Por all these reasons, constructlon
and operatlng costs vary wldely. Next to tradltlonal facllltles
for neutrons, synchrotron radlatlon or astronomy, whlch
would each cost -l bllllon or more to bulld, the kooJ Vo
contalns pro[ects llke the Luropean Soclal Survey, a
collaboratlon for contlnulng the co-ordlnated, harmonlzed
gatherlng of survey data to monltor soclal attltudes and
value changes ln a large number of Luropean countrles, a
pro[ect measured ln only a few tens of mllllons of euros.
Only two of the ma[or new facllltles featurlng on the kooJ
Vo have been declded so far, the X-ray Pree Llectron Laser
Synchrotron (X-PLL) ln Hamburg, Germany, and a faclllty for
studylng rare lsotope radloactlve beams, also ln Germany.
A thlrd, the Luropean Neutron Spallatlon Source (LSS),
whlch wlll be bullt ln Lund ln Sweden, was at an advanced
stage of the declslon-maklng process ln November 2009.
Thls shows that the baslc problem ln Lurope remalns
unresolved. There ls no mechanlsm ln place yet for
decldlng on lnvestment ln large research lnfrastructure
that ls flnanclally beyond the reach of lndlvldual countrles
ln a reasonably transparent and efflclent manner. Many
governments are unwllllng to create a substantlal role for
the LU, the Luropean Commlsslon ls not always eager to
accept such a role and natlonal fundlng agencles haven't
found a structural way of co-operatlng ln these matters
elther. One consequence ls that no LU money ls currently
avallable to contrlbute to fundlng new research facllltles.
European Science Foundation
The Luropean Sclence Poundatlon (LSP) dlffers not only
from the lntergovernmental research bodles descrlbed
above but also from lts US namesake, the Natlonal Sclence
Poundatlon. wlth an annual budget of only about
-50 mllllon, lt doesn't really fund research. The Luropean
Sclence Poundatlon ls an assoclatlon of 80 members
composed of natlonal fundlng agencles, academles of
sclences and arts and so-called research performlng
bodles llke the Max Planck Organlzatlon ln Germany. |t has
posltloned ltself as the agenda-settlng body for sclence ln
Lurope, vla foreslght studles. |t also stlmulates co-
operatlon among sclentlsts to lmplement these sclence
agendas through varlous programmes. One example ls
LUPOCOPLS, a programme whlch brlngs together
natlonal fundlng that ls thus not lncluded ln LSP's
-50 mllllon budget.
The LSP also operates the COST programme, whlch
consumes the llon's share of the LSP's -50 mllllon budget.
Offlclally, COST ls an lntergovernmental programme
whlch funds co-ordlnatlng actlvltles llke workshops ln
speclflc areas agreed upon by the COST Hlgh Level Group.
|n practlce, however, the lntergovernmental aspect seems
to be rather lrrelevant, llke the LU Communlty aspect.
Partly wlthln, partly wlthout the LSP, the heads of the
natlonal fundlng agencles have created a mechanlsm for
strengthenlng co-operatlon among themselves. They
themselves are known as the Luropean Heads of
Pesearch Counclls (LUPOHOPCS). Thls ls a source of
perslstent confuslon but the problem wlll have to be
resolved ln the broader context of a debate on the mutual
roles of the LSP, the recently establlshed Luropean
Pesearch Councll - much more comparable to the
Natlonal Sclence Poundatlon ln the USA than the LSP -
and the natlonal fundlng agencles or research counclls.
More wlll be sald later about thls lssue.
EUREKA
LUPLKA was establlshed ln l985. |t was lnltlally a Prench
response to US Presldent Peagan's 'Star wars' Strateglc
Defense |nltlatlve. LUPLKA has slnce developed lnto a pan-
Luropean mechanlsm for stlmulatlng lnnovatlon ln lndustry
through close-to-the-market collaboratlon between small,
medlum-slzed and large enterprlses, unlversltles and
research lnstltutes. |t ls another lntergovernmental lnltlatlve
ln whlch the Luropean Commlsslon ls [ust one of several
partners. The relatlonshlp between the LU and LUPLKA
contlnues to be a bone of contentlon.
L
u
r
o
p
e
a
n

U
n
l
o
n
5. Publlshed ln late 2003, the loc|l|t|es Outlool contalned a prlorlty llst of
28 new user facllltles or upgrades to exlstlng facllltles, ranglng from |TLP to
accelerators, neutron and synchrotron sources, facllltles for nuclear
magnetlc resonance and hlgh performance computers.
|||SO S|||| |||O| 2010
Companles and research bodles are lnvlted to propose
lnnovatlve pro[ects for the LUPLKA label, formally granted
by the LUPLKA mlnlsters, and for llmlted government
flnanclal support. The latter ls awarded strlctly on a
natlonal basls, wlth levels of support and condltlons for
attrlbutlon dlfferlng wldely. The LU does provlde some
addltlonal flnanclal support but always on a case-by-case
basls, desplte repeated attempts to come to an
agreement on a general support scheme.
LUPLKA functlons along two llnes: bottom-up pro[ects
proposed by lndlvldual companles, and strateglc pro[ects,
of whlch there are two types, LUPLKA clusters and
umbrellas. The latter lnvolve collaboratlon among a
number of countrles, whlch lnvlte companles and research
bodles to develop and submlt proposals ln speclflc areas.
LUPLKA clusters are strateglc assoclatlons of usually large
companles, small and medlum-slzed enterprlses (SMLs),
unlversltles and research lnstltutes (Table 5).
European Institute of Innovation and Technology
Somethlng must be sald about the Luropean |nstltute of
|nnovatlon and Technology, slmply because lt has been a
focus of pollcy attentlon slnce 2005. Concelved by the
presldent of the Luropean Commlsslon as a dlrect
counterpart to, and copy of, the Massachusetts |nstltute of
Technology (M|T) ln the USA, the Luropean |nstltute of
|nnovatlon and Technology has provoked much debate.
The underlylng assumptlons of both the Luropean and
US reallty have been questloned wlth great passlon.
Tlndemans et ol. (2007) provlde an ln-depth dlscusslon on
thls sub[ect. Does Lurope really lack an 'M|T'! |s lt true that
lndustry contract fundlng ls the deflnlng dlfference
l60
between US and Luropean unlverslty research fundlng!
Doesn't Lurope have very good examples of lts own of
lnstltutlons lntegratlng research, educatlon and
condltlons for lnnovatlon! The answer to all these
questlons ls 'no'.
As a backdrop to thls debate, Table 2 provldes some
lnterestlng data. Sclence parks such as those ln Cambrldge
(UK) and Leuven (8elglum) further substantlate the ldea that
the ratlonale behlnd the Luropean |nstltute of |nnovatlon
and Technology, namely that a solld lnstltutlon llnklng
tralnlng, research and the promotlon of lnnovatlon ls mlsslng
ln Lurope, ls not that stralghtforward.
|t was nevertheless declded ln 2007 to establlsh the
Luropean |nstltute of |nnovatlon and Technology as a
dlstrlbuted organlzatlon where the actlvltles would take
place at many locatlons across Lurope. The Luropean
|nstltute of |nnovatlon and Technology's key unlts wlll be
so-called Knowledge and |nnovatlon Communltles. Lach
of these communltles wlll conslst of a number of teams
formed from companles, unlversltles and research
lnstltutes. Lach member of a team ls not supposed to
work from hls or her own home base but rather cluster at
a few speclflc locatlons. Strong leadershlp and
management should make the dlfference wlth other
mechanlsms of decentrallzed co-operatlon. A Governlng
8oard has been appolnted and the lnstltute's
headquarters are belng set up ln 8udapest, Hungary.
Three proposals for creatlng Knowledge and |nnovatlon
Communltles were selected ln December 2009 on a
competltlve basls ln three areas: cllmate change
mltlgatlon and adaptatlon, sustalnable energy, and the
future lnformatlon and communlcatlon soclety. So far,
-300 mllllon has been made avallable as addltlonal
fundlng from the LU for the flrst flve-year phase. The
remalnder of the estlmated -l.5 bllllon or so wlll have to
come from partners and from competltlve Luropean or
natlonal funds.
The EUs role in fostering R&D
|n recent decades, the LU has bullt up a conslderable
posltlon ln fundlng P&D ln Lurope. The real take-off took
place ln the early l980s when the LSPP|T programme was
set up to lure the l0 or so largest Luropean companles ln
mlcro-electronlcs and lnformatlon technology lnto a mode
of co-operatlng ln pre-competltlve research. Soon
afterwards, the ldea of a Pramework Programme was
concelved to slmpllfy the polltlcal declslon-maklng
Table 5: LUPLKA pro[ects, 20l0
Number of runnlng pro[ects 722
Total budget for pro[ects -l.3 bllllon
Organlzatlons lnvolved ln LUPLKA pro[ects 2 640
Large companles 476
Small and medlum-slzed enterprlses l l74
Unlversltles 459
Pesearch lnstltutes 49l
Government/Natlonal admlnlstratlon 40
Note: LUPLKA ls a pan-Luropean lntergovernmental lnltlatlve to support
the competltlveness of Luropean companles by fosterlng market-orlented
P&D vla lnternatlonal collaboratlon.
5outce: LUPLKA webslte, September 20l0: www.eureka.be
|J.cpo.r |r|cr
l6l
process. |n the past, the Councll of Mlnlsters, wlth the
lnvolvement of the Luropean Parllament, had to agree
unanlmously on each separate programme ln
lnformatlon technology (|T), telecommunlcatlons,
health and so on. Successlve Pramework Programmes,
the flrst slx each coverlng a four-year perlod, the current
seventh a seven-year perlod to 20l3, have each been
lntended to embrace vlrtually all of the LU's P&D efforts.
There are two more programmes from whlch P&D-
related pro[ects can be funded. One ls the
Competltlveness and |nnovatlon Pramework
Programme. |t focuses largely on helplng SMLs to flnd
venture capltal and other forms of fundlng, adopt
advanced solutlons uslng lnformatlon and
communlcatlon technologles (|CTs) and lncrease both
energy efflclency and lnnovatlve approaches to
renewable energy. Glven lts scope and the fact that lt
represents only about 7% of PP7, lt wlll not be dealt
wlth further.
That ls also the case for the second addltlonal
mechanlsm. Por a long tlme, Luropean structural funds
have been part and parcel of the Luropean lntegratlon
machlnery. Thelr baslc purpose ls to help lagglng
reglons ln both new and older member states catch up
and thereby, as the [argon goes, lncrease coheslon
throughout the LU. Although allocatlng money to thls
coheslon pollcy ls always a hlghly polltlcally charged
declslon, there ls an underlylng ratlonale: to ldentlfy
those reglons that are ellglble for support uslng crlterla
such as lncome or lndustrlal decllne. Countrles have a
relatlvely free hand ln establlshlng a programme of
actlvltles for recelvlng support. Moreover, countrles are
lncreaslngly uslng these funds to help lmprove thelr
knowledge lnfrastructure by lnvestlng ln unlversltles,
sclence parks or even research facllltles. The lnnocent
traveller should not be surprlsed to come across a slgn
saylng 'Co-funded by the Luropean Peglonal Pund' ln
sometlmes rather lmprobable places. No detalled
comprehenslve lnformatlon ls avallable, however, on
the extent to whlch P&D actlvltles or lnvestment are
funded ln thls way. The rest of the dlscusslon wlll thus
be concentrated on the Pramework Programme.
Most LU fundlng ls competltlve and meant for research
by companles, unlversltles or research lnstltutes
throughout the LU member states, the candldate
member countrles and countrles that have slgned
assoclatlon treatles wlth the LU. The latter baslcally
lmplles that, once these countrles have pald up what
would be thelr GDP-proportlonal share of the Pramework
Programme budget, they are then free to compete for
pro[ects. Part of the budget ls for the LU's own ln-house
1olnt Pesearch Centre.
The phllosophy behlnd the Pramework Programme has
never been slmply to fund the best and/or most relevant
research. There have always been two meta-goals, as lt
were. Stlmulatlng co-operatlon between researchers and
between companles, unlversltles and research lnstltutes
across the partlclpatlng states was one such goal and co-
ordlnatlng natlonal research efforts and pollcles was the
other. As a consequence, much emphasls has always
been placed on condltlons that researchers often dld not
feel comfortable wlth. The obllgatlon to lnclude
researchers from several member states led to the
formatlon of very large teams and lt was not evldent that
these comprlsed the best people for the task at hand. The
ldea of co-ordlnatlon was translated to mean coplous
support for all sorts of networks wlth all thelr trapplngs:
co-ordlnatlon meetlngs, workshops and so on.
The current PP7 conslsts of slx blg chunks: Co-operatlon,
|deas, People, Capacltles, Clvll Nuclear Actlvltles (fuslon,
flsslon, radlatlon protectlon), and Non-nuclear Actlvltles of
the 1olnt Pesearch Centre.
Table 6 shows the structure and the budget of PP7.
Pormally, the nuclear actlvltles, lncludlng fuslon, are part
of a separate legal mechanlsm but that dlstlnctlon ls
lrrelevant here. To put the LU fundlng ln perspectlve, lt ls
helpful to compare the budget of PP7 to total publlc
fundlng for P&D. The natlonal governments' budget
approprlatlons for P&D (G8AOPD) for the LU-27
amounted to -8l.3 bllllon ln 2005. The total budget of
PP7 has two components: -50.5 bllllon ls allocated for a
seven-year term and -2.7 bllllon for a flve-year term.
8y extrapolatlon, thls amounts to an annual average of
about -7.7 bllllon, or approxlmately 8-8.5% of publlc
fundlng for P&D. The average annual budget lnvolved
wlth the Pramework Programme and the large
lntergovernmental research organlzatlons mentloned
prevlously amounts to about l0-l0.5% of publlc
fundlng. Thls underllnes the polnt that natlonal fundlng
stlll domlnates, even though LU funds are usually requlred to
match natlonal fundlng. The same polnt ls lllustrated by the
fact that the budgets of the natlonal fundlng agencles llke
the UK research counclls or the German Pesearch Assoclatlon
L
u
r
o
p
e
a
n

U
n
l
o
n
|||SO S|||| |||O| 2010
comblned are of the order of 25% of publlc fundlng for P&D.
Thls hlghllghts a key pollcy lssue wlthln the LU whlch has so
far been largely lgnored: what should the role of the LU really
be ln relatlon to natlonal fundlng sources and what should
the role of natlonal fundlng agencles be ln achlevlng co-
ordlnatlon between natlonal fundlng sources!
lutoeon keseotch Counc|l
Desplte the stlll relatlvely llmlted role of the LU budgets
for P&D, lmportant developments are taklng place whlch
are at the heart of current pollcy debates ln the LU.
The ma[or debate concerns the Luropean Pesearch
Councll (LPC), formally establlshed ln December 2006
when lts seven-year budget of -7.5 bllllon was approved
as part of PP7. The LPC ls a genulne fundlng agency.
Although lt ls stlll run as a formal Lxecutlve Agency of the
l62
LU, lt ls led by an lndependent Sclentlflc Councll
conslstlng of some 20 sclentlsts. The councll sets pollcy,
deflnes the sclentlflc strategy and establlshes the
methods for revlewlng the appllcatlons for fundlng.
Currently, the LPC has two fundlng schemes, Startlng
Grants for young researchers settlng up a small research
group and Advanced Grants for establlshed researchers.
Por the flrst tlme, Lurope has recognlzed that the
promotlon of sclentlflc research of the hlghest callbre
requlres a Luropean-wlde competltlon, as opposed to
natlonal competltlons. Moreover, the way ln whlch these
fundlng schemes operate ls fundamentally dlfferent from the
'normal' PP7 programmes: sclentlflc excellence ls the only
crlterlon, there ls no requlrement to collaborate wlth other
researchers from dlfferent countrles and the contrlbutlons
Table 6: Structure and budget of LU's 7th Pramework Programme for Pesearch, 2007-20l3
Area of co-operation Budget (in millions of euros)*
Co-operatlon
Health 6 l00
Pood, agrlculture and flsherles, blotechnology l 935
|nformatlon and communlcatlon technologles 9 050
Nanosclences, nanotechnologles, materlals and new productlon technologles 3 475
Lnergy 2 350
Lnvlronment (lncludlng cllmate change) l 890
Transport (lncludlng aeronautlcs) 4 l60
Soclo-economlc sclences and humanltles 623
Space l 430
Securlty l 400
Co-operatlon total 32 4l3
|deas 7 5l0
People 4 750
Capacltles
Pesearch lnfrastructure l 7l5
Pesearch for the beneflt of small and medlum-slzed enterprlses l 336
Peglons of knowledge l26
Pesearch potentlal 340
Sclence ln soclety 330
Coherent development of research pollcles 70
Actlvltles of lnternatlonal co-operatlon l80
Capacltles total 4 750
Non-nuclear actlvltles of LU's 1olnt Pesearch Centre (1PC) l 75l
Nuclear actlvltles of LU's 1PC: fuslon``, flsslon and radlatlon protectlon 2 700
` 8udgets cover the seven-year perlod 2007-20l3, wlth the exceptlon of the budget for the nuclear actlvltles of the 1PC, whlch covers 2007-20ll.
`` lncludes the contrlbutlon to |TLP (8ox 2)
5outce: Plnal agreement between LU Councll of Mlnlsters and Luropean Parllament, 2006
|J.cpo.r |r|cr
l63
are grants rather than contracts wlth dellverables. The LPC
has by now flnanced one round of some 300 startlng grants
for an average amount of -l mllllon and one round of an
equal number of advanced grants for an average of about
-2 mllllon. As could be expected, the dlstrlbutlon of these
grants over the varlous countrles ls very uneven. As an
example, Plgure 2 shows the number of startlng grants per
mllllon lnhabltants of the host country of the lnstltutlon at
whlch the prlnclpal lnvestlgator works.
7he 1o|nt 7echnoloy ln|t|ot|ves
The 1olnt Technology |nltlatlves (1T|) bulld on the
technology platforms whlch were formed on a
competltlve basls ln the LU's Slxth Pramework Programme
(PP6). Lach lnltlatlve ls an alllance among what tends to be
a large number of companles, unlversltles and research
lnstltutes throughout Lurope, wlth the alm of establlshlng
a strateglc research agenda ln a partlcular domaln. |n
order to create strong publlc-prlvate partnershlps to
lmplement a few of these agendas ln strateglc areas, the
Luropean Commlsslon and the member states have
deflned slx 1olnt Technology |nltlatlves. A large lmpact on
lndustrlal competltlveness and growth, lmportant
contrlbutlons to broader pollcy and socletal ob[ectlves, a
strong flnanclal and resource commltment from lndustry,
and the capaclty to attract addltlonal natlonal support
were among the crlterla used to ldentlfy the followlng
1T|s: |nnovatlve Medlclnes |nltlatlve (|M|), Lmbedded
Computlng Systems (Artemls), Aeronautlcs and Alr
Transport (Clean Sky), Nanoelectronlcs Technologles 2020
(LN|AC), the Hydrogen and Puel Cells |nltlatlve (PCH) and
Global Monltorlng for Lnvlronment and Securlty (GMLS).
A 1T| ls known as a '[olnt undertaklng', a rather
compllcated Luropean legal structure. On top of that, lt ls
cumbersome to create, one reason belng that ordlnary
cltlzens, companles or organlzatlons cannot declde by
themselves to create a [olnt undertaklng, the Councll of
Mlnlsters and the Luropean Parllament have to be
lnvolved. et companles on the whole are of the oplnlon
that 1T|s could be an lmportant step forward ln
establlshlng the necessary crltlcal mass and helplng to
leverage natlonal fundlng. Take the example of Artemls.
About 20 countrles partlclpate ln Artemls, as well as the
Luropean Commlsslon and a dedlcated lndustrlal
foundatlon of some l00 members, 50% of whlch are
companles. A l0-year P&D programme costlng -2.5 bllllon
has been deflned, wlth fundlng from the partlclpants and
natlonal governments, together wlth some -500 mllllon
from PP7. The 8oard of the Artemls 1olnt Undertaklng wlll
select pro[ects for fundlng from proposals submltted by
groups of members of the foundatlon. 1T|s mlght mark a
new phase ln the efforts to lncrease co-ordlnatlon
between natlonal programmes and fundlng mechanlsms,
somethlng whlch has always been an eluslve goal of
offlclal LU pollcles for ST|.
|A|O|A| A|| |||O|A|
|||||||||S || ||
Differences in gender balance
wlthln the LU, there are yawnlng dlfferences between
countrles when lt comes to the share of women among
researchers, be lt ln lndustry, academla or government
lnstltutes. As we can see from Plgure 3, the range extends
from fewer than 25% of researchers belng female to about
50%. There has been llttle lmprovement ln the LU-l5
countrles over the years. However, the countrles whlch
acceded to the LU ln 2004 have now set a faster pace,
partlcularly the 8altlc States and countrles of Central and
L
u
r
o
p
e
a
n

U
n
l
o
n
Figure 2: Startlng grants from Luropean Pesearch
Councll per mllllon lnhabltants, 2007
Note: The data concern the flrst round of grants ln 2007. A reclplent ls
assoclated wlth the country where hls or her lnstltutlon ls located,
lrrespectlve of natlonallty. No grants were awarded ln 2007 ln those LU
countrles not llsted here.
5outce: Luropean Pesearch Councll
C
y
p
r
u
s
N
e
t
h
e
r
l
a
n
d
s
F
i
n
l
a
n
d
S
w
e
d
e
n
B
e
l
g
i
u
m
U
n
i
t
e
d

K
i
n
g
d
o
m
D
e
n
m
a
r
k
H
u
n
g
a
r
y
F
r
a
n
c
e
S
p
a
i
n
A
u
s
t
r
i
a
I
r
e
l
a
n
d
I
t
a
l
y
G
r
e
e
c
e
G
e
r
m
a
n
y
P
o
r
t
u
g
a
l
B
u
l
g
a
r
i
a
C
z
e
c
h

R
e
p
u
b
l
i
c
2
.
5
2
1
.
6
4
1
.
3
1
1
.
1
9
1
.
0
2
0
.
9
4
0
.
7
3
0
.
6
0
0
.
5
9
0
.
5
5
0
.
4
8
0
.
3
8
0.0
0.5
1.0
1.5
2.0
2.5
0
.
4
5
0
.
4
2
0
.
3
6
0
.
1
9
0
.
1
3
0
.
1
0
|||SO S|||| |||O| 2010
Lastern Lurope, wlth the notable exceptlon of the Czech
Pepubllc. |n tradltlonal P&D strongholds llke Germany or
Prance, the partlclpatlon rate of women ln P&D ls even
much lower than the LU average.
Differences in GERD
There are also large varlatlons between countrles when lt
comes to fundlng P&D. |ncldentally, lt should be noted
that all of the organlzatlons, laboratorles or research
fundlng programmes at the Luropean level are taken lnto
account ln the data on GLPD, research personnel, patents
and so on collected on a per-country basls, as there ls no
separate geographlcal admlnlstratlve domaln beyond the
countrles ln Lurope.
As Plgure 4 and Table 7 demonstrate, the GLPD/GDP ratlo
varles from less than 0.5% ln 8ulgarla, Cyprus and Slovakla
to more than 3.4% ln Plnland and Sweden. The share of P&D
flnanced by lndustry represents less than 30% of GLPD ln
some countrles and almost 70% ln others. |t ls no accldent
that the GLPD/GDP ratlo ls hlghest preclsely ln those
countrles where lndustry contrlbutes much more than 50%
of GLPD: Sweden, Plnland, Germany and Denmark. Austrla
ls the only real exceptlon. So ls Luxembourg, ln fact, but
Luxembourg ls statlstlcally an exceptlon ln many respects.
|n most of the newer member states, the share of lndustry ls
negllglble, wlth the notable exceptlon of the Czech
Pepubllc and Slovenla. we can see a slmllar pattern when lt
l64
comes to the performance of P&D. Here, lndustry shares
tend to be somewhat hlgher than for P&D fundlng, slnce
publlc support for P&D ln lndustry usually outwelghs
lndustry outsourclng to unlversltles, for example.
Many of these dlfferences ln GLPD and related lndlcators
should be nuanced, however. They should come as no
surprlse and need not be a cause for concern. One slmply
cannot expect all countrles to devote the same share of
GDP to P&D. Nor ls thls the case wlthln countrles, as shall
become apparent later from the reglonal lnnovatlon
lndex (see oe l69).
Lurope should compare ltself to the USA, Chlna or 1apan.
Natural comparatlve advantages llke lylng on the
seaboard and hlstorlcal developments have been the
cause of wlde reglonal dlfferences. As far as P&D ls
concerned, the federal fundlng sources contlnue to be a
crltlcal factor ln keeplng the US P&D system falrly
concentrated both ln terms of lnstltutlons and geography.
The same can be sald for the prlvate equlvalent of federal
fundlng sources ln the form of large prlvate foundatlons.
|n Lurope, lt ls understandable but unsustalnable for
almost all countrles (and often reglons wlthln countrles)
to have a tendency to bulld thelr natlonal systems on
research-based unlversltles and research lnstltutes,
to copy each other's prlorltles and to want to host large
research facllltles. Thls sltuatlon does deflne a key pollcy
0
10
20
30
40
50
60
E
U
-
2
7
B
e
l
g
i
u
m
B
u
l
g
a
r
i
a
C
z
e
c
h

R
e
p
u
b
l
i
c
G
e
r
m
a
n
y
E
s
t
o
n
i
a
I
r
e
l
a
n
d
S
p
a
i
n
F
r
a
n
c
e
I
t
a
l
y
C
y
p
r
u
s
L
a
t
v
i
a
L
i
t
h
u
a
n
i
a
H
u
n
g
a
r
y
M
a
l
t
a
A
u
s
t
r
i
a
P
o
l
a
n
d
P
o
r
t
u
g
a
l
R
o
m
a
n
i
a
S
l
o
v
i
n
i
a
S
l
o
v
a
k
i
a
F
i
n
l
a
n
d
30
29
45
28
18
42
30
37
28
33
32
47
49
33
26
25
39
44
43
35
42
32
Figure 3: Share of women among Luropean researchers, 2006 or latest avallable year (%)
VeosuteJ os o heoJcount
5outce: Luropean Pesearch Councll
|J.cpo.r |r|cr
l65
L
u
r
o
p
e
a
n

U
n
l
o
n
Figure 4: GLPD ln the LU by source of funds and performlng sector, 2007 or latest avallable year (%)
By source of funds
5outce: UNLSCO |nstltute of Statlstlcs, September 2009
By performing sector
Business entreprise
Government
Higher education
Private non-prot
Abroad
Unknown
L
u
x
e
m
b
o
u
r
g
S
w
e
d
e
n
S
w
i
t
z
e
r
l
a
n
d

F
i
n
l
a
n
d
A
u
s
t
r
i
a
G
e
r
m
a
n
y
B
e
l
g
i
u
m
I
r
e
l
a
n
d
M
a
l
t
a
D
e
n
m
a
r
k
R
u
s
s
i
a
n

F
e
d
.
U
n
i
t
e
d

K
i
n
g
d
o
m

C
z
e
c
h

R
e
p
.
F
r
a
n
c
e
B
e
l
a
r
u
s
N
e
t
h
e
r
l
a
n
d
s
S
l
o
v
e
n
i
a
S
p
a
i
n
U
k
r
a
i
n
e
I
c
e
l
a
n
d
N
o
r
w
a
y
P
o
r
t
u
g
a
l
H
u
n
g
a
r
y
I
t
a
l
y

E
s
t
o
n
i
a
R
o
m
a
n
i
a
T
u
r
k
e
y
C
r
o
a
t
i
a
S
l
o
v
a
k
i
a
L
a
t
v
i
a
B
u
l
g
a
r
i
a
P
o
l
a
n
d
L
i
t
h
u
a
n
i
a
G
r
e
e
c
e
C
y
p
r
u
s
R
e
p
.

o
f

M
o
l
d
o
v
a
M
a
c
e
d
o
n
i
a

(
F
Y
R
)

M
o
n
t
e
n
e
g
r
o
S
e
r
b
i
a
B
o
s
n
i
a

&

H
e
r
z
e
g
o
v
i
n
a
0
20
40
60
80
100
0
20
40
60
80
100
L
u
x
e
m
b
o
u
r
g

S
w
i
t
z
e
r
l
a
n
d

F
i
n
l
a
n
d
G
e
r
m
a
n
y

S
w
e
d
e
n

B
e
l
g
i
u
m

D
e
n
m
a
r
k

I
r
e
l
a
n
d

S
l
o
v
e
n
i
a
C
z
e
c
h

R
e
p
.
F
r
a
n
c
e

N
e
t
h
e
r
l
a
n
d
s

I
c
e
l
a
n
d
A
u
s
t
r
i
a
T
u
r
k
e
y
U
n
i
t
e
d

K
i
n
g
d
o
m
S
p
a
i
n

M
a
l
t
a
N
o
r
w
a
y
B
e
l
a
r
u
s
H
u
n
g
a
r
y
E
s
t
o
n
i
a
I
t
a
l
y

L
a
t
v
i
a
P
o
r
t
u
g
a
l

S
l
o
v
a
k
i
a
C
r
o
a
t
i
a
P
o
l
a
n
d
G
r
e
e
c
e

B
u
l
g
a
r
i
a

U
k
r
a
i
n
e
R
u
s
s
i
a
n

F
e
d
.
R
o
m
a
n
i
a
L
i
t
h
u
a
n
i
a
C
y
p
r
u
s

M
a
c
e
d
o
n
i
a

(
F
Y
R
)

R
e
p
.

o
f

M
o
l
d
o
v
a

|||SO S|||| |||O| 2010
l66
Differences in innovation performance
|n the meantlme, lt ls now posslble to descrlbe the
dlfferences between LU member states ln a much more
sophlstlcated way than before, thanks to the Summary
|nnovatlon |ndex (opposlte). Pollowlng work carrled out
by the Organlsatlon for Lconomlc Co-operatlon and
Development (OLCD) ln the l990s to develop lndlcators
that measure P&D lnput, throughput and output, and
later the lnnovatlon process, a methodology was
developed to try to capture the relatlve posltlon of
countrles, the Summary |nnovatlon |ndex. Thls lndex ls
modlfled sllghtly each tlme lt ls put together but the
methodology ls now stable enough to allow
comparlsons over a number of years.
|f one looks at the performance of the lnnovatlon leaders,
followers, moderate lnnovators and catchlng-up countrles,
the dlfferences between the four categorles are falrly
conslstent: lnnovatlon followers score less than leaders for
each of the components and so on (Plgures 5 and 6). The
two flgures may also be used to lllustrate that scorlng hlgh
on lnnovatlon ls not et se the only route to prosperlty.
Norway ls the obvlous example. |ts score shows that hlgh
lncome from natural resources can go hand ln hand wlth an
advanced economy and a hlghly educated populatlon.
A correlation between specialization and public
R&D funding
|nnovatlon performance ls a generlc characterlstlc of a
country's economy and does not look at the strength of
lndlvldual sectors. 8ut most countrles do have a certaln
speclallzatlon, of course (Table 8). Plnland, for example, ls
extremely strong ln |CTs. Does government expendlture
on P&D reflect thls! Data can show government spendlng
on P&D, known ln LU [argon as Government 8udgetary
Approprlatlons for P&D (G8AOPD), broken down by
soclo-economlc ob[ectlve. However, a key problem ls
whether to classlfy medlum- or longer-term strateglc or
appllcatlon-orlented research as 'non-orlented' or even as
'research flnanced from general unlverslty funds' or as
sector-related research. Por the most recent year for
whlch data are avallable, Hungary ldentlfles [ust l4.l % of
government expendlture on P&D as belng flnanced from
general unlverslty funds and non-orlented research
comblned, whereas, ln many countrles, these two
categorles alone account for more than 60% of the total
(Table 9). Clearly, such a dlscrepancy between countrles
ln reallty ls unllkely. et lt ls posslble to see some sector
realltles reflected ln the data.
Table 7: GLPD ln the LU-27, 2004 and 2007 (%)
GERD/GDP GERD/GDP Industry-
ratio, 2004 ratio, 2007* financed
share of
GERD, 2007*
LU-27 l.82 l.83 54.5
Austrla 2.26 2.56 47.7
8elglum l.87 l.87 59.7
8ulgarla 0.50 0.48 30.6
Cyprus 0.37 0.45 l5.9
Czech Pepubllc l.25 l.53 54.0
Denmark 2.48 2.55 59.5
Lstonla 0.86 l.l4 4l.6
Plnland 3.45 3.47 68.2
Prance 2.l5 2.08 52.4
Germany 2.49 2.53 68.l
Greece 0.55 0.57 3l.l
Hungary 0.88 0.97 43.9
|reland l.24 l.3l 59.3
|taly l.l0 l.l4 40.4
Latvla 0.42 0.63 36.4
Llthuanla 0.75 0.82 24.5
Luxembourg l.63 l.63 79.7
Malta 0.53 0.60 45.4
Netherlands l.78 l.73 59.0
Poland 0.56 0.56 33.l
Portugal 0.77 l.l8 36.3
Pomanla 0.39 0.53 26.9
Slovakla 0.5l 0.46 35.6
Slovenla l.40 l.58 60.3
Spaln l.06 l.27 47.l
Sweden 3.62 3.64 65.7
Unlted Klngdom l.69 l.76 45.2
òr latest avallable year
5outce: OLCD (2008) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots 2008-2
lssue for the LU countrles. How can they arrlve at a
balanced but dlfferentlated approach to knowledge
concentratlons ln the tradltlonal sense of ma[or research
unlversltles, research-lntenslve companles, vast amounts
of venture capltal and so on!
Figure 5: Summary |nnovatlon |ndex for LU-27, 2007 or latest avallable year
Othet lutoeon countt|es ote |ven lot comot|son
5outce: Source: |nnoMetrlcs (2009) lutoeon lnnovot|on 5coteoootJ 2008. Comotot|ve Anolys|s ol lnnovot|on Petlotmonce.
1anuary. Luropean Commlsslon, prepared by H. Hollanders at UNU-MLP|T, Maastrlcht
|J.cpo.r |r|cr
l67
L
u
r
o
p
e
a
n

U
n
l
o
n
ENABLERS
Human resources
Graduates ln sclence and
englneerlng, soclal and human
sclences
PhDs ln sclence and englneerlng,
soclal and human sclences
Tertlary educatlon
Llfe-long learnlng
outh educatlon
Finance & support
Publlc P&D expendlture
venture capltal (three-year average)
Prlvate credlt
8roadband access by flrms
FIRM ACTIVITIES
Firm investments
8uslness P&D expendlture
|T expendlture
Non-P&D lnnovatlon expendlture
Linkages & entrepreneurship
SMLs lnnovatlng ln-house
|nnovatlve SMLs collaboratlng
wlth others
Plrm renewal (SMLs entrles + exlts)
Publlc-prlvate co-publlcatlons
(two-year average)
Throughputs
LPO patents
Communlty trademarks
Communlty deslgns
Technology 8alance of Payments
flows
OUTPUTS
Innovators
Product/process lnnovators
(SMLs)
Marketlng/organlzatlonal
lnnovators (SMLs)
Pesource efflclency lnnovators
- Peduced labour costs
- Peduced use of materlals
and energy
Economic effects
Lmployment ln medlum-
hlgh/hlgh-tech manufacturlng
Lmployment ln knowledge-
lntenslve servlces
Medlum/hlgh-tech
manufacturlng exports
Knowledge-lntenslve servlces
exports
New-to-market sales
New-to-flrm sales
0.750
0.700
0.650
0.600
0.550
0.500
0.450
0.400
0.350
0.300
0.250
0.200
0.150
I
n
n
o
v
a
t
i
o
n

p
e
r
f
o
r
m
a
n
c
e

(
r
a
n
g
e

f
r
o
m

0

t
o

1
)
-1.0 0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0
Average annual growth in innovation performance over ve years (%)
Lithuania
Croatia
Norway
Spain
Italy
Denmark
United Kingdom
Sweden
Finland
Germany
Switzerland
Ireland
Austria
Belgium
Lburg
Netherlands
France
Slovenia Estonia
Iceland
Cyprus
Czech Republic
Greece
Portugal
Malta
Slovakia
Poland
Hungary
Turkey
Latvia
Romania
Bulgaria
Catching-up countries
Moderate innovators
Innovation followers
Innovation leaders
Figure 6: Performance of LU-27 countrles for seven
components of lnnovatlon, 2007
Note: Data refer to 2007 or latest avallable year.
5outce: Source: |nnoMetrlcs (2009) lutoeon lnnovot|on 5coteoootJ 2008.
Comotot|ve Anolys|s ol lnnovot|on Petlotmonce. 1anuary. Luropean
Commlsslon, prepared by H. Hollanders at UNU-MLP|T, Maastrlcht
Catching-up countries
Moderate innovators
Innovation followers
Innovation leaders
Human resources
Finance and
support
Firm investments
Linkages &
entreprenership Throughputs
Innovators
Economic
eects
Llements comprlslng the Summary |nnovatlon |ndex
|||SO S|||| |||O| 2010
handful devote a conslderable percentage of expendlture
to agrlcultural research. Unsurprlslngly, these are |reland,
the Netherlands and Denmark but also |celand, Portugal
and Greece (on Greece, see oe l90). The percentage for
|celand ls even 2l.3%.
7tenJs |n lunJ|n enety teseotch
Turnlng to energy research, even though lt seems llkely
that budgets wlll be rlslng ln the near future, the 2005
data show only small amounts of fundlng for the
'productlon, dlstrlbutlon and ratlonal utlllzatlon of
energy'. A few countrles stand out, however: Hungary
devotes l0.4% to thls sector but thls ls probably relatlvely
dlstorted, l|tstly because of the very small amount of
'research flnanced from general unlverslty funds' and,
seconJly, ln llght of the percentages for non-orlented
research. Other examples are Plnland (4.8%), Prance (4%)
and |taly (4.0%). 8y contrast, Germany's share ls low, at
l.8%, and that of the UK even lower: 0.4%. The nuclear
lndustry and nuclear power as such no doubt have much
to do wlth these dlfferences, although ln the case of the
UK, there may be a grey area between ldentlfylng
research as 'energy' or 'defence'.
7tenJs |n lunJ|n |nJustt|ol toJuct|on onJ technoloy
The data for 'lndustrlal productlon and technology' and for
'protectlon and lmprovement of human health' are,
l68
Table 8: LU publlcatlons by ma[or fleld of sclence, 2002 and 2008
lot the countt|es w|th the h|hest Clk0/C0P tot|o
Country / Territory Biology Biomedical reseach Chemistry Clinical medicine
2002 2008 2002 2008 2002 2008 2002 2008
Austrla 493 682 979 l 273 647 765 2 955 3 5l5
8elglum 807 l 278 l 443 l 740 l 079 l l97 3 5l2 5 030
Czech Pepubllc 532 l 040 6l9 986 87l l l02 726 l 473
Denmark 882 l 0l5 l 30l l 569 504 558 2 6l2 3 674
Plnland 755 87l l 057 l l89 562 59l 2 562 2 835
Prance 2 988 3 865 6 550 7 l69 5 40l 6 090 l3 068 l6 034
Germany 3 847 5 l55 8 733 l0 006 7 399 8 344 20 777 24 708
Netherlands l 370 l 654 2 728 3 273 l 42l l 378 7 l25 l0 374
Slovenla 90 23l l72 242 252 34l 28l 692
Sweden l l27 l 268 2 404 2 453 l l6l l l43 5 492 6 263
Unlted Klngdom 4 5l7 4 975 9 584 l0 789 5 469 5 352 22 00l 26 754
` Luxembourg does not feature ln thls table desplte lts hlgh GLPD/GDP ratlo because lts productlvlty ls low, [ust l92 sclentlflc artlcles across all ma[or flelds
of sclence ln 2006.
7tenJs |n lunJ|n Jelence teseotch
Defence research tends to be relatlvely easy to ldentlfy,
wlth marked dlfferences among the LU member states
reflectlng the lmportance each country accords to lts
defence lndustry. Por the LU-27 overall, l3.3% of
government spendlng on P&D ls classlfled as 'defence'
spendlng but four countrles spend substantlally more
than the others: the UK (3l.0%), Prance (22.3%), Sweden
(l7.4%) and Spaln (l6.4%).
7tenJs |n lunJ|n teseotch on ot|cultutol toJuct|on onJ
technoloy
Agrlcultural productlon, whlch lncludes huntlng, forestry
and flsherles, ls stlll relatlvely lmportant for many of the
countrles that acceded to the LU ln 2004. Accordlng to
Lurostat (2008), the annual growth rate of added value
at constant prlces over 2000-2006 averaged 6.7% ln
Hungary, l0.9% ln Slovakla and 3.8% ln Poland, for
example, whereas, ln most of the older member states,
productlon elther decllned or remalned relatlvely stable.
Government spendlng on 'agrlcultural productlon and
technology' ls on average much hlgher ln the new
member states: Cyprus (23.5%), Latvla (l7.5%), Hungary
(l6.4%) and Slovakla (ll.5%). Noteworthy ls that Poland
ls an exceptlon to the rule, at l.3%, but then Poland
classlfles a full 77% as research flnanced from general
unlverslty funds. Among the old member states, only a
|J.cpo.r |r|cr
l69
L
u
r
o
p
e
a
n

U
n
l
o
n
however, much more equlvocal and probably marred
by classlflcatlon problems. Take the case of 'lndustrlal
productlon and technology'. |t ls no accldent that
the very hlgh flgures for 8elglum (33.4%), Plnland
(26.l%), Llthuanla (2l.0%) and Hungary (l9.6%)
seem to colnclde wlth the relatlvely low to very low
percentages for 'research flnanced from general
unlverslty funds' and 'non-orlented research'
comblned. Germany, Sweden and the UK would be
expected to occupy a strong posltlon but the flrst
two have conslderably hlgher levels of 'research
flnanced from general unlverslty funds' and 'non-
orlented research' flgures than those for lndustrlal
productlon and technology, even though Germany's
share, at l2.6%, ls stlll conslderable. |n the case of the
UK, lts very hlgh defence research component may
partly explaln the dlfference. |n a slmllar veln, lt ls
hard to belleve that the wldely varylng flgures for
'protectlon and lmprovement of human health' ln
the UK (l4.6%), but extremely low flgures for
Sweden (l.0%) or 8elglum (l.9%), reflect realltles ln
health care.
Regional differences in innovation
The analysls of lnnovatlon performance along the llnes
of the Summary |nnovatlon |ndex has been extended
to Luropean reglons (Hollanders, 2006). Several words
of cautlon are ln order at thls polnt, pertalnlng to the
lncomparable admlnlstratlve deflnltlon of reglons ln
dlfferent countrles. |n 8elglum, for example, the whole of
Planders and the whole of the walloon Peglon are
counted as a slngle reglon, whereas, ln the Netherlands,
l2 provlnces are each consldered to be a reglon.
Nevertheless, two key results stand out. |n the flrst place,
lt becomes evldent that there ls an enormous varlety
wlthln each of the LU member states. whether one
conslders countrles scorlng hlgh on the Summary
|nnovatlon |ndex for the country as a whole, such as
Sweden or Plnland, or countrles that fare less well ln thls
respect, such as the moderate lnnovators Greece and
Portugal, the varlatlon between reglons wlthln each
country remalns conslderable. Thls lllustrates the fact that
strlvlng for a homogeneous performance ln lnnovatlon ls
a totally unreallstlc goal and not necessary for a relatlvely
homogeneous dlstrlbutlon of prosperlty ln a country.
Secondly, reglons that are performlng very well can be
found throughout the LU and not [ust ln the old member
states. Prague and 8ratlslava score as hlgh as the best-
performlng reglon ln the Netherlands, Noord-8rabant,
whlch owes part of lts score to the fact that several large
companles - and Phlllps flrst and foremost - have
lnstalled large research laboratorles ln the reglon.
Thls lllustrates the polnt that maklng a [udlclous cholce of
speclallzatlon and stlcklng to lt does pay off.
Earth and space Engineering and Mathematics Physics Total
technology
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
420 748 763 l 070 24l 444 962 l l59 7 460 9 656
604 95l l 039 l 483 3l0 53l l 42l l 563 l0 2l5 l3 773
262 5l0 542 969 2l4 4l3 934 l 072 4 700 7 565
643 757 526 724 l49 l80 85l 839 7 468 9 3l6
50l 709 807 955 l56 226 760 952 7 l60 8 328
3 455 4 899 5 249 7 l23 2 389 3 ll3 8 l00 8 840 47 200 57 l33
4 25l 5 978 7 008 7 746 l 900 2 725 ll 573 ll 706 65 488 76 368
l 345 l 764 l 686 2 05l 360 507 l 998 l 944 l8 033 22 945
42 l24 40l 588 ll2 l58 259 390 l 609 2 766
859 l 228 l 495 l 6l4 273 404 l 872 l 695 l4 683 l6 068
4 675 6 079 6 7l3 7 6l2 l 383 2 l97 6 7l9 7 544 6l 06l 7l 302
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence Cltatlon |ndex Lxpanded, complled for UNLSCO by the
Canadlan Observatolre des sclences et des technologles
|||SO S|||| |||O| 2010
l70
Table 9: LU government expendlture on P&D by soclo-economlc ob[ectlve, 2005
ln m|ll|ons ol eutos onJ os o etcentoe ol the totol
Exploration Infrastructure Control Protection Production, Agricultural
and exploitation and planning and care of and distribution production
of Earth (%) of land-use (%) environment improvement and rational and
(%) of human utilization technology
health (%) of energy (%) (%)
LU-27 l.7 l.7 2.7 7.4 2.7 3.5
Austrla 2.l 2.2 l.9 4.4 0.8 2.5
8elglum 0.6 0.9 2.3 l.9 l.9 l.3
Cyprus l.9 l.5 l.l l0.4 0.4 23.5
Czech Pepubllc 2.3 4.l 2.9 6.8 2.4 5.0
Denmark 0.6 0.9 l.7 7.2 l.7 5.6
Lstonla 0.3 8.l 5.4 4.3 2.2 l3.5
Plnland l.0 2.0 l.8 5.9 4.8 5.9
Prance 0.9 0.6 2.7 6.l 4.5 2.3
Germany l.8 l.8 3.4 4.3 2.8 l.8
Greece 3.4 2.2 3.6 7.0 2.l 5.4
Hungary 2.9 2.l 9.7 l3.l l0.4 l6.4
|reland 2.4 0.0 0.8 5.3 - 8.9
|taly 2.9 l.0 2.7 9.9 4.0 3.4
Latvla 0.6 2.3 0.6 4.0 l.7 7.3
Llthuanla 2.6 l.8 6.8 l2.4 3.4 l7.5
Luxembourg 0.5 3.4 3.l 7.8 0.6 l.8
Malta - 0.0 - - 0.l 5.6
Netherlands 0.3 3.6 l.2 3.8 2.2 6.l
Poland l.8 l.2 2.4 l.9 0.9 l.3
Portugal l.6 4.5 3.5 7.6 0.9 9.9
Pomanla l.2 3.4 2.l 4.4 0.9 4.3
Slovakla 0.6 l.0 3.3 l.6 ll.5 5.0
Slovenla 0.4 0.8 3.l 2.0 0.5 3.2
Spaln l.6 5.5 3.0 8.2 2.2 6.3
Sweden 0.7 3.8 2.2 l.0 2.3 2.2
Unlted Klngdom 2.3 l.l l.8 l4.7 0.4 3.3
Note: Government expendlture on P&D ln the LU ls known as government budget approprlatlons or outlays on P&D (G8AOPD).
Data are unavallable for 8ulgarla.
5outce: wllen (2008) 5tot|st|cs |n locus. Lurostat:
http://epp.eurostat.ec.europa.eu/cache/|T_OPPPU8/KS-SP-08-029/LN/KS-SP-08-029-LN.PDP
|J.cpo.r |r|cr
l7l
L
u
r
o
p
e
a
n

U
n
l
o
n
Industrial Social Exploration Research Non-oriented Other civil Defence Total
production structures and funded research (%) research (%) (%) government
and and exploitation from general spending
technology relationships of space university (millions
(%) (%) (%) funds (%) of euros)
ll.0 3.l 4.9 3l.4 l5.l l.6 l3.3 8l 328
l2.8 3.4 0.9 55.0 l3.l 0.9 0.0 l 593
33.4 4.0 8.4 l7.8 24.2 2.9 0.3 l 788
l.3 8.2 - 28.7 22.9 - - 44
ll.9 2.8 0.8 25.4 27.3 5.7 2.5 552
6.3 6.3 2.0 45.3 20.6 l.2 0.7 l 482
5.8 6.4 0.0 - 49.2 4.0 l.0 45
26.l 6.l l.8 26.l l5.2 - 3.3 l 6l4
6.2 0.4 9.0 24.8 l7.8 2.3 22.3 l5 950
l2.6 3.9 4.9 40.6 l6.3 0.7 5.8 l7 22l
9.0 5.3 l.6 42.2 l7.0 0.8 0.5 635
l9.6 9.l 2.3 9.l 5.0 0.3 0.l 329
l4.2 2.4 l.5 64.3 0.l - - 75l
l2.9 5.3 8.0 40.3 5.8 0.l 3.6 9 577
5.l l.7 l.l 74.6 - l.l - 25
6.0 20.l - - - 29.3 0.2 8 74
2l.0 l6.4 - l6.4 25.6 3.4 - 95
- 6.9 - 86.9 - 0.6 - 9
ll.5 2.l 2.5 49.0 l0.8 4.6 2.2 3 557
5.9 0.9 0.0 5.3 76.9 0.2 l.3 7l9
l5.l 3.4 0.2 38.8 l0.4 3.4 0.6 l 082
l0.7 0.3 2.4 - 40.9 27.8 l.7 l74
- 3.6 - 25.6 35.9 3.5 8.3 l08
22.6 2.7 - - 59.7 0.2 4.9 l67
l8.5 2.2 3.5 l7.8 ll.0 3.7 l6.4 7 634
5.4 5.0 l.2 46.l l2.7 - l7.4 2 56l
l.7 3.5 2.0 2l.7 l6.0 0.5 3l.0 l2 950
|||SO S|||| |||O| 2010
Catching up within the EU:
spotlight on the newcomers
The posltlon of the last l2 newcomers to the LU has
already recelved some attentlon ln earller sectlons but,
here, we shall examlne thelr sltuatlon a llttle more closely.
Table l0 hlghllghts the sltuatlon for some key lndlcators.
|n most cases, the newcomers show relatlvely hlgh GDP
growth rates. Otherwlse, no conslstent plcture emerges.
Countrles are slmply too dlfferent to appear ln an orderly,
homo geneous way ln such a comparlson. et a few
concluslons do seem posslble. Lstonla and Latvla ln
partlcular, but also the thlrd 8altlc country, Llthuanla, as
well as Cyprus, have done very well for all the lndlcators ln
Table l0. Por the 8altlc countrles, the questlon ls whether
and how these trends wlll contlnue, as these countrles are
among the hardest hlt by the current global economlc
recesslon.
8uslness expendlture on P&D ls growlng conslderably ln
most countrles. Of course, thls growth ls startlng from a
very low level ln almost all cases and, ln several countrles,
forelgn subsldlarles account for much of the lnvestment
ln P&D. Nevertheless, the data show that prlvate-sector
lnvestment ln P&D has taken hold, wlth the remarkable
exceptlon of Slovakla and, less surprlslngly, Pomanla,
whlch faces demandlng challenges.
l72
The GLPD/GDP ratlo has lncreased ln most of the l2 new
LU countrles but not ln Slovakla, glven the conslderable
decllne ln buslness expendlture, nor ln 8ulgarla or Poland.
Doctoral degrees are on the rlse ln all but two countrles:
ln Malta, they are down conslderably but, for such a small
country, there could be many explanatlons, ln Hungary,
thls unexpected sltuatlon may be related to the reductlon
ln publlc expendlture on P&D.
One partlcular area ln whlch most of the most recent
member states stlll have a long way to go concerns
llnkages between unlversltles and publlc research
lnstltutes wlth prlvate enterprlses. That should come as no
surprlse. Por most of the countrles formerly belonglng to
the Councll of Mutual Lconomlc Asslstance (COMLCON)
6
ln the era of state enterprlses, there were few tles, as they
relled on thelr own state laboratorles and prlvate
enterprlses were scarce. As for Cyprus and Malta, these are
small countrles wlth economles whlch are not strongly
based on lnnovatlon and technology. Among the
lndlcators used for the Luropean |nnovatlon Scoreboard,
only one really captures these llnkages between
unlversltles or publlc research lnstltutes and prlvate
enterprlses. Thls ls the number of publlc-prlvate co-
publlcatlons, that ls, publlcatlons where one or more
authors from a unlverslty or a publlc research lnstltute are
Table 10: Growth ln P&D expendlture and PhDs ln the l2 newest LU member states, 2003-2007 (%)
Average annual Average annual Average annual Growth rate
growth rate for growth rate for growth rate for for PhDs,
public R&D, business R&D, GERD/GDP, 20032007
20032007 20032007 20032007
8ulgarla -4.7 l0.7 -4.0 ll.2
Cyprus 6.6 9.3 2l.6 l8.0
Czech Pepubllc 3.5 6.6 23.2 7.0
Lstonla 4.8 20.0 32.6 l2.4
Hungary -l.l 9.6 l0.2 -l.l
Latvla l3.8 l2.7 50.0 25.7
Llthuanla 2.3 l3.2 9.3 l.l
Malta 3.9 2.7 l3.2 -l6.8
Poland -0.6 4.7 -3.6 l2.2
Pomanla l8.0 0.0 35.9 2.l
Slovakla 0.9 -l3.4 -9.8 7.7
Slovenla 7.5 3.8 9.3 2.6
5outce: |nnoMetrlcs (2009) lutoeon lnnovot|on 5coteoootJ 2008. Comotot|ve Anolys|s ol lnnovot|on Petlotmonce.
Luropean Commlsslon, prepared by H. Hollanders at UNU-MLP|T, Maastrlcht
|J.cpo.r |r|cr
l73
lnvolved and at least one from a prlvate enterprlse.
Table ll reveals the current posltlon of the latest
l2 member states for thls lndlcator and growth rates
over the past flve years. The number of publlc-prlvate
co-publlcatlons per mllllon lnhabltants should be put ln
perspectlve by comparlng these flgures wlth the
performance of the hlghest-ranklng LU countrles: Sweden
(ll6.l), Denmark (l08.7), the Netherlands (83.7) and
Plnland (83.l). Slovenla ls not far off the LU-27 average of
3l.4 and Hungary, Lstonla and the Czech Pepubllc are well
on thelr way to achlevlng thls target but all the other
countrles are far behlnd. Nor would lt be klnd to compare
these scores wlth Swltzerland's score of l93.l per mllllon
lnhabltants. Nevertheless, growth rates among the
newcomers are mostly posltlve to very posltlve.
A ooost ltom lu sttuctutol lunJs
Maklng avallable LU structural funds ls one of the key
mechanlsms by whlch the LU ls helplng new member
states, as well as poorer reglons ln older member states.
The newcomers usually have a lower GDP per caplta and
often ma[or problems wlth thelr soclo-economlc
structure. whlle comprehenslve lnformatlon on the use
and lmpact of LU structural funds ls not easy to obtaln,
they do now represent a slgnlflcant lmpulse for bulldlng
and modernlzlng the ST| lnfrastructure.
L
u
r
o
p
e
a
n

U
n
l
o
n
Table 11: Publlc-prlvate co-publlcatlons ln the l2 most
recent LU countrles, 2007
Number per million Annual growth rate
inhabitants (2007) over 20032007(%)
8ulgarla 0.5 l9.4
Cyprus 9.l ll.0
Czech Pepubllc l2.6 7.8
Lstonla l4.5 l7.3
Hungary l6.9 7.7
Latvla 0.4 -8.l
Llthuanla 0.0 0.l
Malta 0.0 0.0
Poland l.3 20.6
Pomanla 3.l 6.4
Slovakla 4.5 l0.5
Slovenla 28.l 2.4
5outce: Luropean |nnovatlon Scoreboard 2008
|t ls lmportant to know that the budget celllngs for the LU
budget as a whole and for the large subcomponents, the
so-called Plnanclal Perspectlves, have been flxed for the
seven-year perlod to 20l3. That ls why, ln the followlng
dlscusslon, thls perlod flgures frequently. Of course, much
of the money lnvolved ln the structural funds ls used for
physlcal lnfrastructure, utllltles or labour market measures
but, ln most of the newest member states and some of the
older ones as well, part of fundlng targets lnfrastructure for
research and lnnovatlon, and the bulldlng-up of human
resources. |n fact, compared to the flrst perlod of structural
fund support to the newest member states from 2004 to
2006, the programmes for 2007-20l3 show a marked
lncrease ln support for P&D and lnnovatlon. Lven though
only a small number of countrles have agreed speclal
operatlonal programmes dedlcated to P&D and
lnnovatlon,
7
ln most countrles there are now speclal prlorlty
components wlthln these operatlonal programmes whlch
are agreed between a country and the Luropean
Commlsslon as lmplementatlon vehlcles for the pollcles
governlng structural funds. The lnformatlon presented
below agaln comes from the LPAwATCH country reports of
2008. |t ls not always clear whether the amounts mentloned
concern only addltlonal LU fundlng. A programme for a
partlcular country lnvolves some natlonal co-fundlng but,
ln the case of P&D and lnnovatlon, thls usually represents
a small percentage (l0-l5%).
|n 8ulgarla, two of the seven operatlonal programmes are
dedlcated to Competltlveness and Development of Human
Pesources. The flrst comprlses a grant scheme for lmprovlng
the P&D lnfrastructure of research organlzatlons and for
provldlng lnnovatlon servlces to companles. Another
provldes support to small and medlum slzed enterprlses
wlshlng to hlre researchers to strengthen thelr lnnovatlon
potentlal. |n 2008, some -90 mllllon was spent on these
measures, a conslderable sum: lt represents three tlmes the
budget of the Natlonal Sclence Pund, for example (see olso
oe l93). Cyprus lntends to use part of the structural funds
for baslc lnfrastructure, such as lncubators or a technology
park. |n the Czech Pepubllc, the structural funds coverlng
2007-20l3 wlll be one of the maln sources of fundlng for
P&D lnfrastructure and for tralnlng researchers.
6. Prom l949 to l99l, COMLCON served as the Lastern 8loc's answer to
Lurope's formatlon of the Organlzatlon for Luropean Lconomlc Co-operatlon.
7. These are the Luropean Pund for Peglonal Development and the
Luropean Soclal Pund, the two components of the structural funds.
|||SO S|||| |||O| 2010
l74
The two dedlcated operatlonal programmes, P&D for
|nnovatlon and Lducatlon for Competltlveness, wlll provlde
-3.8 bllllon over 2007-20l3. Thls ls a slgnlflcant addltlon to
natlonal publlc expendlture on P&D, whlch amounted to
[ust -0.8 bllllon ln 2007. |mportant as these funds are, they
do have a potentlally dlstortlve effect. |n the Czech case, the
bulk of the funds wlll be spent outslde the Prague reglon
where the bulk of P&D capabllltles are currently
concentrated. Thls ls because structural funds cannot be
spent at wlll across a country's terrltory, they are llnked to a
reglon's soclo-economlc posltlon. There ls a rlsk that
measures to support lnfrastructure development wlll be
dlluted, especlally when lt comes to P&D and lnnovatlon. As
was argued earller ln the present chapter, Lurope should be
careful not to spread lts resources for P&D too thlnly. That
applles flrst and foremost to countrles. |n LU revlews,
countrles can earn good marks for vowlng to accept the
Llsbon (2000) and 8arcelona (2002) goals of the l|soon
5ttotey, whlch lmply devotlng 3% of GDP to GLPD, lf not by
20l0 then sllghtly later. |t ls a dublous assumptlon that
Lurope wlll be better off economlcally wlth such a
homogeneous dlstrlbutlon of P&D.
Note: The Peglonal |nnovatlon |ndex 2006 uses the same methodology as the Summary |nnovatlon |ndex descrlbed earller but a more llmlted set of lndlcators.
5outce: Luropean Trendchart on |nnovatlon (Luropean Commlsslon DG Lnterprlse and |nnovatlon), prepared by Hugo Hollanders, UNU-MLP|T, 2006:
www.prolnno-europe.eu/Score8oards/Scoreboard2006/pdf/els_2006_reglonal_lnnovatlon_scoreboard.pdf
1.00
0.90
0.80
0.70
0.60
0.50
0.40
0.30
0.20
0.10
0.00
Attiki
Lisboa
Podkarpackie
Mazowieckie
Vchodn
Slovensko
Notio Aigaio
Regio Autnoma
da Madeira
Dl
Alfld
Illes
Balears
Severozpad
Calabria
Burgenland
Corse
Rgion
Wallonne
Friesland
Dessau
Northern
Ireland
land
Mellersta
Norrland
Stockholm
Etel-
Suomi
South
East
Oberbayern
Noord-
Brabant
Vlaams
Gewest
le de
France
Wien
Lazio
Praha
Bratislavsk
Kraj
bost po.|c.n|r .o|cr cJrt.y no.r \c.st po.|c.n|r .o|cr || no.r
Kzp-
Magyarorszg
Comunidad
de Madrid
G
r
e
e
c
e
P
o
r
t
u
g
a
l
M
a
l
t
a
L
a
t
v
i
a
C
y
p
r
u
s
P
o
l
a
n
d
L
i
t
h
u
a
n
i
a
S
l
o
a
v
a
k
i
a
E
s
t
o
n
i
a
S
p
a
i
n
H
u
n
g
a
r
y
C
z
e
c
h

R
e
p
.
I
t
a
l
y
L
b
o
u
r
g
I
r
e
l
a
n
d
A
u
s
t
r
i
a
S
l
o
v
e
n
i
a
F
r
a
n
c
e
B
e
l
g
i
u
m
N
e
t
h
e
r
l
a
n
d
s
G
e
r
m
a
n
y
U
K
D
e
n
m
a
r
k
F
i
n
l
a
n
d
S
w
e
d
e
n
Figure 7: Peglonal |nnovatlon |ndex for reglons wlthln LU-27 member states, 2005 or latest avallable year
|f thls ls true for countrles, lt also applles to the sltuatlon
wlthln countrles. Plgure 7 shows that large dlfferences
exlst ln all countrles when lt comes to thelr reglonal
lnnovatlon performance. The speclal Operatlonal
Programme on Competltlveness for Prague wlll support
sclence parks, lncubators, lnnovatlon centres and centres
of excellence, llnkages between companles and
unlversltles, or between companles and research centres,
as well as the lnnovatlon capaclty of enterprlses. Thls
focus on an already dynamlc area for P&D may lndlcate
that countrles are aware of the rlsk.
|n Lstonla, one flnds a slmllar heavy rellance on structural
funds for lnvestment ln P&D lnfrastructure. vla two prlorlty
programmes, -365 mllllon wlll be spent over 2007-20l3
on research programmes and modernlzatlon of
establlshments for hlgher educatlon and research.
A further -l20 mllllon wlll go towards developlng human
resources for P&D. The same ls happenlng ln the other two
8altlc countrles. Latvla wlll spend some - 238 mllllon on
P&D and -202 mllllon on lnnovatlon. |n Llthuanla, 46% of
the funds for economlc growth wlll go to P&D for buslness
|J.cpo.r |r|cr
l75
lnnovatlon, of whlch -386 mllllon ls earmarked dlrectly for
lnvestment ln P&D, especlally P&D lnfrastructure.
|n Hungary, expendlture on research, technologlcal
development and lnnovatlon covers such pro[ects as P&D
centres, lnnovatlon and technology parks or complex
technologlcal developments ln enterprlses. Thls
expendlture ls funded vla the Operatlonal Programme on
Lconomlc Development. Slmllarly, the development of
research lnfrastructure ln lnstltutlons of hlgher learnlng ls
funded vla an Operatlonal Programme on Soclal
|nfrastructure. Together, these two programmes constltute
an annual amount of some -200 mllllon.
Malta, wlth lts small populatlon of about 400 000, wlll
nevertheless spend -45 mllllon on P&D lnfrastructure and
human resources tralnlng, ln addltlon to funds for
stlmulatlng P&D ln lndustry.
Poland presents a stark contrast. wlth a populatlon of about
38 mllllon, lt ls by far the largest of the l2 member states
that have [olned the LU slnce 2004. The LU structural funds
for Poland are thus lncomparably larger. Notwlthstandlng
thls, thelr relatlve lmpact ls very conslderable lndeed. The
LPAwATCH country report of 2008 for Poland mentlons that,
ln the 2004-2006 perlod, of the -l33 mllllon spent on
strengthenlng co-operatlon ln Poland between unlversltles
or research lnstltutes and enterprlses, a full -l00 mllllon was
LU fundlng. Por the 2007-20l3 perlod, ln the context of the
Operatlonal Programme for the |nnovatlve Lconomy, of the
total -9.7 bllllon, some -l.3 bllllon supports P&D ln modern
technologles and a further -l.3 bllllon research lnfrastructure.
|ncldentally, thls ls a case where the LU contrlbutlon ls
expllcltly stated: of the -2.6 bllllon lnvolved ln the two
aforementloned components, -2.23 bllllon ls LU fundlng.
Pomanla ls the one country where the use of structural
funds for strengthenlng the P&D system ls so far not
worklng so well, the country has yet to develop the
capaclty to absorb such conslderable sums (see oe l9l).
Slovenla would not suffer from thls handlcap. However,
spendlng structural funds on P&D and lnnovatlon ls
apparently of lesser prlorlty for Slovenla than for the other
countrles dlscussed here (see olso oe l90).
Last but not least, Slovakla has a speclal Operatlonal
Programme for Pesearch and Development that supports
P&D ln unlversltles and other hlgher lnstltutlons of hlgher
learnlng, as well as co-operatlon between these
lnstltutlons or research centres and lndustry.
Clearly, ln many countrles, structural funds wlll be a key
component of thelr strategles for P&D and lnnovatlon for
years to come. Apart from spendlng these funds wlsely
by not falllng lnto the trap of spreadlng them thlnly, for
example, a ma[or challenge wlll be to bulld a flnanclally
sustalnable ST| system by 20l3 - for lt needs few
predlctlve powers to foresee that avallable structural
funds wlll be thlnner on the ground after 20l3.
||b|| A||||S O S
Luropean cltlzens are regularly polled on thelr attltude to
S&T. These surveys lnclude lssues related to sclentlsts
and pollcy-maklng. The latest LUPO8APOMLTLP survey
publlshed by the Luropean Commlsslon (2005)
8
ls based
on 30 000 lntervlews. Here, we shall glve a brlef overvlew
of the lllumlnatlng answers to some of the questlons.
Of the respondents, 30% on average sald they were very
lnterested ln new lnventlons and technologles and 48%
moderately lnterested. The same percentages apply to
sclentlflc dlscoverles. However, the flgures vary greatly
across Lurope. |n Llthuanla, only l4% sald they were very
lnterested ln new lnventlons and technologles, wlth
slmllar proportlons ln Pomanla (l5%), |taly (l6%),
8ulgarla (l7%) and Portugal (l8%). |n Cyprus, the flgure
was as hlgh as 54%, followed by Malta (46%), the
Netherlands (42%) and Greece (4l%).
There ls a marked dlfference between males (40%) and
females (2l%), although the gender dlfference contracts
when lt comes to the level of lnterest ln new sclentlflc
dlscoverles: 36% versus 25%. when asked whlch areas of
sclence were of most lnterest, 6l% of respondents (but
73% of females) clted medlclne and 47% the
envlronment (ln equal proportlons).
On the questlon of whether people regularly read artlcles
on sclentlflc toplcs ln newspapers, magazlnes or on the
|nternet, the smaller countrles ln north and northwestern
L
u
r
o
p
e
a
n

U
n
l
o
n
8. A more recent survey ln 2008 polled young people aged between l5
and 25 years. However, the methodology and questlons had changed ln
thls second survey, maklng lt lmposslble to compare the oplnlons and
vlews of the respondents to the 2005 and 2008 surveys.
Europe emerged with a clear lead: in descending order,
from 38% to 26% of respondents in the Netherlands,
Luxembourg, Belgium, Sweden, Denmark and Finland
answered this question in the affirmative. Switzerland,
Norway and Iceland also scored in the high twenties. The
highest score for the larger countries went to France, with
25%. Italy could manage only 10%, Bulgaria, Romania and
Portugal 11%. The differences shrink if one combines the
answers for regular and occasional reading.
When asked to rank subjects on a scale of 1 (not at all
scientific) to 5 (very scientific), 89% of respondents said
they found medicine to be very scientific and 83% physics.
But 41% were of the opinion that astrology was very
scientific (compared to 40% for astronomy), 33% held the
same view for homeopathy and 40% held economics in a
similar regard.
Knowledgeability about science was surveyed by asking
10 quiz questions, such as whether the statement that
lasers work by focusing sound waves was false or
whether it was true that human beings, as we know them
today, developed from earlier species of animals. On
average, 66% of respondents (70% of men and a 62% of
women) gave correct answers, with extremes of 78% for
Sweden and 4852% for a group of countries that
includes Bulgaria, Cyprus, Romania, Malta, Lithuania and
Portugal. The question on human evolution was
answered correctly by 70% of respondents throughout
the EU. There is some variation between men and women
but it is insignificant. Perhaps more remarkable is that the
average score for correct answers was still only 78% for
those whose education ended after their twentieth year.
As to which three professional groups or institutions
were most trusted to explain the impact of S&T
developments on society, this question produced some
interesting results (Figure 8). Scientists working for a
university or in a government laboratory were most
trusted by far, followed by television journalists, who
had an edge over their newspaper colleagues.
Somewhat surprisingly, medical doctors scored rather
poorly but this may be because the questionnaire
confined answers to three categories of person or
organization. Again, one finds large variations from one
European country to the next. For example, scientists
working at a university or in a government laboratory
scored 52% on average but between 68% and 76% in
Slovakia, Cyprus, Greece and the Czech Republic.
176
In Portugal, on the other hand, only 38% of
respondents mentioned this category as being among
the three most trusted and in Denmark only 39%.
When it comes to the power respondents ascribe to
science, remarkable differences arise. Asked whether
science would one day give a complete picture of how
nature and the Universe work, 24% of respondents in
Iceland, 27% in Norway and Finland, 31% in the
Netherlands and 37% in Switzerland agreed with the
statement. The figure was even as high as 73% in Malta,
70% in Greece and 59% in Italy.
As for expectations as to whether S&T progress would
solve social problems, a massive 88% of respondents
agreed that this would help to cure such illnesses as
HIV/AIDS or cancer. The Netherlands, Norway and
Iceland scored highest, 97%, 95% and 94% respectively.
At the other end of the scale came Slovenia and
Lithuania, with a score of 75%. Of course, this heady
level of optimism about what S&T can do does not
extend to all social problems. Only 39% of respondents
in the EU agreed that S&T would help eliminate hunger
and poverty in the world and not more than 21% that
Figure 8: Professions trusted by the European public
to explain the impact of S&T on society, 2005 (%)
Note: Survey in 2005 of 30 000 respondents in the EU-25, Bulgaria,
Romania, Croatia, Turkey, Iceland, Norway and Switzerland
Source: Special EUROBAROMETER 224
0 10 20 30 40 50 60
Religious leaders or representatives
The military
Politicians
The government
Industry
Writers and intellectuals
Consumer organizations
Environmental protection organizations
Medical doctors
Newspaper journalists
Scientists in industrial laboratory
Television journalists
Scientists at university or govt lab
percentage
EU chapter [3] [Ed2]:Layout 1 27/1/11 13:43 Page 176
|J.cpo.r |r|cr
l77
S&T could sort out any problem. There were even deep
lows of 7-9% ln the Netherlands, Sweden, Prance and
Denmark. One mlght perhaps take the vlew that
havlng 2l% of respondents belleve ln the
omnlpotence of S&T ls a healthy score. Overall, 52% of
respondents were of the vlew that the beneflts of
sclence outwelghed any harmful effects lt mlght have.
Questlons were also asked about whether S&T were the
couse of soclal problems. More than half (57%) of
respondents held S&T responslble for most of today's
envlronmental problems and, on a very contentlous
lssue, 54% of respondents were of the oplnlon that
genetlcally modlfled food was dangerous. Percentages
for thls questlon ranged from 88% and 80% ln Cyprus
and Greece respectlvely to 30% ln the Netherlands, 33%
ln the UK and 39% ln Sweden. Slmllarly, 59% of
respondents agreed wlth the statement that, owlng to
thelr knowledge, sclentlsts had a power that made them
dangerous.
The ma[orlty of repondents subscrlbed to the vlew that
governments ought to support sclentlflc research that
contrlbutes to knowledge: 76% on average for the LU,
the lowest score of 54% golng to Austrla. The latter
result ls surprlslng, glven that Austrla ls one of only a
handful of the 'old' LU countrles that has seen lts P&D
effort rlse conslderably ln recent years, thanks to a hlke
ln publlc fundlng.
That the general bellef that governments must
support research can be at odds wlth other
expectatlons of government ls lllustrated by the
answers to the questlon as to whether governments
should spend more money on sclentlflc research and
less ln other areas. Here, the Netherlands scored
lowest, wlth only 25% of respondents agreelng wlth
thls statement. |n Malta and Plnland, though, only 30%
of those lntervlewed gave prlorlty to an lncrease ln
government fundlng of sclence.
Pespondents clearly expected sclentlsts to ablde by
ethlcal standards. As many as 79% felt governments
should formally obllge sclentlsts to respect ethlcal
standards. Thls seems to be ln llne wlth the vlew held by
only 36% of respondents that there should be no llmlt to
what sclence was allowed to lnvestlgate. |f, on the other
hand, sclentlsts respected ethlcal standards, they should
be free to do whatever research they wanted, oplned 73%.
|| ||S ||A| || || \O|||
we are now golng to look beyond the LU's borders to lts
competltors. There ls no doubt that the LU ls one of the
leadlng reglons ln the world ln ST|. However, the total
amount of P&D carrled out ln the LU-27 measured as a
percentage of GDP remalns substantlally less than the
comparable amounts ln the USA and 1apan. Moreover,
Chlna ls rapldly catchlng up to the LU, although the
absolute amount spent on P&D ls of course stlll much
smaller (Table l2).
A number of non-flnanclal lndlcators show a more
balanced plcture. There are now vlrtually as many full-
tlme equlvalent (PTL) researchers ln the LU-27 as ln the
USA, wlth Chlna not far behlnd. 8ut perhaps the more
lnterestlng lndlcator ls that for the number of
researchers per l000 labour force. Here, 1apan leads,
followed by the USA, wlth Chlna stlll lagglng behlnd
(Table l3).
Not surprlslngly, the same scenarlo repeats ltself for the
number of trlad patent famllles. A patent famlly ls a
patent for whlch protectlon has been sought ln many
countrles. A trlad patent famlly means that a patent has
been flled wlth the Luropean and 1apanese Patent
Offlces and granted by the US Patents and Trademark
Offlce. The Trlad ls almost on a par for thls lndlcator,
whlch showed llttle progresslon between 2003 and 2006
(Plgure 9).
9
Chlna, on the other hand, has of course
started at a much lower level but ls dlsplaylng an
extremely rapld growth rate.
The number of PhD degrees conferred ls another
lnterestlng parameter. Here, the LU produces many more
PhDs than the USA and lt ls 1apan that ls tralllng behlnd.
To get a better feellng for what these numbers mean, we
need to take the slze of the populatlon lnto account. The
2008 OLCD kev|ew ol lnnovot|on Pol|cy |n Ch|no does thls
by relatlng the number of doctoral degrees conferred ln
all flelds ln 2004 to the number of people at the typlcal
age of graduatlon. |n the l9 LU countrles lncluded ln the
study, l.4% of those ln thls age cohort recelved a
doctoral degree, compared to l.3% ln the USA, 0.8% ln
1apan and 0.l% ln Chlna.
L
u
r
o
p
e
a
n

U
n
l
o
n
9. Thls trend wlll have been calculated for the same number of Luropean
countrles for 2003 and 2006.
|||SO S|||| |||O| 2010
l78
Turnlng to the Sclence Cltatlon |ndex (SC|), the total
number of publlcatlons recorded by Thomson Peuters ln
all flelds of natural sclences and englneerlng clearly places
the LU ln the lead for thls lndlcator, wlth 36.5% (39.6% ln
2002) of world publlcatlons ln 2007, ahead of the USA at
27.7% (30.9% ln 2002), 1apan at 7.6% (l0.0%) and Chlna at
l0.6% (5.2%) |see oe l0|. Put another way, Chlna's world
share has nearly doubled ln [ust flve years, largely to the
detrlment of the Trlad.
|f the LU also occuples an envlable posltlon ln terms of
sclentlflc artlcles publlshed wlthln lnternatlonal
collaboratlon, here we must of course take lnto
conslderatlon that there are 27 countrles wlthln the LU,
glvlng these data only llmlted comparatlve value.
The dlstrlbutlon over the varlous subflelds shows that
blology, blomedlcal sclences and cllnlcal medlclne
account for more than 50% of all Luropean publlcatlons ln
the natural sclences and englneerlng (Table l4). Por the
USA, the equlvalent flgure ls even hlgher than 60% and for
1apan sllghtly below 50%. Qulte approprlately, lt has been
sald that the 2l
st
century wlll be the century of the llfe
sclences. One ls lncllned to say that Lurope's hlgher shares
than the USA (1apan looks more llke Lurope, wlth the
exceptlon of mathematlcs) ln physlcs, chemlstry and
mathematlcs, englneerlng and technology elther reflect a
more tradltlonal, less flexlble academlc research cllmate or
a greater emphasls on more tradltlonal lndustrles, or
posslbly both. One must be extremely careful, however,
not to draw lnferences from generlc publlcatlon data that
are too general. Not unexpectedly, Chlna dlffers markedly
from the LU ln lts publlcatlons pattern: blology,
blomedlcal sclences and cllnlcal medlclne account for
some 25% of all publlcatlons, whereas the two categorles
Figure 9: Trlad patent famllles, 2003 and 2007
Note: Patent famllles are deflned as patents flled wlth all three of the
followlng: Luropean Patent Offlce, 1apanese Patent Offlce and
Unlted States Patents and Trademark Offlce. The year ls the so-called
prlorlty year, l.e. the date of the flrst lnternatlonal flllng. Chlna ls
added to show that thls country ls rapldly catchlng up ln terms of
absolute P&D expendlture, GLPD/GDP ratlo and the number of
researchers but not yet ln terms of patents. There ls no doubt that
every year to come wlll see slgnlflcant lncreases.
Table 12: Trends ln GLPD for the Trlad and Chlna, 2003 and 2007
GERD in billions
of current PPP US$
2007 2003 2007 2003 2007 2003 2007 2003 2007
LU-27 244.7 l.76 l.77 0.94 0.97 0.63 0.60 l4.0 l3.3
-l
USA 368.8 2.66 2.68 l.7l l.78 0.80 0.74 54.9 56.6
1apan l38.8 3.20 3.39 2.39 2.62 0.58 0.55 4.5 5.2
Chlna 86.8 l.l3 l.42` 0.68 0.98 0.34 0.35 - -
n data refer to n years before reference year
`` Government 8udget Approprlatlons or Outlay on P&D. The lndustry-flnanced and government-flnanced shares of GLPD are expressed ln percentages of
GDP.
0
5 000
10 000
15 000
20 000
EU-27 USA Japan China
2003
2007
14 026
14 795
14 960
15 942
14 174
14 187
252
484
GERD/ GDP ratio (%) Industry- financed (%)
share of GERD
Government- financed (%)
share of GERD
Defence (%)
GERD/GBAORD**
|J.cpo.r |r|cr
l79
of chemlstry and englneerlng and technology represent
much hlgher shares. when dlfferences are thls blg
between the llfe sclences and other ma[or flelds of
research, thls tends to reflect dlfferent stages of
development.
we obtaln a more comprehenslve comparlson between
Lurope, the USA and 1apan lf we wlden the scope beyond
lnput, throughput and output ln P&D to lndlcators that try
to measure the outcome ln terms of lnnovatlon and also
take lnto account factors conduclve to lnnovatlon. An
example of the former would be the relatlve amount of
products new to the market, or at least new to the country
or reglon concerned. The amount of venture capltal
avallable relatlve to the slze of the economy would be an
example of a stlmulatlng condltlon. |n the wake of efforts
to capture the lnnovatlve performance of lndlvldual LU
countrles and even reglons, the Luropean Commlsslon
has begun comparlng Lurope wlth the USA and 1apan
(Plgure l0). A set of l7 lndlcators ls used ln three broad
categorles: Lnablers, Plrm Actlvltles and Outputs. The
methodology ls slmllar to that for the Summary
|nnovatlon |ndex (see oe l67).
The LU |nnovatlon Scoreboard of 2008 concludes that, for
these l7 lndlcators, the USA and 1apan stlll perform
conslderably better when lt comes to lnnovatlon.
Nevertheless, the LU-27 has been lnchlng closer to the
USA slnce 2004 and, to a lesser extent, to 1apan. |t ls a llttle
soon to re[olce, however, as the gap ls not closlng for
three key lndlcators: buslness P&D, patents flled wlth the
Luropean Patent Offlce and those flled under the Patent
Cooperatlon Treaty. Por these three lndlcators, 1apan ls
even lncreaslng lts lead over the LU.
L
u
r
o
p
e
a
n

U
n
l
o
n
Table 13: S&T personnel ln the Trlad and Chlna, 2007
FTE Female Number of Share of PhDs
researchers researchers PhDs in science and
(thousands) (head count) (%) engineering, (%)
2007 2003 2007 2006 2007 2007
LU-27 l342.l 5.8 6.4 33.0 l00 347 40.7
USA l425.6
-l
l0.2 9.7
-l
28.0` 52 63l 35.7
1apan 7l0.0 l0.6 ll.0 l2.4 l5 286 37.6
Chlna` l423.4 l.2 l.8 - - -
` percentage of full-tlme tenured or tenured-track faculty, women constltute 37% of all sclentlsts and englneers (not only researchers) ln buslness and
lndustry ln the USA
5outce: for researchers: OLCD (20l0) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots 2009-2, for female researchers ln the USA: data from Sclentlsts and Lnglneers
Statlstlcal Data System of US Natlonal Sclence Poundatlon, for share of PhDs: Lurostat (2008) 5c|ence, 7echnoloy onJ Comet|t|veness keott 2008/2009
Table 14: Publlcatlons ln the Trlad by ma[or fleld of sclence, 2008
Biology Biomedical Chemistry Clinical Earth and Eng. and Mathematics Physics Total
research medicine space technology
LU-27 29 5l6 45 8l5 36 22l ll9 230 26 095 44 l82 l5 239 43 693 359 99l
USA 2l 234 45 l25 l8 984 l03 835 l9 8l9 28 572 9 356 25 954 272 879
1apan 5 479 9 77l 9 809 2l 729 3 552 l0 l94 l 66l l2 423 74 6l8
Chlna 5 672 9 098 23 032 l3 595 5 746 22 800 5 384 l9 64l l04 968
world 84 l02 l23 3l6 ll4 206 307 043 60 979 l39 257 37 397 ll9 799 986 099
Note: The lndlvldual amounts do not add up to the total because lnternatlonal authorshlp means some publlcatlons are counted more than once.
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre des
sclences et des technologles
FTE researchers
per 1000
labour force (%)
|||SO S|||| |||O| 2010
O|||S|O|
we can see from the foregolng that the LU ls now clearly the
world leader as far as SC| publlcatlons are concerned. 8ut
what counts ln terms of lnput ls expendlture on P&D and, ln
terms of output, lnnovatlon performance. A lot of work lles
ahead for Lurope, as wltnessed by the LU effectlvely havlng
abandoned the Llsbon and 8arcelona targets. The LU ls of
course not a homogeneous whole. The Summary
|nnovatlon |ndex, whlch offers a one-flgure comparlson of
countrles, shows that there are, ln fact, three groups of
countrles: the leaders, the followers and the stragglers.
|nterestlngly, the statlstlcs reveal that performlng well ln
lnnovatlon ls not a prlvllege reserved for the 'old' member
states. More generally, the l2 new member states whlch
acceded to the LU ln 2004 and 2007 are for the most part
maklng a vallant effort to renew and modernlze thelr research
and lnnovatlon systems. A danger ls, though, that each of
these countrles wlll be lncllned to apply the 8arcelona target
of devotlng a 3% share of GDP to GLPD to thelr own domestlc
sltuatlon, even though the example of the USA lllustrates that
broad reglonal dlfferences are the norm.
Luropean sclentlsts, fundlng agencles and governments -
not to mentlon companles - have long slnce reallzed that,
when lt comes to research and lnnovatlon, capabllltles
sometlmes need to be pooled. Thls reallzatlon has led, for
example, to large Luropean multllateral research
organlzatlons llke CLPN whlch lnvolve collaboratlon
among several lndlvldual countrles. |t has also led to the
LU's Pramework Programmes. 8ut a slew of other
organlzatlons and lnltlatlves have also been establlshed:
l80
the Luropean Sclence Poundatlon and LUPLKA are [ust
two examples. Settlng up the Luropean Pesearch Councll
(LPC) as a verltable contlnental fundlng agency has been
the most lmportant step taken ln Lurope for a long tlme.
|t ls one reason why thls councll has trlggered a much
more fundamental debate than we usually see ln Lurope.
what should be done at the Luropean level! what ls the
role of the Luropean Commlsslon (or the LU), the
natlonal governments, the natlonal fundlng agencles
and the LPC! Thls ls a dlscusslon whlch has far-reachlng
lmpllcatlons.
Shouldn't the LU's Pramework Programme focus much
more on a llmlted number of genulne Luropean
challenges, such as developlng a much stronger LPC,
lnvestlng ln key research lnfrastructure and fundlng a
llmlted number of ma[or Luropean mlsslons ln the flelds
of energy, envlronment, health and so on! Or should the
LU lgnore these optlons and contlnue to fund a large
number of relatlvely small pro[ects that place centre stage
the ldea of collaboratlon between often large research
groups spread across Lurope! what future lles ahead for
the LU's ambltlon of co-ordlnatlng all natlonal research,
an ambltlon that has ln practlce always been thwarted!
The lnstltutlonal reforms of unlversltles, research
lnstltutes and organlzatlons ln Lurope are part and parcel
of thls agenda for change. However, provldlng a more
effectlve fundlng system ln future ls one thlng, ensurlng
that the lnstltutlons carrylng out research are posltloned
and resourced ln the best way posslble ls qulte another.
what ls certaln ls that these twln challenges wlll need to
be tackled slmultaneously.
Figure 10: The LU |nnovatlon gap wlth the USA and 1apan, 2004-2008 (%)
Note: |llustrated ls the percentage by whlch the USA and 1apan outperform the LU on average for the lndlcators llsted on page l67.
5outce: Luropean |nnovatlon Scoreboard 2008
0
-10
-20
-30
-40
-50
2
0
0
4
2
0
0
5
2
0
0
6
2
0
0
7
2
0
0
8
0
-10
-20
-30
-40
-50
2
0
0
4
2
0
0
5
2
0
0
6
2
0
0
7
2
0
0
8
EUUSA gap EUJapan gap
-41
-40
-33
-29 -28
-42
-44
-42
-40
-38
|J.cpo.r |r|cr
l8l
||||||||S
Aghlon, Phlllppe, Dewatrlpont, Mathlas, Hoxby, Carollne,
Mas-Colell Andreu, Saplr Andre (2007) why telotm
lutoeon un|vets|t|es/ 8ruegel Pollcy 8rlef, 8russels.
LSPP| (2008) lutoeon kooJ Vo lot keseotch
lnltosttuctutes: 2008. Luropean Strategy Porum on
Pesearch |nfrastructures. Luropean Commlsslon,
8russels.
Luropean Commlsslon (2008) oun Peole onJ 5c|ence.
Plash LUPO8APOMLTLP 239, 8russels.
(2005) lutoeons, 5c|ence onJ 7echnoloy. Speclal
LUPO8APOMLTLP 224, 8russels.
Lurostat (2008) ley l|utes on lutoeon 8us|ness. Lurostat
Pocketbook, 8russels.
Hollanders, H. (2006 lutoeon ke|onol lnnovot|on
5coteoootJ. Maastrlcht, Netherlands.
Salml, 1amll (2009) 7he Chollene ol lstool|sh|n wotlJ-
closs un|vets|t|es. world 8ank, washlngton DC.
Tlndemans, Peter, Soete Luc, Zehnder Alex, vergouwen,
Drlek, wlgzell, Hans (2007) lutoeon lnst|tute ol
7echnoloy, o uNu-Vlkl7 5tuJy lot the lutoeon
Potl|oment, 8russels.
UNLSCO (2005) uNl5CO 5c|ence keott 2005. UNLSCO
Parls. Avallable at: www.unesco.ot/sc|ence/sJ/
uol|cot|ons/sc|ence_teott2005.shtml
wllen, Haken (2008) 5tot|st|cs |n locus. Lurostat. Avallable at :
htt://e.eutostot.ec.eutoo.eu/coche/l7_OllPu8/l5-5l-
08-029/lN/l5-5l-08-029-lN.P0l
\|bS||S
Artemls and LN|AC 1olnt Technology |nltlatlves:
htt://ec.eutoo.eu/|nlotmot|on_soc|ety/tl/teseotch/t|v
_ |nvest/jt|/|nJex_en.htm
8ologna Secretarlat:
www.onJ.vloonJeten.oe/hoetonJetw|js/oolono/
LPAwATCH: www.etowotch-netwotl.eu/
LUPLKA: www.eutelo.oe
Thematlc Portal on Lurope's |nformatlon Soclety:
htt://ec.eutoo.eu/|nlotmot|on_soc|ety/tl/teseotch/|nJex_
en.htm
L
u
r
o
p
e
a
n

U
n
l
o
n
Peter Tindemans was born ln l947 ln Nederweert ln
the Netherlands. After obtalnlng a PhD ln Theoretlcal
Physlcs from Lelden Unlverslty ln l975, he swltched
from physlcs to sclence pollcy. He was responslble for
co-ordlnatlng the flrst comprehenslve Dutch
|nnovatlon Pollcy ln l979 and, from l99l to l998, for
research and sclence pollcy ln the Netherlands.
Slnce l999, he has been an lndependent consultant,
worklng wlth the world 8ank, UNLSCO and
governments ln Afrlca, South and Central Amerlca, and
Asla on ST| pollcles. wlthln Luropean countrles, he has
also worked wlth reglonal governments, unlversltles
and companles on reglonal lnnovatlon pollcles,
lncludlng open lnnovatlon campuses. He has also
chalred the Luropean Spallatlon Source, a -l.4 bllllon
neutron faclllty.
Dr Tlndemans has been lnvolved ln key Luropean
lnltlatlves, such as the LUPLKA programme and the
COS|NL pollcy group whlch establlshed the backbone
of the flrst pan-Luropean data network. He ls actlvely
engaged ln debates on the future of sclence,
technology and lnnovatlon pollcles ln Lurope. He was
Papporteur general of the world Conference on
Sclence, organlzed ln l999 by UNLSCO and the
|nternatlonal Councll for Sclence. He chalred the OLCD
Megasclence Porum from l992 to l999 and was
Papporteur general of a [olnt OLCD-Unlted Klngdom
conference on genetlcally modlfled food ln 2000.
Dr Tlndemans ls a member of the Governlng 8oard of
Lurosclence, a grass-roots organlzatlon for sclentlsts,
and of the Supervlsory 8oard for the blennlal
Lurosclence Open Porums, the Luropean counterpart
of the annual conferences organlzed by the Amerlcan
Assoclatlon for the Advancement of Sclence ln the
USA. He ls also a member of the Steerlng Group for
the |nltlatlve for Sclence ln Lurope.
Luropean |nstltute of |nnovatlon and Technology:
www.e|t.eutoo.eu/
Luropean Pesearch Councll: htt://etc.eutoo.eu/
Luropean Sclence Poundatlon: www.esl.ot
7he oottlenecl couseJ oy l|ttle
Jomest|c JemonJ lot k80 onJ o weol
t|vote sectot |n oll out 5loven|o |s
l|lely to temo|n o mojot sttuctutol
weolness lot 5outheost lutoeon k80
systems lot yeots to come.
Slavo Padosevlc
Southeast Europe [6] [P3] :Layout 1 18/10/10 18:42 Page 182
9
.
Southeast Lurope
S|.vc |.Jcsov|c
l83
|||O|||O|
Southeast Lurope encompasses the relatlvely developed
sclence systems of Greece and Slovenla, the 'seml-
developed' systems of 8ulgarla, Croatla, Pomanla and
Serbla, along wlth sclence systems ln real need of
development - those of Albanla, 8osnla and Herzegovlna,
Kosovo, Montenegro and the Pormer ugoslav Pepubllc of
Macedonla. The Pepubllc of Moldova shares many
features wlth thls last group of countrles, although lt
follows a speclflc post-Sovlet system.
Contemporary Southeast Lurope ls the most dlverse
reglon ln Lurope ln terms of soclo-economlc development,
lnstltutlonal frameworks and the level of sclence and
technology (S&T) capaclty.
There ls a ten-fold dlfference ln per-caplta lncome
between the rlchest (Greece and Slovenla) and poorest
(Moldova) countrles ln thls reglon (Table l). Thls ls both a
hlstorlcal legacy and the result of the clvll wars that
accompanled the gradual break-up of ugoslavla ln the
early l990s. |n fact, the dlslntegratlon of ugoslavla was
only complete ln 2008, after popular referenda ln
Montenegro (May 2006) and Kosovo (Pebruary 2008)
opted for lndependence from Serbla.
Pour countrles from Southeast Lurope have so far acceded
to the Luropean Unlon (LU): Greece ln l98l, Slovenla ln
2004 and 8ulgarla and Pomanla ln 2007. These countrles
are covered ln the present chapter but also appear ln that
on the LU (see oe l47). The remalnder elther have
candldate status for the LU (Croatla, Pormer ugoslav
Pepubllc of Macedonla and Turkey) or uncertaln prospects
regardlng membershlp (Albanla, 8osnla and Herzegovlna,
Kosovo, Moldova, Montenegro and Serbla).
Por those countrles stlll on the outslde looklng ln, Luropean
lntegratlon represents the only vlable pro[ect for ensurlng
soclal and polltlcal coherence. Por those countrles that are
already LU members, prosperous nelghbours are the best
guarantee of polltlcal stablllty and economlc growth.
|n the l990s, all but Greece grappled wlth the challenges
of an economlc transltlon to post-soclallsm followlng the
dlslntegratlon of ugoslavla. Thls led to a deterloratlon of
thelr sclence systems, whlch ln some cases has been
extremely severe, as descrlbed ln the uNl5CO 5c|ence
keott 2005.
At the end of the flrst decade of the 2l
st
century, Albanla,
8ulgarla, Croatla Pomanla and Slovenla have all fully
recovered from the crlsls of transltlon from the Sovlet system
to a market economy. |n the remalnlng countrles, however,
lncome levels stlll compare unfavourably wlth lncome per
caplta durlng the soclallst perlod. Nonetheless, slnce 2000,
the economles of all of the Southeast Luropean countrles
have been growlng at average rates of around 3% or hlgher.
wlth the onset of the global recesslon ln 2008, growth rates
ln the reglon are llkely to slow down conslderably.
The key challenge for the ma[orlty of these countrles ls to
ensure further sustalnable economlc growth. These are
open economles, however, the ma[orlty of them are stlll
burdened wlth hlgh unemployment, weakness ln the rule
of law and an undeveloped flnanclal system.
O||||O|S |O| ||
Disparities in the pace of restructuring
The soclo-economlc features of Southeast Luropean
economles strongly lnfluence the role of sclence ln the
reglon and prospects for natlonal economlc growth based
on domestlc knowledge. Thelr research and development
(P&D) systems face acute challenges, ln partlcular
regardlng sclence-orlented lnnovatlon.
The pace of restructurlng varles enormously. Albanla, 8osnla
and Herzogovlna - and the Pormer ugoslav Pepubllc of
Macedonla to some extent - are the most dlsadvantaged.
They are stlll strlvlng to establlsh functlonlng P&D systems
and are thus prlmarlly addresslng sclence pollcy lssues.
At the other end of the scale, 8ulgarla, Croatla and Pomanla
are lmplementlng very much LU-drlven and LU-lnsplred
changes. Together wlth Turkey, these three countrles are
maklng a vlslble attempt to shlft the focus from conventlonal
sclence pollcy towards lnnovatlon pollcy. |ndlvldual natlonal
plans, such as the 2005 Turklsh Not|onol 5c|ence onJ
7echnoloy 5ttotey, have created new momentum whlch,
lf lt contlnues, could provlde examples of good practlce for
other countrles ln the reglon (see oe 202).
|n Southeast Lurope, external condltlons for lnnovatlon,
such as lnstltutlons, market efflclency and buslness
sophlstlcatlon, have shown lmprovement slnce the early
l990s, as a result of lnstltutlonal changes ln these
transltlonal economles. However, these changes have not
necessarlly been accompanled by a greater capablllty
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
The Plo-Antlrrlo,
a cable-stayed
brldge ln Greece
Photo: Pot|svos/
|5toclhoto
|||SO S|||| |||O| 2010
among flrms to absorb new technology and lnnovate
(Padosevlc, 2007). 8oth the new LU member states and
the ex-soclallst countrles have come to reallze that
pollcles have not succeeded so far ln promotlng growth ln
the absence of strategles that dlrectly address S&T and
tralnlng, although there are of course also ma[or lntra-
reglonal dlfferences ln terms of technologlcal readlness.
Sclence, technology and lnnovatlon (ST|) play very
dlfferent roles ln economlc growth ln the sub-reglon. The
Cloool Comet|t|veness keott (wLP, 20l0) categorlzes
countrles accordlng to thelr stage of transltlon towards a
globally competltlve economy, taklng lnto account drlvers
of growth that range from the avallablllty of labour or raw
materlals to measures of efflclency and lnnovatlon
(Plgure l). The report conslders elght of the Southeast
Luropean countrles to be at the 'efflclency-drlven' stage
and Slovenla and Greece to be at the 'lnnovatlon-drlven'
stage. Nestled ln-between ls Croatla, ln transltlon from
efflclency- to lnnovatlon-drlven. Albanla and 8osnla and
Herzegovlna were upgraded to efflclency-drlven
economles ln 2008, whereas Moldova has remalned
at the factor-drlven stage.
l84
Weak demand for R&D
The P&D systems of countrles ln Southeast Lurope cover a
wlde spectrum ln terms of thelr relatlve slze, performance
and role ln soclety and the economy. However, all but
Slovenla share a common feature: domestlc demand for
P&D and for skllled employees ls relatlvely weak,
especlally compared to the supply of P&D (Padosevlc,
2007). There are several reasons for thls. One ls no doubt
the structure of lndustry, whlch ls domlnated by small
flrms worklng ln tradltlonal lndustrles that do not explolt
new technologles. Lack of capaclty ls another factor.
Serbla easlly has the blggest demand-supply gap, both
because of unsophlstlcated lndustrles and the lnablllty
of local demand to make up for llmlted lnternatlonal
co-operatlon. Poor demand for P&D ls also the greatest
weakness of the new LU Member States.
Throughout the reglon, P&D systems have stablllzed ln
recent years and are gradually recoverlng from the recesslon
caused by the transltlon to a market economy. |n the new
LU member states, the pace of change ls much faster, as
these countrles are en[oylng slgnlflcant lncreases ln fundlng
of thelr P&D through LU structural funds (see oe l73).
Table 1: Key soclo-economlc lndlcators for Southeast Luropean economles, 2008
Exports Domestic
Employment Gross of goods credit to
GDP per in fixed and private FDI
Annual average capita, Unemployed industry capital Trade services sector net
growth rate, (current (% of (% of total formation (% of (% of (% of Rule of inflows
20022008 international) labour employment) (% of GDP) GDP) GDP) GDP) law*, (% of GDP)
(%) $PPP 2008 force) 2008 2008 2008 2008 2008 2008 2006 2008
Albanla 5.7 7 293 22.7
-7
l3.5
-2
32.4 90.5 3l.2 36.0 -0.70 7.6
8osnla and
Herzegovlna 5.6 8 095 29.0
-l
- 24.4 73.6 36.8 57.8 -0.52 5.7
Croatla 4.3 l7 663 8.4 30.6
-l
27.6 92.2 4l.9 64.9 0.03 6.9
Pep. of Moldova 6.l 2 979 4.0 l8.7
-l
34.l l32.3 40.7 36.5 -0.66 ll.7
Serbla 5.2 l0 544 l3.6 26.2 20.4 82.l 29.7 38.4 -0.57 6.0
Montenegro 6.4 l3 385 30.3
-3
l9.2
-3
27.7 ll5.0 40.3 80.4 - l9.2
Pomanla 6.8 l3 449 5.8 3l.4 3l.l 70.3 29.9 38.5 -0.l7 6.9
Slovenla 4.6 27 866 4.4 34.2
-l
27.5
-l
l4l.6 70.2
-l
85.6 0.84 3.5
8ulgarla 6.l ll 792 5.7 35.5
-l
33.4 l43.7 60.5 74.5 -0.l4 l8.4
Greece 4.l 29 356 7.7 l6.4 l9.3 55.0 23.l 93.5 0.65 l.5
PP Macedonla 4.3 9 337 33.8 3l.3
-l
23.9 l3l.l 52.6 43.8 -0.47 6.3
n data refer to n years before reference year
`Pule of law measures the extent to whlch a populatlon has confldence ln, and abldes by the rules of, soclety. |t lncludes the lncldence of vlolent and
non-vlolent crlme, the effectlveness and predlctablllty of the [udlclary and the enforceablllty of contracts.
5outce: world 8ank, Knowledge for Development, KAM database, 1uly 20l0
ScJt|o.st |J.cpo
l85
|| ||||
R&D expenditure
Throughout the reglon, the decllne or, at best, stablllzatlon
of employment ln P&D has been accompanled by elther
stagnatlon or a drop ln the share of GDP lnvested ln P&D.
Only Slovenla and Pomanla have managed to lnverse
the trend. Serbla, meanwhlle, ls trylng to make up lost
ground (Plgure 2).
Dlfferences ln gross domestlc expendlture on P&D (GLPD)
are much greater when populatlon slze ls taken lnto
account (Plgure 3). Por example, Slovenlan lnvestment per
caplta ln P&D ls 2.5 tlmes that of Greece and 2l tlmes that
of the Pormer ugoslav Pepubllc of Macedonla.
Sectoral structures of P&D fundlng and performance dlffer
slgnlflcantly from employment structures, largely due to
the lower capltal lntenslty of P&D ln hlgher educatlon
when compared to the buslness sector (Plgures 4 and 5).
Thls explalns the relatlvely hlgher share of GLPD spent ln
the buslness enterprlse sector, the much lower share of
the hlgher educatlon sector and the relatlvely slmllar
posltlon of the government sector.
The maln source of P&D fundlng ln the sub-reglon ls the
government (8ulgarla, Croatla, Pomanla and Serbla) or a
comblnatlon of government and forelgn sources (Greece).
Only ln Slovenla ls the buslness enterprlse sector the
domlnant funder and performer of P&D, whlch ls to be
expected, glven the relatlvely strong role of lnnovatlon
and knowledge ln Slovene growth. On the whole, the
buslness sector en[oys llmlted support from government
ln most countrles, as evldenced by the relatlve slmllarlty of
lts shares ln P&D fundlng and ln performance. Only ln
Pomanla ls the buslness sector heavlly flnanced by
government, where buslness accounts for 48.5% of P&D
performed but only 30.4% of P&D fundlng. The hlgher
educatlon sectors ln all Southeast Luropean countrles are
also largely government-funded. wlth LU accesslon, the
shares of forelgn fundlng (prlmarlly from the LU) are llkely
to lncrease ln both Pomanla and 8ulgarla.
The above structural features lndlcate a relatlvely slow
transformatlon of P&D towards enterprlse-based P&D
systems. et, durlng the transltlon perlod and untll
recently, the trend was towards a stronger hlgher
educatlon sector. wlth contlnulng recovery and economlc
growth, we can expect the buslness enterprlse sector to
take on added lmportance.
Severe brain drain
As a consequence of poor demand for P&D, Albanla,
8osnla and Herzegovlna, 8ulgarla, Moldova, Montenegro,
Pomanla, Serbla and the Pormer ugoslav Pepubllc of
Macedonla all suffer from severe braln draln. An
assessment of the severlty of thls affllctlon ranks these
countrles at between l09
th
and l2l
st
out of the
l25 countrles studled (wLP, 2007).
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
Figure 1: Drlvers of growth: ranklng of Southeast
Luropean economles, 20l0
Innovation-driven
stage
Transition stage
Eciency-driven
stage
Factor-driven stage
Note: The Global Competltlveness |ndex ranks countrles accordlng
to three types of attrlbute. '8aslc requlrements' encompass
lnstltutlons, lnfrastructure, macro-economlc stablllty, health and
prlmary educatlon. 'Lfflclency enhancers' lnclude hlgher educatlon
and tralnlng, labour efflclency, flnanclal market sophlstlcatlon,
market slze and technologlcal readlness. '|nnovatlon and
sophlstlcatlon' factors lnclude buslness sophlstlcatlon and
lnnovatlon.
5outce: wLP (20l0) Cloool Comet|t|veness keott 2010/2011:
www.gcr.weforum.org
|||SO S|||| |||O| 2010
Growing demand for education
|n parallel, there ls a growlng demand for educatlon,
whlch ls percelved as belng the best way to avold
unemployment or lncrease one's chances of emlgratlng.
Strong economlc growth slnce 2000 has created more
employment opportunltles for the hlghly skllled. Thls has
swollen the number of tertlary graduates at bachelor level
ln all but 8ulgarla. One of the posltlve legacles of soclallsm
ls the hlgh quallty of mathematlcs and sclence teachlng ln
schools, as evldenced by assessments ln Croatla, Pomanla,
Serbla and Montenegro (wLP, 2008).
l86
|n Pomanla, Serbla and the Pormer ugoslav Pepubllc of
Macedonla, there has been a huge expanslon ln the
number of undergraduates. Thelr number lncreased by
between 95% and 287% over 2002-2008. There has also
been a stark lncrease ln the number of master's degrees
and PhDs awarded ln the reglon (Plgure 6).
Decllnlng or stagnant numbers of researchers ln Croatla,
Moldova, Pomanla and the Pormer ugoslav Pepubllc of
Macedonla suggest a shrlnklng demand for P&D. Desplte
economlc growth, the P&D systems of these countrles
have actually downslzed, whlle others have remalned
stable or progressed (Plgure 7).
Systemic change in R&D
A decreaslng demand for P&D accompanled by a growlng
number of tertlary graduates suggests that Southeast
Luropean economles are faclng slgnlflcant structural changes
ln terms of the demand for knowledge. Once very focused on
P&D, demand for knowledge ls becomlng non-P&D-based.
|n addltlon, formerly extramural-based P&D systems are
experlenclng dlfflcultles ln ad[ustlng to an enterprlse-based
P&D system. As ln other countrles at a slmllar level of
development, P&D systems ln the sub-reglon are elther
domlnated by the government sector or by the hlgher
educatlon sector (Plgure 8).
Slovenla ls the only country where prlvate lndustry ls the
blggest employer. |n Slovenla, thls reflects the country's
Figure 2: GLPD/GDP ratlo ln Southeast Lurope, 2000-2008 (%)
Slovenia
Montenegro
FYR Macedonia
Serbia
Greece
Bulgaria
Bosnia and
Herzegovina
Moldova
Romania
Croatia
R
&
D

a
s

a

p
e
r
c
e
n
t
a
g
e

o
f

G
D
P
0.0
0.5
l.0
l.5
2.0
2000 200l 2002 2003 2004 2005 2006 2007 2008
l.66
l.39
l.07
0.93
0.60
0.52
0.44
0.37
0.80
0.32
0.02
l.l0
0.57
0.55
0.35
0.2l
0.03
0.90
0.59
0.49
5outce: UNLSCO |nstltute for Statlstlcs database, August 20l0
Figure 3: GLPD per caplta ln Southeast Lurope, 2007
S
l
o
v
e
n
i
a
G
r
e
e
c
e
C
r
o
a
t
i
a
+
1
M
o
n
t
e
n
e
g
r
o
P
o
m
a
n
i
a
8
u
l
g
a
r
i
a
+
1
S
e
r
b
i
a
P
P

M
a
c
e
d
o
n
i
a
M
o
l
d
o
v
a
8
o
s
n
i
a

a
n
d

H
e
r
z
e
g
o
v
i
n
a
0
100
200
300
400
500
U
S
$

P
P
P
4
6
4
.
5
1
6
2
.
1
1
5
9
.
1
1
2
9
.
6
8
0
.
1
5
2
.
8
+
1
3
3
.
3
1
6
.
1
1
4
.
8
1
.
9
+n data refer to n years after reference year
Southeast Europe
187
high level of development and the increasing role of
knowledge in ensuring the competitiveness of industry.
It is also the case in Romania but this was much more a
reflection of the unrestructured network of former
industrial institutes that still operate under state
ownership to the detriment of the development of in-
house R&D.
Countries in Southeast Europe do, however, have some
trends in common. Between 2001 and 2006, there was a
relative rise in employment in the higher education sector
in all but Slovenia and a drop in employment in the
government sector in all but Romania.
The shift towards higher education is symptomatic both
of the neglect of university R&D in the past and of better
financial opportunities for universities, enabling them to
combine R&D and teaching.
Growth in employment in the private sector has been
observed in all but Croatia, Serbia and Romania but
remains modest in all but Greece and Slovenia.
R&D OUTPUT
Publications and patents
The current performance of R&D in Southeast Europe
is strongly linked to investment per capita and to the
overall level of development. Trade in licenses is a useful
indicator for measuring performance, in that it not only
shows the degree to which countries are involved in
exchanging knowledge but also relates to both the size
of R&D systems and to the technological level of industry.
Slovenia, Croatia and Greece are far more involved in this
type of exchange than their neighbours (Table 2). These
three countries are also the biggest contributors in the
region to world S&T in terms of three important
indicators: the number of papers published per capita,
the number of US patents obtained per capita and the
amount received per capita in royalty payments and
receipts. In this context, universityindustry linkages are
the most developed in Slovenia and Croatia. That this is
not the case in Greece is largely due to the low
technological level of Greeces industry.
S
o
u
t
h
e
a
s
t

E
u
r
o
p
e
Figure 4: GERD in Southeast Europe by perfoming
sector, 2008 (%)
Government Businesss
enterprise
Higher
education
Private
non-prot
Non-
specied
B
o
s
n
i
a

a
n
d

H
e
r
z
e
g
o
v
i
n
a
g
B
u
l
g
a
r
i
a
C
r
o
a
t
i
a
-
1
e
G
r
e
e
c
e
-
1
M
o
n
t
e
n
e
g
r
o
-
1
M
o
l
d
o
v
a
-
1
R
o
m
a
n
i
a
S
e
r
b
i
a
-
1
F
Y
R

M
a
c
e
d
o
n
i
a
-
2
0
20
40
60
80
100
68.7
17.6
1.1
12.6
58.3
31.0
9.6
1.0 0.1
25.2
44.3
30.3
50.4
14.9
5.2
80.0
73.4
15.5
11.1
28.9
43.3 39.8
47.9
12.3
54.2
2.5
41.0
30.0
21.4
26.9
1.3 0.2
-n = data refer to n years before reference year
g = underestimated or partial data e = estimation
Source: UNESCO Institute for Statistics database, August 2010
Figure 5: GERD in Southeast Europe by source of
funds, 2008 (%)
Selected countries
B
u
l
g
a
r
i
a
-
1
C
r
o
a
t
i
a
G
r
e
e
c
e
-
3
R
o
m
a
n
i
a
S
l
o
v
e
n
i
a
F
Y
R

M
a
c
e
d
o
n
i
a
-
2
Government Businesss
enterprise
Higher
education
Private
non-prot
Abroad
0
20
40
60
80
100
7.6
0.5
1.0
7.9
0.2
1.9
19.0 4.0
2.6
5.6
0.3
56.7
49.3
46.8
1.7
1.5
70.1
31.3
47.9
39.8
12.3
34.2
40.8
31.1
23.3
62.8
Source: UNESCO Institute for Statistics database, August 2010
Southeast Europe [1] [Ed2] :Layout 1 25/11/10 11:07 Page 187
|||SO S|||| |||O| 2010
Publlshed sclentlflc papers are not only a key output of a
country's sclence system, they also lndlcate the degree to
whlch the country ls lntegrated ln the lnternatlonal
sclentlflc communlty. |n thls respect, Greece stands out ln
the reglon ln terms of the overall number of publlshed
sclentlflc artlcles, wlth three to four tlmes as many as any
other country ln the sub-reglon (Table 3). That sald, the
most developed sclence system ln the sub-reglon ls that
of Slovenla, as evldenced by the number of sclentlflc
papers publlshed per caplta (Plgure 9). 8ulgarla, Croatla,
Pomanla and Serbla are all lntermedlate countrles.
As for Albanla, Moldova, Montenegro and the Pormer
ugoslav Pepubllc of Macedonla, they all have relatlvely
undeveloped sclence systems.
Sclence ln Southeast Lurope ls domlnated by four broad
dlsclpllnes: physlcs, englneerlng/technology, chemlstry
and cllnlcal medlclne (Plgure l0). |n all but Albanla, these
four areas account for from 56% (Croatla) to 89%
(Moldova) of all sclentlflc publlcatlons. There was no
slgnlflcant evolutlon ln the relatlve speclallzatlon of
publlshed sclentlflc texts between 2002 and 2008,
accordlng to Sclence Cltatlon |ndex data.
l88
O|||+ ||O||||S
As we have seen above, the comblnatlon of weak demand
for local P&D and lnnovatlon, on the one hand, and poor
support systems for sclence and lnnovatlon, on the other,
are the blggest bottlenecks to more effectlvely harnesslng
S&T to soclo-economlc growth ln Southeast Lurope.
Constralnts on the demand slde are further relnforced by
constralnts on supply, embodled by perslstently strong
external and lnternal braln draln coupled wlth an agelng
pool of researchers. Thls portralt applles malnly to those
countrles ln the western 8alkans
l
and to Moldova - the
very same countrles that are yet to become LU members
and whlch face uncertaln prospects for future LU
membershlp.
whereas the LU members from Southeast Lurope share
thelr nelghbours' weakness on the demand slde, they are
generally ln a much better posltlon when lt comes to thelr
support systems for sclence and lnnovatlon (Slovenla and
Greece) and the opportunltles at thelr door for greater P&D
fundlng and better S&T governance (Pomanla and 8ulgarla).
Figure 6: Growth ln numbers of tertlary graduates ln Southeast Lurope, 2002-2008 (%)
0 50 100 150 200 250 300
Slovenia
FYR Macedonia
Serbia
Romania
Rep. of Moldova
Greece
Croatia
Bulgaria
ISCED 6 (Postgraduate)
ISCED 5A (Undergraduate)
Percentage change
12 7.2
56.1
93.7
79.3
111.1
34.4
54.3
57.8
22.1
287.0
36.5
94.8
27.4
16.5
70.6
209.5
Note: Por Greece, the perlod covered for undergraduates ls 2002-2007, for Pomanla, lt ls 2004-2008 for graduates.
ScJt|o.st |J.cpo
l89
A revlew of changes ln lndlvldual countrles reveals
yawnlng dlfferences ln the degree of development and
pace of restructurlng of P&D systems, not to mentlon S&T
governance (Nechlfor and Padosevlc, 2007). The P&D
systems of Albanla, Montenegro and 8osnla and
Herzegovlna - and to some extent the Pormer ugoslav
Pepubllc of Macedonla - are the most dlsadvantaged.
These countrles are stlll strlvlng to establlsh functlonlng
P&D systems and are prlmarlly addresslng lssues of
sclence pollcy. Moldova ls a speclflc case of a post-Sovlet
P&D system that has not reformed substantlally.
8ulgarla, Croatla and Pomanla have P&D systems at slmllar
levels of development. |n these three countrles, there ls a
vlslble attempt to shlft the focus from a narrow sclence
pollcy to an lnnovatlon pollcy, or to lntegrate sclence lnto
lnnovatlon pollcy.
As new LU members, Pomanla and 8ulgarla have begun
lnstlgatlng vlgorous changes that lnclude lntroduclng
new sources of fundlng and lnternatlonallzlng P&D.
Thls should result ln a substantlal reform of thelr P&D
systems ln the medlum term.
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
Figure 7: Growth ln researchers (PTL) ln Southeast
Lurope, 2002 and 2008 (%)
2008 2000
Number of researchers
(thousands)
B
o
s
n
i
a

a
n
d

H
e
r
z
e
g
o
v
i
n
a
B
u
l
g
a
r
i
a
C
r
o
a
t
i
a
M
o
l
d
o
v
a
R
o
m
a
n
i
a
S
e
r
b
i
a
S
l
o
v
e
n
i
a
F
Y
R

M
a
c
e
d
o
n
i
a
G
r
e
e
c
e
0
5
l0
l5
20
25
+
2
2
1
.
6
%
+
2
3
.
4
%
-
2
1
.
9
%
-
5
.
3
%
-
4
.
4
%
+
5
1
.
5
%
-
8
.
8
%
+
4
4
.
9
%
Note: Por 8osnla and Herzegovlna and Pomanla, the perlod covered
ls 2003-2007, for PP Macedonla 2002-2006 and for Greece
200l-2007.
Figure 8: Pesearchers (PTL) ln Southeast Lurope by sector of employment, 2008 (%)
l. The western 8alkans encompass Albanla, 8osnla and Herzegovlna,
Croatla, Pormer ugoslav Pepubllc of Macedonla, Montenegro and Serbla.
Business enterprise Government Higher education Private non-prot
35.3
0.4
32.5
3l.8
Romania
l0.8
l4.2
75.0
Moldova
-1
33.2
0.7
l3.l
53.0
Bulgaria
0.2 l.2
25.4
73.l
Serbia
-1
25.5
0.3
43.5
30.7
Slovenia
5.5
43.5
5l.0
FYR of
Macedonia
-2
59.5
0.7
29.3
l0.6
Greece
-1
55.3
0.l
l6.4
28.2
Croatia
|||SO S|||| |||O| 2010
|n vlew of lts P&D capacltles, Serbla should also be ln thls
group. However, owlng to lts lnternatlonal lsolatlon ln the
l990s, accompanled by a dlre economlc sltuatlon, Serbla
ls tralllng behlnd ln terms of change, especlally when lt
comes to gearlng lts sclence system towards lnnovatlon.
Although the structure of lndustry dlffers greatly ln
Slovenla and Greece, both of these countrles have well-
establlshed frameworks for sclence and lnnovatlon
governance. we shall begln wlth them ln the followlng
country analyses before movlng on to the two other
LU member states then the countrles of the former
ugoslavla, before concludlng wlth Albanla and Moldova.
Slovenia
The Slovenlan P&D system managed to elude a post-
soclallst crlsls ln the l990s. Slnce [olnlng the LU, Slovenla's
research system has been developlng well. 8uslness sector
lnvestment ln P&D ls growlng, even as publlc expendlture
remalns stable as a percentage of GDP. |n terms of
sclentlflc output, lndlcators such as publlshlng and
cltatlon rates for sclentlflc artlcles and the lmpact factor all
show a strong progresslon, whlle the overall system
contlnues to lnternatlonallze. |n parallel, the lncluslon of
varlous measures supportlng P&D and lnnovatlon ln the
LU's structural asslstance programmes wlthln the LU's
l90
Seventh Pramework Programme for Pesearch and
Technologlcal Development (PP7, 2007-20l3) ls provldlng
the necessary stablllty for publlc lnvestment ln P&D (see
oe l72).
The government has used LU funds to lmplement two
operatlonal programmes. The flrst ls Slovenla's
Operatlonal Programme for Strengthenlng Peglonal
Development Potentlal. Thls focuses on lmprovlng the
competltlveness of the country's enterprlses and lts
research excellence, and promotlng entrepreneurshlp and
lnfrastructure for economlc development, wlth a total
lnvestment of -558.7l mllllon. The second ls the
Operatlonal Programme for the Development of Human
Pesources. Thls programme beneflts from a fund of
-39.54 mllllon to foster entrepreneurshlp among experts
and researchers and to promote thelr adaptablllty to the
world of corporate competltlveness. These two
operatlonal programmes complement the Programme of
Measures and provlde the basls for effectlve
lmplementatlon of a natlonal pollcy to encourage
entrepreneurshlp and competltlveness, as well as the
efflclent use of resources from structural funds.
Although buslness P&D ls developlng relatlvely well,
llnkages wlth the publlc sector remaln weak. |n 2006, for
example, only l0.l% of publlc P&D funds went to the
buslness sector, a decllne of approxlmately 20% slnce the
turn of the century. Thls trend suggests that demand for
buslness knowledge ls best met by the buslness sector's
own P&D capacltles and that publlc research should keep
to lts own areas of lnterest (LPAwATCH, 2008).
Measures deslgned to stlmulate prlvate lnvestment ln
P&D lnclude a corporate lncome tax subsldy, varlous
means of co-flnanclng P&D pro[ects, subsldlzed loans for
P&D lnvestment, co-flnanclng of the servlces that
technology parks offer the buslness sector, development
of buslness lncubators and moblllty schemes, and support
for technology centres and platforms. One pollcy measure
to lmprove the quallty of research ls the establlshment of
centres of excellence. The government has supported the
establlshment of l0 such centres, provldlng a new form of
co-operatlon between buslness and publlc research.
Greece
The Greek sclence system operates ln an economlc
envlronment wlth llmlted demand for P&D, due to an
lndustrlal structure domlnated by tradltlonal buslness
Table 2: P&D output ln Southeast Lurope, 2006
ln tetms ol otents, uol|cot|ons onJ toyolty oyments
University Patents granted
Total royalty company by USPTO
payments and research (per million
receipts collaboration population)
(US$ per capita) (scale of 17) annual average
2006 2007 20022006
Albanla 2.39 l.7 0
8ulgarla l0.38 2.7 0.74
8osnla and
Herzegovlna - 2.4 0.l0
Croatla 50.02 3.6 2.45
Greece 42.53 2.9 l.87
PP Macedonla 6.64 2.9 0.l0
Moldova l.48 2.3 0.33
Pomanla l0.22 2.7 0.34
Serbla - 3.l -
Slovenla 85.62 3.8 9.40
5outce: world 8ank, Knowledge for Development, KAM database,
http://go.worldbank.org/1GAO5XL940, March 2009
ScJt|o.st |J.cpo
l9l
actlvltles and small and medlum-slzed enterprlses.
Lven though Greece has developed an P&D-orlented
lnnovatlon pollcy, the non-P&D-lntenslve structure of lts
lndustry ls llmltlng the pollcy's lmpact on the economy
and employment (PPO-|nno Trendchart, 2007).
8uslness P&D ls not only stagnant but also negllglble,
desplte perslstent efforts to reorlent flrms towards P&D and
other knowledge-lntenslve actlvltles. Most of these efforts
have been undertaken wlthln the LU's structural asslstance
programme for competltlveness and entrepreneurshlp, and
the flve reglonal programmes coverlng the l3 reglons of
Greece. Thematlc prlorltles lnclude lnformatlon and
communlcatlon technologles (|CTs), agrlculture, flsherles,
food sclence and blotechnology.
Greece has set ltself a target of devotlng l.5% of GDP to
GLPD by 20l5. Thls ls ambltlous, glven that Greece's
GLPD/GDP ratlo has been a steady 0.6% slnce the turn of
the century. The LU contrlbutlon to thls effort amounts to
-l 29l mllllon. Nearly half of these LU funds (46.5%) are
channelled lnto areas related to lnnovatlon: lnnovatlve
lnvestments, P&D actlvltles and lnfrastructure, the provlslon
of advanced servlces to flrms and entrepreneurshlp, and
strengthenlng llnkages between P&D unlts and small and
medlum-slzed enterprlses. However, faced wlth llmlted
local demand, P&D-lntenslve flrms have reorlented
themselves towards LU fundlng or forelgn markets.
|n parallel, the educatlon system ln Greece remalns
unreformed and slow to meet new demands, desplte
havlng expanded conslderably. Thls ls because any form of
evaluatlon of the educatlon system or accountablllty was
re[ected for many years. wlthout feedback from the labour
market, teachlng methods and currlcula have remalned
based on centrally selected manuals. There ls an ongolng
debate about posslble reforms, malnly ln unlversltles. A
reform law re-regulatlng admlnlstratlve lssues has begun a
very slow and controverslal process of lmplementatlon.
Romania
The Pomanlan P&D system has emerged from lts own
'transltlon crlsls' and ls now recoverlng, especlally slnce
Pomanla galned LU membershlp ln 2007 (see oe l72).
There has been some growth ln publlc P&D expendlture,
up from 0.37% ln 2000 to 0.46% ln 2006, as part of the
government's commltment to meetlng the 3% target of
the Llsbon Strategy (8ox l).
The need to converge towards LU norms and practlces
has strongly lnfluenced sclence and lnnovatlon pollcy ln
Pomanla. The declslon-maklng system has been
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
Table 3: Sclentlflc publlcatlons ln Southeast Lurope,
2002 and 2008
2002 2008 change (%)
Albanla 35 52 48.6
8osnla and
Herzegovlna 35 287 720.0
8ulgarla l 528 2 227 45.7
Croatla l 254 2 348 87.2
Greece 5 588 9 296 66.4
PP Macedonla l04 l97 89.4
Moldova l60 223 39.4
Montenegro - 93 -
Pomanla 2 l27 4 975 l33.9
Serbla` l 003 2 729 l72.l
Slovenla l 609 2 766 7l.9
` Serbla lncludes Montenegro for 2002.
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, (Sclence Cltatlon
|ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre des
Figure 9: Sclentlflc papers per mllllon populatlon ln
Southeast Lurope, 2008
0 300 600 900 1 200 1 500
Moldova (61)
Per million population
Albania
Bosnia and Herzegovina
Romania
Bulgaria
Serbia
Croatia
Greece
Slovenia
(17)
Montenegro (149)
(76)
FYR Macedonia (97)
(231)
(292)
(371)
(530)
(827)
(1368)
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence. (Sclence
Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan
Observatolre des sclences et des technologles. Populatlon data
from Lurostat and world 8ank, March 2009
|||SO S|||| |||O| 2010
decentrallzed, fundlng systems have dlverslfled and
become more flexlble, there has been a gradual lncrease
ln domestlc competltlon-based fundlng, and the country's
flrst Not|onol k80 onJ lnnovot|on Plon has rewarded and
asslsted outstandlng P&D groups.
Pomanla's second Not|onol k80 onJ lnnovot|on Plon
(2007-20l3) contalns strong provlslons for lnvestment ln
research, hlghly conslstent wlth the prlorltles of the LU
Seventh Pramework Programme. The prlorltles of the Plon
reflect the results of the flrst Pomanlan foreslght exerclse
ln S&T. As part of thls exerclse, a broad Delphl survey was
employed ln whlch over 3500 experts ldentlfled ln the flrst
phase of the pro[ect were consulted ln two rounds. As a
result of the survey, nlne prlorlty domalns were ldentlfled
l92
as havlng substantlal potentlal for soclo-economlc
progress and the second plan was bullt around them.
These nlne prlorlty domalns are: |CTs, energy,
envlronment, agrlculture, food safety and securlty,
blotechnologles, lnnovatlve materlals, processes and
products, space and securlty, and soclo-economlc and
humanlstlc systems. Lach of the nlne domalns comprlses
several prlorlty themes.
wlthln the framework of the second plan, competltlve
blddlng for flve of the slx programmes was organlzed ln
2007 and 2008. A better utlllzatlon of resources ls expected
ln the years to come, through support for research
programmes dlrected more towards satlsfylng demand
from the publlc and prlvate sectors. Strlcter norms have
Figure 10: Publlcatlons ln Southeast Lurope by ma[or fleld of sclence, 2008 (%)
Physics
Mathematics
Earth and space
Clinical medicine
Biomedical
research
Chemistry
Biology
Engineering
and technology
A
l
b
a
n
i
a
B
o
s
n
i
a

a
n
d

H
e
r
z
e
g
o
v
i
n
a
B
u
l
g
a
r
i
a
C
r
o
a
t
i
a
G
r
e
e
c
e
F
Y
R

M
a
c
e
d
o
n
i
a

M
o
l
d
o
v
a
M
o
n
t
e
n
e
g
r
o
S
e
r
b
i
a
S
l
o
v
e
n
i
a
R
o
m
a
n
i
a
100
75
50
25
0
1.9
1.9
3.8
40.4
26.9
1.9
23.1
3.1
5.6
14.3
3.1
59.2
1.0
4.9
8.7
6.6
15.0
4.4
11.9
13.1
18.4
9.4
21.4
8.6
4.8
15.4
5.5
27.6
10.8
9.8
17.6
3.9
10.3
16.7
6.9
37.8
7.7
8.5
8.2
13.2
4.6
9.1
7.6
17.8
26.4
13.2
8.1
3.6
36.3
9.0
1.3
3.1
39.0
4.5
3.1
2.2
18.3
35.5
4.3
18.3
1.1
7.5
12.9
13.2
7.6
17.6
4.0
29.0
11.0
10.4
7.3
5.7
14.1
21.3
4.5
25.0
12.3
8.7
8.4
26.7
11.2
25.4
9.1
5.4
13.3
6.7
2.3
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre
des sclences et des technologles
ScJt|o.st |J.cpo
l93
also been lntroduced ln the second plan for evaluatlon and
quallty control durlng a pro[ect's llfe-cycle.
On the downslde, lnternatlonal co-operatlon ln P&D
remalns very weak ln Pomanla, a sltuatlon exacerbated by
the paltry demand for P&D from the buslness sector.
|nfrastructure for sclence-orlented lnnovatlon also remalns
underdeveloped but lt ls expected that, through LU-
support programmes, thls sltuatlon wlll turn around. The
beneflt of lmprovements to the publlc P&D system may be
llmlted unless buslness P&D expands and takes on new
orlentatlons. Accesslon to the LU has certalnly had a
posltlve lmpact on the moblllty of students. |n the long
term, thls should provlde Pomanla wlth more hlghly skllled
employees and lmprove the absorptlve capaclty of flrms.
Bulgaria
The 8ulgarlan research system bears slmllarltles to that of
Pomanla. Por one thlng, lt ls emerglng from a prolonged
perlod of downslzlng, restructurlng and meagre
lnvestment ln P&D. The country's LU accesslon has
promoted a large spectrum of lnstltutlonal changes
ln the governance of sclence and lnnovatlon.
The Natlonal |nnovatlon Pund wlthln the Mlnlstry of
Lconomy and Lnergy has become the prlmary publlc
flnanclal lnstrument for lmplementatlon of 8ulgarla's
Natlonal |nnovatlon Strategy. The Mlnlstry has also
approved the creatlon of several Centres of
Lntrepreneurshlp wlthln 8ulgarlan Technlcal Unlversltles.
An lmportant step towards developlng lnnovatlon ln
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
Figure 11: |nternet users per l00 populatlon ln Southeast Lurope, 200l and 2008
2008
A
l
b
a
n
i
a

M
o
l
d
o
v
a
R
o
m
a
n
i
a
S
e
r
b
i
a
B
o
s
n
i
a

a
n
d

H
e
r
z
e
g
o
v
i
n
a

B
u
l
g
a
r
i
a
F
Y
R

M
a
c
e
d
o
n
i
a
G
r
e
e
c
e
C
r
o
a
t
i
a
S
l
o
v
e
n
i
a
2001
0
20
40
60
23.86
0.33
34.66
1.20
34.86
7.61
50.60
11.56
43.50
10.94
23.39
1.49
29.00
4.54
33.54
55.86
30.18
41.54
3.47
5outce: Unlted Natlons Statlstlcal Dlvlslon, Mllllennlum Development Goals |ndlcators
|||SO S|||| |||O| 2010
8ulgarla ls the lmplementatlon of the Luropean PHAPL
pro[ect focuslng on the cluster approach and establlshlng
the cluster model.
Lach lndlvldual mlnlstry has a plan to shape and
lmplement sectoral research pollcles but there ls no
natlonal co-ordlnatlon body. As a result, synchronlzlng
sectoral pollcles and achlevlng synergy ls provlng
problematlc. Another weakness of the lnnovatlon system
ls the lack of well-developed publlc-prlvate partnershlps.
The government has recently lntroduced lncentlves for
prlvate flnanclng of P&D through the establlshment of the
Natlonal |nnovatlon Pund (N|P) and Natlonal Sclence Pund
(NSP). These funds lntroduce competltlve blddlng for up
to 50% of P&D pro[ect fundlng.
|n parallel, the state has commltted to lncreaslng publlc
spendlng on research and lnnovatlon: the annual NSP budget
for 2008 nearly quadrupled to roughly -32 mllllon over the
prevlous year. Although the share of the competltlve fundlng
provlded by the NSP and N|P remalns low, lt stlll allows funds
to be allocated to the best proposals. Other strong polnts are
that the NSP pro[ects are evaluated by lnternatlonal experts
and that, slnce 2007, 30% of grants can be used for addltlonal
remuneratlon of any young researchers who have
partlclpated ln the preparatlon of a pro[ect proposal.
|t should be noted, however, that these two funds would
need to be substantlally blgger to have an lmpact on P&D
and lnnovatlon. The government would be wlse to
reallocate part of the current lnstltutlonal fundlng to these
competltlve funds.
l94
Long-term research fundlng ls hlghly dependent on
Luropean fundlng, notably vla the LU structural funds (see
oe l73). LU membershlp ls also provldlng Pomanlan
researchers wlth greater access to knowledge. However,
llnks are stlll mlsslng between lnnovatlve Pomanlan
enterprlses and the bulk of the P&D system (Puslanov,
2007). The country's support system for sclence-orlented
lnnovatlon remalns undeveloped.
Croatia
The Croatlan P&D system ls strongly orlented towards
research ln the publlc sector. Thls helped to preserve and
malntaln the natlonal sclence base durlng the l990s but
also led to neglect of the prlvate sector. As a result, the
prlvate sector's technologlcal capacltles are weak,
generatlng a llmlted demand for local P&D. Support for
sclence-orlented lnnovatlon ls currently belng developed
through flve technology centres and the Croatlan |nstltute
of Technology (Svarc and 8eclc, 2007). Thls dynamlc wlll
most llkely be pursued, wlth expected accesslon to the LU
ln the next few years.
However, the scope of lnnovatlon pollcy ls conflned to
lnfrastructural support for the commerclallzatlon of
prlvate P&D results. There ls a need to broaden thls
framework and to foster co-operatlon between publlc
sclence and prlvate lndustry.
Serbia
Serbla made only cosmetlc changes to lts P&D system
durlng the l990s. The country's P&D system has
transformed ltself gradually by dlverslfylng sources of
lncome and actlvltles, by closlng P&D lnstltutlons and by
Box 1: The Llsbon Strategy's eluslve 3% target
\|or t|o |J.cpo.r cJrc|| not |r
||sbcr |r V..c| 2000, t|o |o.Js c|
St.to .rJ cvo.rnort .ss|roJ tc t|o
|| t|o cboct|vo c| boccn|r, by 2010,
t|o ncst ccnpot|t|vo .rJ Jyr.n|c
krc.|oJob.soJ occrcny |r t|o
.c.|J, c.p.b|o c| sJst.|r.b|o
occrcn|c .c.t| .|t| nc.o .rJ
botto. cbs .rJ .o.to. scc|.| cc|os|cr
(||sbcr |J.cpo.r cJrc||, 2000). .c
yo..s |.to. |r b..co|cr., t|oy ||xoJ .
|c.ovo., n.ry c|Jo. ||
nonbo.s ..o .|sc st.J||r tc .tt.|r
t|o o|Js|vo ||Jc..Jc. |r 2008, Jst t.c
|J.cpo.r ccJrt.|os oxcooJoJ t|o 3
t..ot S.oJor .rJ ||r|.rJ .rJ
t|o .vo..o |c. t|o 2nonbo.
|J.cpo.r |r|cr ..s 1.8.
Source: author
Por detalls of the sltuatlon ln the LU,
see page l66.
t..ot |c. o.c| ccJrt.y c| Jovct|r 3
c| || tc || by 2010. |t ..s
p.cpcsoJ t|.t t.ct||.Js c| t||s s|..o
(2 c| ||) ccno |.cn t|o p.|v.to
soctc.. |cr|| nonbo.s ..o rct
bcJrJ by t|oso .nb|t|cJs c.|s.
O| t|o |cJ. || nonbo.s |.cn
ScJt|o.st |J.cpo, cr|y S|cvor|.
st.rJs . c|.rco c| .c||ov|r t|o
||sbcr c.|s, p..t|cJ|..|y t|.t |c.
p.|v.tosoctc. |rvostnort |r ||.
ScJt|o.st |J.cpo
l95
reduclng rellance on domestlc P&D actlvltles. Thls 'sllent
transltlon' (Kutlaca, 2007) has been accompanled by
braln draln and an absence of mlddle-aged researchers.
Slnce 2003, Serbla has begun establlshlng a support
system for sclence-orlented lnnovatlon through
technology lncubators, lnnovatlon centres and sclence
and technology parks. The downslzed buslness sector
remalns ln crlsls, however, pendlng changes ln ownershlp
and larger lnflows of forelgn dlrect lnvestment. The
opportunlty for Serbla to partlclpate ln LU Pramework
Programmes for P&D wlll most llkely prove beneflclal for
the country's P&D system.
Former Yugoslav Republic of Macedonia
The Pormer ugoslav Pepubllc of Macedonla has begun
modernlzlng lts sclence system and ls ln the process of
preparlng a natlonal sclence pollcy. |n 2005, lt lnltlated
thls reform by lntroduclng a new system of pro[ect
evaluatlon. A year later, the government approved the
natlonal Programme for the Development of Sclentlflc
Pesearch Actlvltles for the perlod 2006-20l0, the flrst
offlclal programme adopted by the government relatlng
to developlng the country's P&D capacltles.
Bosnia and Herzegovina
More than a decade after the lnter-ethnlc war followlng
the break-up of ugoslavla, 8osnla and Herzegovlna has
not yet establlshed lts own P&D system. Current
lnvestment ln P&D ls estlmated to be between 0.05% and
0.l5% of GDP (Matlc, 2007, Papon and Pe[ovnlk, 2007).
The dlvlslon of polltlcal and admlnlstratlve responslbllltles
among the three levels of government
2
makes lt very
dlfflcult to deflne and lmplement country-level sclence
pollcy.
Por many years, the country remalned lsolated ln terms of
access to LU P&D fundlng and other co-operatlon
agreements. Thls was partly due to lts lnablllty to operate
as a slngle entlty ln lnternatlonal relatlons. Thls changed
on l 1anuary 2009 when 8osnla and Herzegovlna became
an 'assoclated country' wlth respect to the LU Seventh
Pramework Programe. Thls new status wlll, at last, enable
the country to access the lnternatlonal P&D communlty,
lt ls also an lmportant lncentlve to overcome lnternal
fragmentatlon.
Montenegro
Pour years after galnlng lndependence from Serbla ln May
2006, Montenegro ls ln the process of establlshlng lts own
sclence system and sclence pollcy. The country's S&T system
conslsts of the Montenegrln Academy of Sclences and Arts
(founded ln l973) and the Unlverslty of Montenegro
(founded ln l974). The unlverslty comprlses l4 facultles and
one college, wlth l 000 students, and lncoroprates four
sclentlflc research lnstltutes.
Albania
Publlc lnvestment ln P&D ls less than 0.l8% of GDP ln
Albanla and there ls llttle buslness P&D to speak of
(Sulstarova, 2007). 8raln draln strongly undermlnes the
re[uvenatlon of the country's P&D system.
Albanla lnltlated a reform ln 2005 by creatlng a slngle system
of sclentlflc research, concentrated ln unlversltles. |n 2007,
l4 of the lnstltutes attached to the Academy of Sclences
were subsumed lnto unlversltles.
Slnce 2008, the Albanlan government has lnltlated a range of
pollcy measures. |n 1une 2009, lt publlshed a Ctoss-cutt|n
5ttotey lot 5c|ence, 7echnoloy onJ lnnovot|on |n Aloon|o.
Thls ldentlfles flve 'strateglc goals' for the country to 20l5:
I to trlple publlc spendlng on research to 0.6% of GDP,
I to lncrease the share of GLPD from forelgn sources to 40%
of the total, lncludlng vla the LU's Pramework Programmes
for Pesearch and Technologlcal Development,
I to create four or flve Albanlan centres of excellence
ln sclence,
I to double the number of researchers through 'braln
galn' lncentlves llke a oung and Peturnlng Pesearchers
grant scheme and the tralnlng of new researchers,
lncludlng 500 PhDs: three new doctoral programmes
are to be establlshed ln Albanlan unlversltles,
I to lncrease lnnovatlon ln l00 companles through
lnvestment ln local P&D, or vla consortla wlth elther
academlc research lnstltutes or forelgn partners.
The Ctoss-cutt|n 5ttotey ls to be lmplemented ln synergy
wlth the Not|onol 5ttotey lot 0eveloment onJ lntetot|on
(2007-20l3) and other sectoral strategles, lncludlng
Albanla's l|het lJucot|on 5ttotey (2008).
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
2. |nherlted from the General Pramework Agreement for Peace ln 8osnla
and Herzegovlna, slgned ln l995
|||SO S|||| |||O| 2010
l96
Box 2: The venlce Process
S|rco 2001, t|o \or|co |.ccoss
|.s boor .obJ||J|r sc|ort|||c
cccpo..t|cr .ncr ScJt|o.st
|J.cpo.r ccJrt.|os. |o c.| |s tc
orccJ..o ccJrt.|os tc s|..o ||n|toJ
.oscJ.cos .rJ tc |o.| t|o sc..s c| .
Joc.Jo c| pc||t|c.| .rJ scc|c
occrcn|c tJ.nc||. |r p...||o|, t|o
p.ccoss sots cJt tc bJ||J sc|ort|||c
cccpo..t|cr bot.oor t|o sJb
.o|cr .rJ t|o .ost c| |J.cpo, |r c.Jo.
tc p.op..o ccJrt.|os |c. |rto..t|cr
|rtc t|o |J.cpo.r |oso..c| A.o..
|o p.ccoss ..s c|||c|.||y |.Jrc|oJ
.t t|o \or|co cr|o.orco c| |xpo.ts cr
|obJ||J|r Sc|ort|||c ccpo..t|cr |r
ScJt|o.sto.r |J.cpo, cr 242 V..c|
2001. Sovor ncrt|s |.to., t|o
.occnnorJ.t|crs .JcptoJ by t|o
ccr|o.orco not .|t| t|o Jr.r|ncJs
.pp.cv.| c| t|o n|r|sto.s .ospcrs|b|o
|c. sc|orco .rJ toc|rc|cy |.cn t|o
ccJrt.|os ccrco.roJ, .t . .cJrJt.b|o
c..r|.oJ JJ.|r |||SOs oro..|
cr|o.orco. A|sc .ttorJ|r t|o
.cJrJt.b|o .o.o rJno.cJs ccJrt.|os
|.cn t|o || .rJ sovo..| rcr
cvo.rnort.| c..r|..t|crs.
|o \or|co |.ccoss |s r.noJ .|to.
t|o |cst c|ty c| |||SOs |o|cr.|
bJ.o.J |c. Sc|orco .rJ J|tJ.o |r
|J.cpo (b||S|). S|rco 2002,
|||SOs \or|co c|||co |.s p.cv|JoJ
sc|orco pc||cy .Jv|co .rJ oxpo.t|so tc
ScJt|o.st |J.cpo.r ccJrt.|os, |r
c.Jo. tc ..|so ....oross c| t|o
|npc.t.rco c| |rvost|r |r S |c.
r.t|cr.| .rJ .o|cr.| Jovo|cpnort.
|r .JJ|t|cr tc .t|o.|r n|r|sto.s .rJ
ct|o. ||||ovo| Joc|s|crn.ko.s
tcot|o. cr |ssJos .o|.toJ tc S|
cvo.r.rco, b||S| |.s ccrt.|bJtoJ
tc t|o o|.bc..t|cr c| r.t|cr.| S|
st..to|os |r bcsr|. .rJ |o..ocv|r.
.rJ |r A|b.r|..
||r.rc|.| sJppc.t |.cn |||SOs
\or|co c|||co.
.|v.r|.oJ by t||s sJccoss stc.y,
t|o \or|co c|||co |.s cro cr tc
sJppc.t t|o c.o.t|cr c| . |Jn.r
orot|cs .rJ b|ctoc|rc|cy |ot.c.k,
.||c| not |c. t|o ||.st t|no |r V..c|
2006 .t t|o |oso..c| ort.o |c.
orot|c |r|roo.|r .rJ
b|ctoc|rc|cy |r Skcpo (bJ|..|.).
|o \or|co c|||co .|sc spo..
|o.JoJ t|o ost.b||s|nort, |r 200,
c| . sJb.o|cr.| rot.c.k |c. ||sk
Assossnort .rJ V|t|.t|cr,
ccc.J|r.toJ by t|o |rst|tJto c|
ocJyr.n|cs |r At|ors .rJ . sJb
.o|cr.| V.t|on.t|c.| .rJ |oc.ot|c.|
||ys|cs |ot.c.k, |cstoJ by t|o
|.cJ|ty c| Sc|orco .rJ V.t|on.t|cs .t
t|o |r|vo.s|ty c| ||s |r So.b|..
The GRID computing project
|||SOs ||| p.coct |s spcrsc.oJ
by t|o |o.|ott |.ck..J ccnp.ry.
S|rco 2004, |t |.s |o|poJ tc ccnb.t
b..|r J..|r .rJ |.c|||t.to rot.c.k|r
by Jcr.t|r ||| ccnpJt|r
toc|rc|cy tc sovor Jr|vo.s|t|os |r
ScJt|o.st |J.cpo. ||s |.s or.b|oJ
stJJorts tc cc||.bc..to cr .oso..c|
p.cocts .|t| t|o|. poo.s .c.|J.|Jo
.|t|cJt |.v|r tc |o.vo t|o|. |cno
|rst|tJt|cr. SooJ ncroy p.cv|JoJ by
t|o p.coct |.s .|sc |vor stJJorts
t|o cppc.tJr|ty tc p..t|c|p.to |r
s|c.t oxc|.ros .|t| Jr|vo.s|t|os
.b.c.J.
Source: UNLSCO
Vc.ocvo., t|o \or|co c|||co |.s
p.cv|JoJ ||r.rc|.| sJppc.t .rJ
c..r|.oJ p.c..nnos tc orccJ..o
.o|cr.| rot.c.k|r |r |||o sc|orcos,
orv|.crnort.| sc|orcos .rJ
.st.crcny .s . no.rs c| t.ck||r
b..|r J..|r, sJppc.t|r ccnnJr|
c.t|cr so.v|cos .rJ st.ort|or|r
sc|ort|||c cccpo..t|cr .s . tcc| |c.
.occrc|||.t|cr .rJ J|.|cJo.
Four new Southeast European
networks
|r 2003, |.c|. A|ox.rJo. bcksorbo.
c| .nb.|Jo |r|vo.s|ty (||)
JrJo.tcck .r oxpo.t n|ss|cr tc t|o
n.|r cort.os c| .st.crcny |r t|o
.o|cr cr bo|.|| c| |||SO. ||s
.osJ|toJ |r . p.c..nno ort|t|oJ
|r|.rc|r Ast.crcn|c.| |oso..c|
.rJ Obso.v.t|cr |r ScJt|o.st |J.cpo
.rJ |k..|ro, .|t| ||r.rc|.| sJppc.t
|.cn t|o |t.||.r cvo.rnort. \|t||r
t||s p.c..nno, t|o ncst |npc.t.rt
to|osccpo |r ScJt|o.st |J.cpo ..s
Jp..JoJ .|t| ||r.rc|.| sJppc.t |.cn
b||S|. cJ.y, t|o Ast.crcn|c.|
Obso.v.tc.y c| |c.|or |r bJ|..|.
.||c| |csts t|o to|osccpo |.s
boccno . n.c. .oso..c| |.c|||ty
s|..oJ by .oso..c|o.s t|.cJ|cJt t|o
sJb.o|cr.
A ScJt|o.st |J.cpo.r
Ast.crcn|c.| |oso..c| |ot.c.k |.s
.|sc boor c.o.toJ .|t| st.tJtos
J..|toJ by |ts nonbo.s. |o rot.c.k
|.s s|rco ost.b||s|oJ . ccc.J|r.t|cr
noc|.r|sn |c. .st.crcn|c.| .oso..c|,
t|o SJb.o|cr.| |J.cpo.r
Ast.crcn|c.| cnn|ttoo, .||c| |.s
. .ct.t|r p.os|Jorcy .rJ soc.ot..|.t.
A |..o rJnbo. c| .st.crcn|c.|
ovorts |r t|o .o|cr |.vo boor
c..r|.oJ .|t||r t||s |..no.c.k,
scno c| .||c| |.vo boro||toJ |.cn
ScJt|o.st |J.cpo
l97
Slnce 2000, UNLSCO has been leadlng lnltlatlves to
lmprove co-operatlon ln the reglon, wlthln what has come
to be known as the venlce Process (8ox 2). Thls pro cess
has slnce been followed by varlous LU lnltlatlves such as
the Southeast Luropean LPA-NLT, a horlzontal network
that alms to structure and expand the Luropean Pesearch
Area to the western 8alkan countrles. Strengthenlng the
relatlonshlp between the LU and the western 8alkan
countrles, lncludlng Moldova, ls the most effectlve way to
overcome thelr lsolatlon and glve them greater access to
lnternatlonal P&D networks.
|n addltlon, lnternatlonal co-operatlon may further
lmprove wlth the lntegratlon slnce 2007 of the western
8alkan countrles lnto the LU Seventh Pramework
Programme for Pesearch and Technologlcal Development
(PP7). The PP7 ls now the slngle blggest source of forelgn
P&D fundlng for western 8alkan countrles and represents
a ma[or opportunlty for them to lntroduce the notlon of
excellence lnto evaluatlon crlterla.
8eyond Lurope, the ma[or partner for lndlvldual countrles ln
Southeast Lurope ls the USA, through bllateral co-operatlon.
There ls of course also conslderable scope for lntra-reglonal
bllateral co-operatlon, one of the goals of the venlce Process.
Thls bllateral co-operatlon wlthln Southeast Lurope should
lnclude not only bllateral pro[ects but also fellowshlps,
lnformatlon servlces and [olnt refereelng systems.
Box 3: Measurlng lmplementatlon of the 5c|ence AenJo
\|o.o Jcos ScJt|o.st |J.cpo st.rJ
|r .o|.t|cr tc t|o Science Agenda, t|o
JccJnort .JcptoJ by cvo.rnorts
cr 1 'J|y 1999 .t t|o \c.|J
cr|o.orco cr Sc|orco c..r|.oJ by
|||SO .rJ t|o |rto.r.t|cr.|
cJrc|| |c. Sc|orco`
Oro c| t|o Science Agendas
90 .occnnorJ.t|crs ..s |c.
ccJrt.|os tc Jovcto . .o.to. s|..o c|
|| tc ||. |r ncst c| ScJt|o.st
|J.cpo, t|o.o |s t|o pc||t|c.| .||| tc Jc
Jst t||s. |r t|o |cJ. || nonbo. st.tos
|.cn t|o .o|cr, . ..ro c| no.sJ.os
|.vo boor t.kor .||c| pc|rt |r t|o
.||t J|.oct|cr. Ancr t|o t|.oo
ncst .ocort || nonbo.s bJ|..|.,
.rJ |rJJst.y, .rJ bot.oor ccJrt.|os,
.s .o|| .s t|.cJ| .oso..c| rot.c.ks
.rJ |rto.||.n p..tro.s||ps.
|r ScJt|o.st |J.cpo, t|o |ovo| c|
sJppc.t |c. p.c|oss|cr.| ncb|||ty
v..|os .|Jo|y.
|o b|ost .o.kross |r t|o
.o|cr .on.|rs .r |rsJ|||c|ort |ccJs
cr |rst|tJt|crs c| |||o. |o..r|r |r
t|o ||o|Js c| or|roo.|r,
toc|rc|c|c.| .rJ vcc.t|cr.|
oJJc.t|cr, rct tc nort|cr |||o|cr
|o..r|r.
Source: author
Por detalls of the 5c|ence AenJo: UNLSCO
(l999)
|cn.r|. .rJ S|cvor|. t|o.o |s .|sc .
t.orJ tc...Js . J|vo.s|||c.t|cr c|
|JrJ|r scJ.cos |c. ||.
Vcst ccJrt.|os |.cn t|o .o|cr
..o |rc.o.s|r sJppc.t |c.
Jr|vo.s|ty|rJJst.y p..tro.s||ps .s .
..y c| or|.r c|r sc|orcoc.|ortoJ
|rrcv.t|cr, .rct|o. .occnnorJ.t|cr
c| t|o Science Agenda. |c.ovo., t|o
oxpo.|orcos c| t|cso ccJrt.|os t|.t
..o .|o.J |r t||s ..o., |rc|JJ|r
.ooco, |rJ|c.to t|.t t||s |s . s|c.
p.ccoss |.npo.oJ by . |.ck c|
Jcnost|c Jon.rJ.
Arct|o. .occnnorJ.t|cr
.Jvcc.tos . .o.to. ncb|||ty c|
p.c|oss|cr.|s bot.oor Jr|vo.s|t|os
Also ln 2009, Albanla launched lts flrst survey of P&D
statlstlcs, lncludlng buslness P&D and lnnovatlon, wlth the
support of UNLSCO.
Moldova
Moldova ls the only post-Sovlet country ln Southeast
Lurope. |ts P&D system contlnues to be organlzed around
the Academy of Sclences. |nvestment ln P&D has
contlnued lts downward splral, dropplng to 0.4% ln 2004
from 0.6% ln 2000. 8etween 2000 and 2004, employment
of research sclentlsts and englneers decllned by 5%. Mass
emlgratlon accompanled by braln draln ls hlnderlng
domestlc lnnovatlon and entrepreneurshlp.
|||||A|O|A| OO|||A|O|
The vlolent break-up of ugoslavla ln the l990s threw
most of the western 8alkan countrles lnto lsolatlon for the
greater part of the decade, lncludlng ln terms of
lnternatlonal sclentlflc co-operatlon. The flrst decade of
the 2l
st
century marks a new era, one ln whlch sclence
systems of western 8alkan countrles are belng rebullt and
reconnectlng to the P&D networks of the LU. The process
ls stlll palnfully slow. |t ls belng hlndered not only by
external factors llke LU pollcles but, to an even greater
extent, by the lack of a natlonal consensus on the need to
base economlc growth on sclence-orlented lnnovatlon.
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
|||SO S|||| |||O| 2010
O|||S|O|
The dlverslty of Southeast Lurope ls both a masslve
obstacle (such as ln terms of competltlveness) and an asset
for lntra-reglonal lntegratlon and lntegratlon wlth the LU.
Countrles also have polnts ln common. Demand for P&D
tends to be weaker than supply, wlth the notable
exceptlon of Slovenla. Lven supply ls hampered by
contlnulng severe external braln draln.
|n those countrles wlth functlonlng P&D systems, namely
8ulgarla, Croatla, Pomanla and Serbla, there ls a need to
broaden the focus of sclence and lnnovatlon pollcy and to
llnk publlc P&D to the countrles' lndustrlal, agrlcultural and
health care sectors. These countrles also need to make
better use of lnternatlonal asslstance to lntegrate P&D lnto
the Luropean Pesearch Area and to facllltate llnkages
between the LU and domestlc systems of lnnovatlon.
There has been some llmlted progress ln lntegratlng the
western 8alkan countrles lnto the Luropean Pesearch
Area. |nternatlonal stakeholders are aware of the need to
support S&T to facllltate thls lntegratlon and ensure long-
term growth. However, thls wlll necessltate huge
lmprovements ln lnfrastructure and a restructurlng of the
countrles' S&T systems.
The western 8alkan countrles ln partlcular cannot afford
not to lncrease lnvestment ln P&D fundlng, even though
the beneflts are sometlmes only seen ln the long term.
The alternatlve would be for them to fall farther behlnd
the rest of Lurope ln terms of economlc development.
However, thls lncrease should be accompanled by a
strong focus on fundlng both excellence and locally
relevant research. Thls wlll requlre falr competltlon,
prlorlty-settlng, transparency and lnternatlonal crlterla of
excellence.
The 'Luropeanlzatlon' of the reglon's P&D systems vla LU
research networks wlll serve to connect the research
endeavours of countrles ln Southeast Lurope wlth the best
the LU can offer ln terms of P&D teams. we can expect a
better balance between lncentlves (selectlon through
pro[ect fundlng) and stablllty (the share of lnstltutlonal
fundlng). However, the bottleneck caused by llttle
domestlc demand for P&D and a weak prlvate sector ln all
but Slovenla ls llkely to remaln a ma[or structural weakness
ln Southeast Luropean P&D systems for years to come.
l98
b|b||O|A||+
LPAwATCH (2008) Anolyt|col Countty keotts 2008:
8ulot|o, 5loven|o, komon|o. Luropean Commlsslon,
8russels. Avallable at http://cordls.europa.eu/erawatch
GPP (2006) keseotch onJ 0eveloment |n 5outheost lutoe.
Gesellschaft zur Prderung der Porschung (Company
for Progress ln Pesearch), Neuer wlssenschaftllcher
verlag, vlenna.
Government of Albanla (2009) Ctoss-cutt|n 5ttotey lot
5c|ence, 7echnoloy onJ lnnovot|on. Avallable at:
www.unesco.org/sclence/psd/thm_lnnov/south_east_
europe.shtm
Kobal, L. and Padosevlc, S. (eds) (2005) VoJetn|sot|on ol 5c|ence
Pol|cy onJ Vonoement Atooches |n Centtol onJ 5outh -
-eost lutoe. NA7O 5c|ence 5et|es, v: 5c|ence onJ 7ech-
noloy Pol|cy, vol. 48. |OS Press, Amsterdam, Netherlands.
Kutlaca, D[uro (2007) The sclence and technology system
ln Serbla: between survlval and restructurlng, ln
1. Nechlfor and S. Padosevlc (eds) why lnvest |n 5c|ence
|n 5outh lostetn lutoe/ pp. 131-139.
Llsbon Luropean Councll (2000) Presldency Concluslons.
Avallable at: www.europarl.europa.eu/summlts/llsl_en.ht
Matlc, 8ozldar (2007) The need for a sclence pollcy ln 8osnla
and Herzegovlna, Nechlfor and Padosevlc (eds) why
lnvest |n 5c|ence |n 5outh lostetn lutoe/
pp. 92-95.
Nechlfor, |ulla and Padosevlc, Slavo (eds) |2007| why lnvest |n
5c|ence |n 5outh lostetn lutoe/ Proceedlngs of the |nter
-
natlonal Conference and Hlgh Level Pound Table,
28-29 September 2006, L[ubl[ana, Slovenla. Sclence
Pollcy Serles, vol. 5. UNLSCO offlce ln venlce, |taly.
Avallable at: www.unesco.org/sclence/psd/thm_lnnov/
south_east_europe.shtml
N|S (2005) 5tot|st|col 8ullet|n l7(368). Natlonal |nstltute of
Statlstlcs of Pomanla, 8ucharest.
Papon, Plerre and Pe[ovnlk, Stane (2007) S&T pollcy
guldellnes for 8osnla and Herzegovlna, Nechlfor and
Padosevlc (eds) why lnvest |n 5c|ence |n 5outh lostetn
lutoe/ pp. 96-98.
PPO-|nno Trendchart (2005) lNNO-Pol|cy 7tenJChott -
Pol|cy 7tenJs onJ Ato|sol keott: Cteece. Avallable at:
www.prolnno-europe.eu
ScJt|o.st |J.cpo
l99
Padosevlc, Slavo (2007) keseotch onJ 0eveloment onJ
Comet|t|veness |n 5outh lostetn lutoe: Asset ot
l|oo|l|ty lot lu lntetot|on/ Centre for the Study of
Soclal and Lconomlc Change ln Lurope, School of
Slavonlc and Last Luropean Studles, Unlverslty College
London. worklng Paper Serles No. 75, Aprll. Avallable
at: www.ssees.ac.uk/wp75sum.htm
Stefanov, Puslan (2007) 8ulgarlan sclence and lnnovatlon
system: pollcy challenges ln the flrst year of LU
membershlp, ln Nechlfor and Padosevlc (eds), why lnvest
|n 5c|ence |n 5outh lostetn lutoe/ p. 99-l05.
Stefov, vlktor (2007) Sclence and research ln the Pormer
ugoslav Pepubllc of Macedonla, l4 ln Nechlfor and
lutoe pp. ll4-ll6.
Sulstarova, Lduard (2007) Sltuatlon of the sclentlflc
research system ln Albanla. Chapter 9 ln: Nechlfor and
Padosevlc (eds), why lnvest |n 5c|ence |n 5outh lostetn
lutoe pp. 87-9l.
Svarc, 1adranka, 8eclc, Lmlra (2007) Croatlan lnnovatlon
pollcy meets reallty. Chapter l3 ln: Nechlfor and
lutoe pp. l06-ll3.
Uvallc, Mlllca (2005) 5c|ence, 7echnoloy onJ lconom|c
0eveloment |n 5outh lostetn lutoe. Sclence Pollcy
Serles No. l, UNLSCO 8ureau for Sclence and Culture
ln Lurope, venlce, |taly.
UNLSCO (l999) 5c|ence AenJo: ltomewotl lot Act|on. Text
adopted by the world Conference on Sclence, l 1uly
l999. Avallable at: www.unesco.org/sclence/
wcs/eng/framework.htm
wLP (20l0) Cloool Comet|t|veness keott 2010-2011.
world Lconomlc Porum, Oxford Unlverslty Press, UK.
(2008) Cloool Comet|t|veness keott 2008-2009.
(2007) Cloool Comet|t|veness keott 2006-2007.
\|bS||S
Co-ordlnatlon of LU research pollcles wlth western 8alkan
countrles: www.wbc-lnco.net
Thomson Peuters Sclentlflc. Sclence Cltatlon |ndex. Avallable
by subscrlptlon through web of Sclence at:
www.thomsonreuters.com/products_servlces/sclentlflc/
Sclence_Cltatlon_|ndex_Lxpanded
world 8ank, Knowledge for Development, KAM database:
http://go.worldbank.org/1GAO5XL940
world Lconomlc Porm, Cloool Comet|t|veness keotts:
www.gcr.weforum.org
S
o
u
t
h
e
a
s
t

L
u
r
o
p
e
Slavo Radosevic was born ln 8osnla and Herzegovlna ln
l955. He ls currently Professor of |ndustry and |nnovatlon
Studles and Deputy Dlrector of the School of Slavonlc
and Last Luropean Studles at Unlverslty College, London.
Hls research lnterests lle ln sclence, technology,
lnnovatlon and lndustrlal growth ln the countrles of
Central and Lastern Lurope and he ls regularly
lnvolved ln related lnternatlonal pro[ects. He ls also
an expert member of varlous Dlrectorates General
of the Luropean Commlsslon and a consultant to the
Unlted Natlons Lconomlc Commlsslon for Lurope,
world 8ank, Aslan Development 8ank and UNLSCO.
Prof. Padosevlc has publlshed extenslvely ln
lnternatlonal [ournals on lssues related to lnnovatlon
and lnnovatlon pollcy ln countrles of Central and
Lastern Lurope. He ls a member of the edltorlal board
of the 1outnol ol 7echnolo|col leotn|n, lnnovot|on
onJ 0eveloment and an assoclate edltor of lnJustt|ol
onJ Cototote Chone. Prof. Padosevlc ls the author
of lntetnot|onol 7echnoloy 7tonslet onJ Cotch u |n
lconom|c 0eveloment (Ldward Llgar, l999). He ls
also the co-edltor of recent volumes on the followlng
themes: lndustrlal networks ln the wlder Lurope, the
knowledge-based economy ln Central and Lastern
Lurope, lnternatlonal lndustrlal networks and lndustrlal
restructurlng ln Central Lurope, Pussla and Ukralne,
and sclence pollcy and management approaches ln
Central and Southeast Lurope.
7he chollene now w|ll oe to ooost
outut ltom 587 onJ to ttonslotm k80
tesults |nto |nnovot|on onJ v|oole
ous|ness oottun|t|es lot the oenel|t
ol ooth soc|ety onJ the economy.
Slrln Lll
Turkey [7] [P3].qxd:Layout 1 18/10/10 18:48 Page 200
10
.
Turkey
S|.|r |||
20l
|||O|||O|
Turkey ls a reglonal power brldglng Last and west. |n
recent years, lt has experlenced dynamlc growth and rapld
recovery from a severe economlc crlsls ln 200l. Today, the
Turklsh economy ls among the world's 20 largest, wlth
GDP of over US$ 500 bllllon.
Turkey has a young populatlon: 64% are under 34 years of
age. Populatlon growth ls the hlghest among countrles of
the Organlsatlon for Lconomlc Co-operatlon and
Development (OLCD), the populatlon havlng cllmbed from
53 mllllon ln l986 to 73 mllllon ln 2006. Turkey also possesses
a larger labour force than any of the 27 countrles that make
up the Luropean Unlon, wlth an actlve populatlon of over
24.7 mllllon ln 2007, accordlng to the Turklsh |nvestment
Support and Promotlon Agency. The populatlon ls very
urbanlzed, wlth 67% of Turks llvlng ln towns or cltles,
accordlng to the Unlted Natlons Statlstlcal Dlvlslon.
To spur recovery from the 200l crlsls, Turkey adopted
structural reforms that lncluded exchange-rate flotatlon,
prlvatlzatlon, strengthenlng the admlnlstratlon of
revenue, creatlng a better cllmate for lnvestment and
reformlng both soclal securlty and the flnanclal and
energy sectors. These measures succeeded ln
regeneratlng growth and puttlng an end to chronlc
lnflatlon. 8y 2007, GDP had grown to 5.l%, compared to
-7.5% slx years earller. At 8.8% ln 2007, lnflatlon was at lts
lowest for almost 30 years. Although stlll lower than the
rates of the past three decades, lnflatlon dld cllmb to
l0.l% ln 2008.
wlth average annual GDP growth of 4.2% between
l988 and 2007, Turkey ranked flfth among OLCD economles
by 2008 for thls lndlcator. Lstlmated growth for 2008 ls 3.4%,
accordlng to Lurostat. |mprovements have also been
observed ln other lndlcators, such as ln terms of labour
productlvlty and the level of forelgn dlrect lnvestment (PD|).
The structural reforms have also strengthened the
regulatory and supervlsory role of the State ln the
economy by boostlng the prlvate sector's role. Slnce 2003,
economlc growth has been drlven by the prlvate sector,
partlcularly ln the automotlve lndustry and the machlnery
and equlpment sectors (Plgure l). Total exports doubled
between 2005 and 2008, from US$65 bllllon to
US$l32 bllllon. Turkey's maln export partners are
Germany (ll.2%), the UK (8.0%), |taly (7.0%), Prance
(5.6%), Spaln (4.3%) and the USA (3.9%), accordlng to the
Turklsh Statlstlcs |nstltute (Turkstat).
The economlc upturn suddenly went lnto reverse ln early
2009, as the lmpact of the global economlc recesslon
began maklng lts presence felt. Turklsh exports
plummeted 35% ln Pebruary alone over the same perlod
the prevlous year, falllng to US$6.87 bllllon, accordlng
to the Turklsh Lxporters Assoclatlon. Although the
T
u
r
k
e
y
Figure 1: Lconomlc performance of key lndustrles ln Turkey, 2002-2007
7he stott|n o|nt lot the yeot 2002 |s 100
2002 2003 2004 2005 2006 2007 2002 2003 2004 2005 2006 2007
350
300
250
200
150
100
180
160
140
120
100
80
60
A. Production B. Employment
Cars
Machinery and equipment
Plastics
Food
Textiles
Clothing
5outce: OLCD (2008) lconom|c 5utvey ol 7utley. Pollcy 8rlef. Accesslble at: www.oecd.org/dataoecd/53/42/40988838.pdf
Satelllte dlshes
on an |stanbul
rooftop
Photo:
onecleotv|s|on/
|5toclhoto
|||SO S|||| |||O| 2010
automotlve sector was also hlt hard, lt stlll managed to
pocket export earnlngs of US$l.98 bllllon.
Second to Turkey's car lndustry ls the lron and steel
lndustry, wlth exports worth US$984 mllllon. Thls ls
followed by the ready-to-wear clothlng lndustry, wlth
exports amountlng to US$967 mllllon. Among the early
lndlcators of the recesslon, the number of new companles
was down by 34.7% ln Pebruary 2009 over the prevlous
year, accordlng to Turkstat, and unemployment was up
from 9.7% ln 2007 to l0.9% ln 2008.
|O||+ Ob'||\|S
Turkey has a long tradltlon of sclence and technology
(S&T) pollcy-maklng. Thls dates back to the l960s when
thls exerclse was an lntegral part of development plans.
The country also has a well-developed lnstltutlonal
framework. Slnce the turn of the century, Turkey has
attached lncreaslng lmportance to lnvestment ln sclence,
technology and lnnovatlon (ST|) for sustalnable soclo-
economlc development. The key mllestones have been:
I The lmplementatlon of the v|s|on 2023 Ptoject
(2002-2004), a technology foreslght study almed at
achlevlng the wldest partlclpatlon posslble and greater
commltment around a shared vlslon for the
formulatlon of ST| strategles for the next two decades.
I Pull assoclatlon wlth the Slxth Pramework Programme
of the Luropean Unlon (LU) ln 2003. Turkey provlded
thls programme wlth -250 mllllon, the largest
contrlbutlon among the LU candldate countrles, Turkey
ls expected to contrlbute -423.5 mllllon to the current
Seventh Pramework Programme by the end of 20l3.
I The launch ln 2004 of the Turklsh Pesearch Area
(TAPAL) by the Supreme Councll of Sclence and
Technology (8TK)
l
and ldentlflcatlon of the maln
targets for sclence and technology (S&T).
I The approval by 8TK ln 2005 of the flve-year
lmplementatlon plan for the Not|onol 5c|ence onJ
7echnoloy 5ttotey (2005-2010 and of the new
prlorlty areas of technology.
202
The N|nth 0eveloment Plon (2007-2013, lssued ln 2006,
reflects Turkey's growlng polltlcal commltment to S&T.
The plan forms the basls for other natlonal and reglonal
plans and programmes and for the documents requlred
by the LU for the accesslon process. |t deflnes lmprovlng
ST| performance as one of the bulldlng blocks for greater
competltlveness. The maln pollcy ob[ectlve of the
VeJ|um-7etm Ptotomme (2008-2010, publlshed by the
State Plannlng Organlzatlon (SPO) of Turkey, ls 'to become
capable ln ST| and to transform thls capablllty lnto
economlc and soclal value by enhanclng the lnnovatlon
skllls of the prlvate sector speclflcally' (SPO, 2007).
The baslc ob[ectlves of the Not|onol 5c|ence onJ
7echnoloy 5ttotey (2005-2010 are to lmprove llvlng
standards, solve soclal problems, develop competltlveness
and ralse publlc awareness of S&T. Thls ls to be achleved
by stlmulatlng demand for research and development
(P&D), enhanclng the quallty and quantlty of sclentlsts,
other professlonals and technlcal personnel and
lncreaslng gross expendlture on P&D (GLPD).
|n llne wlth these goals, two prlmary targets were flxed by
8TK ln 2005. These targets were subsequently revlsed ln
2008: the country's GLPD/GDP ratlo ls to nearly quadruple
from 0.53%
2
ln 2002 to 2.0% by 20l3, half of thls share
belng funded by the prlvate sector (Plgure 2),
l. The Supreme Councll of Sclence and Technology (8TK) ls the top pollcy
co-ordlnatlon body for ST| ln Turkey. See also page 2l0.
0.45
0.50
0.55
0.60
0.65
0.70
0.75
%
2007 2006 2005 2004 2003 2002
0.53
0.72
ùslng new GDP serles
5outce: TU8|TAK 2009 (from the database of Turkstat)
Figure 2: GLPD/GDP ratlo ln Turkey, 2002-2007 (%)
J.koy
203
seconJly, the number of full-tlme equlvalent (PTL) research
personnel ls to be carrled from 28 964 ln 2002 to
l50 000 by 20l3 (Plgure 3). The number of vocatlonal and
technlcal staff ls also to be lncreased proportlonally.
|n 2005, 8TK also ldentlfled prlorlty areas of technology
for capaclty-bulldlng, lncludlng the followlng:
I lnformatlon and communlcatlon technologles (|CTs),
I blotechnology and genetlc technologles,
I materlal technologles,
I nanotechnologles,
I deslgn technologles,
I mechatronlcs,
3
I productlon processes and technologles,
I energy and envlronmental technologles.
Thanks to a strong polltlcal commltment, publlc
expend lture on S&T has taken off slnce 2005, wlth more than
US$l.5 bllllon belng allocated to the Sclentlflc and Techno -
loglcal Pesearch Councll of Turkey (TU8|TAK) alone for P&D
programmes ln the perlod 2005-2008. Thls, along wlth other
factors llke economlc growth, caused P&D expendlture to
almost trlple between 2002 and 2007 (Plgure 4).
However, polltlcal commltment has been weaker when
lt comes to translatlng the technology foreslght exerclse,
v|s|on 2023, lnto pollcy lnltlatlves. No speclal effort has
been made slnce 2005 to bulld capaclty ln the prlorlty
technology areas ldentlfled by 8TK ln 2005. Thls ls a pollcy
challenge that the government wlll need to address.
|t ls lmportant for Turkey to channel P&D resources
strateglcally lnto prlorlty technology flelds rather than
spreadlng them thlnly across generlc programmes.
The prlorlty areas ldentlfled by v|s|on 2023 are flelds ln
whlch Turkey recognlzes the need to bulld crltlcal knowledge
and technologlcal capacltles for the next 20 years. The
ma[orlty of the prlorlty flelds, such as nanotechnologles,
|CTs and deslgn technologles, are general-purpose
technologles wlth numerous potentlal appllcatlons for
productlve sectors ln Turkey. Thematlc measures
T
u
r
k
e
y
2. |n 2008, the GDP serles were changed and Turkstat recalculated the
GLPD/GDP ratlos. Uslng the new serles, the 2002 ratlo now stands at 0.53%,
agalnst 0.66% prevlously.
3. Mechatronlc systems conslst of mechanlcal, electronlc and control
components. Pobots are the most common product but mechatronlcs can
also be used to develop mlnd-controlled artlflclal llmbs, (ecologlcal)
transport systems and so on.
Figure 3: P&D personnel ln Turkey, 2003 and 2007
0
10
20
30
40
50
60
70
13 000
50 000
5 000
24 000
Other* Researchers
2007 2006 2005 2004 2003 2002
Thousands
` lncludes admlnlstratlve staff and technlclans
5outce: TU8|TAK 2009, from the database of Turkstat
Figure 4: GLPD ln Turkey, 2002-2007
2 000
3 000
4 000
5 000
6 000
7 000
P
P
P

U
S
$

m
i
l
l
i
o
n
s

*
2007 2006
6 830
3 009
2005 2004 2003 2002
` The correspondlng amounts ln Turklsh llra for 2002 and 2007 are:
2 349 mllllon and 6 09l mllllon.
5outce: OLCD, Maln Sclence and Technology |ndlcators database
|||SO S|||| |||O| 2010
- as opposed to generlc ones - wlll be vltal to boost ST| ln the
prlorlty areas ldentlfled for soclo-economlc development.
The need to lnvest ln these prlorlty areas ls also evldent from
statlstlcs on GLPD ln relatlon to Turkey's soclo-economlc
ob[ectlves (Plgure 5). Por example, although energy and
envlronmental technologles flgure among the prlorlty flelds,
between 2003 and 2007, govern ment expendlture on P&D
only lncreased from 2.2% to 4.6% for 'control and care of the
envlronment' and from 3.3% to 4.3% for 'productlon,
dlstrlbutlon and ratlonal use of energy'.
204
|| ||||
R&D expenditure
8etween 2003 and 2007, GLPD more than doubled ln
Turkey, from US$ 2.8 bllllon (PPP) to US$6.8 bllllon (PPP).
Thls growth rate ls substantlally hlgher than the LU-27
average (9%) and matched globally only by Chlna.
|n terms of growth ln P&D lntenslty, also known as the
GLPD/GDP ratlo, Turkey ranks fourth ln the world after
Chlna, South Afrlca and the Czech Pepubllc for
2002-2007, accordlng to TU8|TAK: P&D lntenslty grew by
Figure 5: Government expendlture on P&D ln Turkey by soclo-economlc ob[ectlve, 2003-2007 (%)
5outce: Turkstat
0
5
10
15
20
25
30
28.53
24.48
16.04
13.92
3.99
3.33
2.38
2.18
2.12
0.56
0.15
0.12
28.58
20.73
14.51
10.78
4.85
4.55
4.29
4.32
2.73
2.18
1.26
0.54
0.68
2007 2006 2005 2004 2003
Defence
Industrial production and technology
Agricultural production and technology
Exploration and exploitation of the Earth
Other civil research
Control and care of the environment
Social structure and relationships
Protection and improvement of human health
Non-oriented research
Infrastructure and general planning of land use
Exploration and exploitation of space
Research nanced from general university funds
Production, distribution and rational use of energy
J.koy
205
34% ln Turkey between 2002 and 2007, compared to 36%
ln the Czech Pepubllc and 39% ln South Afrlca. Turkey ls
no match for Chlna, though, where P&D lntenslty grew by
as much as 5l% between 2002 and 2007. The GLPD/GDP
ratlo ln Turkey ls expected to contlnue rlslng, desplte the
global economlc recesslon.
8etween 2004 and 2007, the share of buslness
expendlture on P&D (8LPD) ln total spendlng cllmbed by
nearly 60% ln Turkey. The catalyst was a boost ln publlc
support for P&D ln 2004, whlch saw 8LPD rlse overnlght to
34%. However, the share of hlgher educatlon ln P&D
spendlng remalns hlgh and, even at 48%, Turklsh 8LPD
remalns well below the OLCD average of 69% (Plgure 6).
Enlarging the research pool
The government attaches great lmportance to boostlng
the numbers of P&D personnel, one of the key targets of
the Not|onol 5c|ence onJ 7echnoloy 5ttotey, as we have
seen above. At flrst glance, there has been a remarkable
lncrease ln both the numbers of PTL P&D personnel and
PTL researchers, as seen ln Plgure 3. However, the maln
reason for the lncrease slnce 2003 ls the change ln the
way Turkstat deflnes PTL P&D personnel and researchers
ln surveys.
|n polnt of fact, as of 2006, the number of researchers per
l 000 members of the labour force remalns low ln Turkey
(2.0), both by LU-27 standards (5.8) and ln comparlson
wlth lndlvldual Lastern Luropean countrles llke Poland
(4.7) |world 8ank, 2008|.
|n order to reach the ambltlous target of l50 000 PTL
research personnel by 20l3, Turkey wlll need to devote
more resources to tertlary educatlon, swell unlverslty rolls
and graduatlon rates and attract Turklsh PhD students
llvlng abroad. Turkey devotes l.l% of GDP to publlc
spendlng on tertlary educatlon, although thls ls
comparable wlth many countrles or better, lt remalns below
the level of Scandlnavlan countrles (world 8ank, 2007). The
number of Turklsh PhD students who remaln ln the USA for
flve years or more ls close to 60%, the flfth-largest
proportlon after Chlna, |ndla, |ran and Argentlna (8ox l).
Lnrollment rates ln hlgher educatlon are lower for Turkey
than for most countrles wlth slmllar or hlgher levels of
lncome. 1ust ll% of Turks ln the 25-34 year-old bracket
have a tertlary degree, the lowest rate of any OLCD
country: the OLCD average ls 3l%.
Purthermore, Turkey needs to lncrease enrollment and
graduatlon rates among women. The gross enrollment
ratlo for female students ln tertlary educatlon ln 2006
was 30%, compared to a reglonal average of 66%
(UNLSCO |nstltute for Statlstlcs). Turkey had 5.7 new
sclence and englneerlng graduates per l 000 populatlon
ln 2005, correspondlng to 44% of the LU-27 average.
Thls remalns low but a posltlve trend ls emerglng:
between l995 and 2004, Turkey's average annual
growth ln P&D personnel was as hlgh as Plnland's and
among the top three ln the world, even though thls was
partlally due to lts much lower startlng polnt (world
8ank, 2008).
8ulldlng a sclence culture and a soclety open to ST| calls
for an educatlon system capable of provldlng puplls wlth
the requlslte skllls from an early age. To meet thls
challenge and that of developlng a larger pool of
researchers, the government has been lmplementlng
varlous measures slnce 2004, these range from revlslng
prlmary and secondary currlcula to measures deslgned to
stlmulate the lnternatlonal moblllty of students and
sclentlsts (see for example 8ox 2).
T
u
r
k
e
y
Figure 6: GLPD ln Turkey by source of funds, 2002
and 2007 (%)
Abroad
Government
Business
enterprise 41.3
50.6
6.9
1.3
48.4
47.1
4.0
0.5
2002
2007
Private
non-prot
5outce: UNLSCO |nstltute for Statlstlcs, 1une 20l0
|||SO S|||| |||O| 2010
|| O|||
Scientific publications on the rise
Slnce 2002, Turkey has been stepplng up P&D output as
well. The number of research publlcatlons contlnues to
rlse, from l5 403 ln 2004 to 2l 779 ln 2007 (Plgure 7). Thls
ls malnly due to the fact that a large portlon of P&D ls
conducted at unlversltles, whlch employ the ma[orlty of
researchers, and to the lncrease ln P&D fundlng. Turkey's
ranklng ln [ournals covered by the Sclence Cltatlon |ndex
(SC|) has llkewlse lmproved, from 4l
st
ln l990 to l9
th
ln
2005. |n the SC|, Turkey ls most vlslble ln cllnlcal medl clne,
followed by englneerlng and technology (Plgure 8).
A slmllar trend can be observed ln patents. Patent
Co-operatlon Treaty appllcatlons from Turkey have been
growlng slnce 2004 (Plgure 9). |n addltlon, domestlc
patent flllngs and grants rose more than four-fold from
2002 to 2007, accordlng to the Turklsh Patent |nstltute.
206
||||||| || |O||+ V|`
To support these posltlve trends, the government has
been enrlchlng the ST| pollcy mlx, partlcularly slnce late
2006. Thls pollcy mlx now addresses a broad range of
needs on the part of the research communlty and
lndustry.
Overall, the exlstlng pollcy mlx focuses on flve maln
categorles: (l) ralslng expendlture on research and
technologlcal lnnovatlon ln prlvate enterprlses,
(2) lntenslfylng co-operatlon on P&D pro[ects between
publlc or unlverslty research and prlvate enterprlses,
(3) swelllng the number of new lnnovatlon-lntenslve
enterprlses and thelr chances of survlval, (4) lncreaslng the
rate of commerclal lzatlon/marketlng of the results of P&D
conducted by publlc research bodles and the unlverslty
sector (Lll, 2008), and (5) developlng human resources
for S&T.
Box 1: The Tale of a Turklsh PhD Peturnee
|. b.tJ |.n.r ..s t|o 2008 .|rro. c|
t|o p.ost||cJs |J.cpo.r V..|o J.|o
|xco||orco A...J. |o ccnp|otoJ ||s
||| |r t|o |SA |r 1998 bo|c.o ncv|r
b.ck tc J.koy |r 2004 tc t.ko Jp . pcst
.t S.b.rc. |r|vo.s|ty |r |st.rbJ|. |r t|o
|SA, |o |.J boor . pcstJcctc..| |o||c.
.rJ .oso..c| .sscc|.to .t t|o |.t|cr.|
|rst|tJtos c| |o.|t| Jrt|| 2004.
At 40, |. |.n.r Jcos rct ccrs|Jo.
||nso|| Jr|,Jo .ncr t|o .c.Jon|cs
.t S.b.rc. |r|vo.s|ty. t|o .vo..o .o |s
43, cvo. 85 .oco|voJ t|o|. ||| cJts|Jo
J.koy .rJ cvo. 45 |.vo ccrJJctoJ
pcstJcctc..| .oso..c| .b.c.J |r
.c.Jon|. c. |rJJst.y. |c. Jcos |o
ccrs|Jo. S.b.rc. |r|vo.s|ty Jr|,Jo |r
|ts .b|||ty tc .oc.J|t . ycJr oro..t|cr
c| ||||y t..|roJ |.cJ|ty nonbo.s.
|. |.n.rs |.bc..tc.y .t S.b.rc.
|r|vo.s|ty ccrJJcts b.s|c .oso..c| |r
|nnJrc|cy Js|r toc|r|,Jos |.cn
nc|ocJ|.. b|c|cy. |r ||s |.bc..tc.y, |o
.c.ks .|t| scno c| t|o n.ry ycJr,
ort|Js|.st|c, .nb|t|cJs |||o sc|ort|sts
no.rs t.ck||r p.cb|ons t|.t n.y rct
ox|st |r |c.t| Ano.|c., \osto.r
|J.cpo c. '.p.r, |r .JJ|t|cr tc t|o
cJstcn..y |..Js||ps .sscc|.toJ .|t|
ccrJJct|r .oso..c|.
|. |.n.rs V..|o J.|o |xco||orco
A...J ..s pJb||c|.oJ |r t|o
n.|rst.o.n noJ|. |r J.koy .s
|||Jst..t|r t|o sJccoss c| . J.k|s|
sc|ort|st. As . .osJ|t, |o ..s ccrt.ctoJ
by n.ry rcrsc|ort|sts cJ.|cJs tc
krc. nc.o .bcJt |nnJrc|cy,
nc|ocJ|.. b|c|cy .rJ t|o .oso..c| ||s
to.n |s ccrJJct|r. Accc.J|r tc
|. |.n.r, t|o.o n.y bo ||n|toJ cb
cppc. tJr|t|os bJt, ovor sc, J.k|s|
scc|oty v|o.s . c..oo. |r sc|orco .s
bo|r ccc|. |o cbso.vos t|.t t|o.o |s .
|..o pcc| c| ||||y ,J.||||oJ, .o||
oJJc.toJ, |r||s|spo.k|r, ycJr
.oso..c|o.s |r t|o J.k|s| oJJc.t|cr
syston.
5outce: Lrman (2009)
.|c ..o sott|r Jp s|cp |r J.k|s|
Jr|vo.s|t|os. |oso ycJr sc|ort|sts
c|ccso tc to.c| .rJ ccrJJct .oso..c|
|r J.koy, rct boc.Jso t||s |s . s.|o
c|c|co bJt |c. t|o t|.||| c| c|ccs|r .
c|.||or|r .|to.r.t|vo tc st.y|r |r t|o
|SA .|to. . pcstJcctc..| |o||c.s||p.
|. |.n.r |s cJ..ort|y t..|r|r s|x
VSc stJJorts, t.c Jcctc..| stJJorts
.rJ t.c pcstJcctc..| sc|ort|sts.
|o |.s .|sc |o|poJ tc c..r|.o .r
.sscc|.t|cr c| 15 nc|ocJ|.. b|c|c|sts
|.cn o||t J|||o.ort Jr|vo.s|t|os |r
|st.rbJ|, Ark... .rJ |.n|.. |oso
sc|ort|sts |.vo .|| boor t..|roJ .t
p.ost||cJs Jr|vo.s|t|os .rJ |rst|tJtos
|r t|o |SA, |J.cpo .rJ '.p.r. A|| ..o
|r t|o s.no .o .cJp, .|| ..o o.o. tc
to.c| . ro. oro..t|cr c| |||o
sc|ort|sts .rJ .|| |.vo t|o p|croo.
sp|.|t. |c. |. |.n.r, t|o nonbo.s c|
t||s .cJp ..o typ|c.| c| t|o ro.
oro..t|cr c| sc|ort|sts .|c ..rt tc
c.o.to . cJ|tJ.o c| ccrJJct|r b.s|c
.oso..c| |r J.koy. |o .Jn|ts t|.t t||s
J.koy
207
Generic government programmes to support R&D
|n terms of government support for publlc P&D,
programmes tend to be generlc ln nature, as opposed to
thematlc, wlth no focus on speclflc areas for capaclty-
bulldlng. Typlcal of thls approach ls the Support
Programme for Pesearch Pro[ects of Publlc |nstltutlons,
lmplemented by TU8|TAK. Thls programme provldes P&D
pro[ects wlth flnanclal support to develop new products
and processes to meet the needs of publlc organlzatlons.
Slnce lts lnceptlon ln 2005, the programme has supported
83 pro[ects from a total budget of -l23 mllllon. The top
l0 beneflclarles of the programme are, ln descendlng order,
the Undersecretarlat of Natlonal Defence, the
Undersecretarlat for Defence |ndustrles, the Mlnlstry of
Agrlculture and Pural Affalrs, the Mlnlstry of Lnergy and
Natural Pesources, the Mlnlstry of Publlc works and
Settlement, the Soclal Securlty |nstltute, the Mlnlstry of the
Lnvlronment and Porestry, the Mlnlstry of Transport, the
Dlrectorate-General of Securlty and the Mlnlstry of Health.
T
u
r
k
e
y
Figure 8: Sclentlflc publlcatlons ln Turkey by ma[or fleld of sclence, 2000-2008
0
1 000
2 000
3 000
4 000
5 000
6 000
7 000
8 000
2006 2005 2004 2003 2002 2001 2000 2008
7 978
2 461
978
755
584
380
323
284
252
120
2 910
1 639
1 155
1 435
1 086
1 025
559
2007
Mathematics
Engineering and technology
Earth and space
Biomedical research Physics
Clinical medicine
Chemistry
Biology
des sclences et des technologles
Figure 7: Sclentlflc publlcatlons ln Turkey, 2002-2007
2002
10 315
12 425
15 403
16 679
18 889
21 779
2003 2004 2005 2006 2007
5outce: TU8|TAK 2009 from the databases of Turkstat, w|PO and
Thomson Peuters
|||SO S|||| |||O| 2010
Thematic government programmes to support R&D
Defence, space and nuclear technologles are the only
three flelds supported through thematlc programmes.
The Defence Pesearch Programme has been lmplemented
by TU8|TAK ln co-operatlon wlth the Mlnlstry of Defence
slnce 2005. As of December 2008, 39 pro[ects were belng
funded, to the tune of about -243 mllllon.
The Natlonal Space Pesearch Programme has been carrled
out by TU8|TAK slnce 2005 wlth the lnvolvement of the
Turklsh Armed Porces, related mlnlstrles, unlversltles and
prlvate companles. TU8|TAK's Space Technologles
Pesearch |nstltute ls actlvely lnvolved ln the
lmplementatlon of pro[ects under thls programme.
TU8|TAK also manages an lnternatlonal scholarshlp
programme to develop human resources ln the fleld of
space technologles, ln 2008, l0 students were selected
from among 294 appllcants to attend graduate
programmes abroad. Thls programme ls accompanled by
a scheme to make puplls and thelr teachers more aware of
space and space sclences: semlnars, tralnlng courses and
vlslts to the Natlonal Observatory are organlzed by
TU8|TAK. A recent development under thls programme ls
8TK's declslon to create a Natlonal Space Technologles
Platform to lnltlate dlalogue and stlmulate two- and
three-way collaboratlon among the prlvate and publlc
sectors and academla ln thls area. |n parallel, Turkey ls
taklng steps to lntenslfy lnternatlonal sclentlflc
collaboratlon ln space sclence and technology. The
most slgnlflcant development ln thls respect has been
the closer tles forged wlth the Luropean Space Agency,
whlch has led Turkey to apply for membershlp.
The Natlonal Nuclear Technologles Development
Pesearch Programme ls belng lmplemented for the
perlod 2007-20l5 by the Turklsh Atomlc Lnergy
Authorlty (TALK), ln co-operatlon wlth the Mlnlstry of
Lnergy and Natural Pesources. The programme alms to
establlsh a centre offerlng research and tralnlng ln the
fleld of nuclear technologles.
Wooing the private sector
An lmportant lmpedlment to a flourlshlng Turklsh ST|
system ls the underdeveloped venture capltal and buslness
angels market. The total fund for venture capltal and prlvate
equlty ls estlmated at around -400 mllllon and annual
lnvestments at no more than -l00 mllllon. Only a handful of
these lnvestors prefer to lnvest ln small and medlum-slzed
enterprlses (SMLs) and almost none have chosen to lnvest ln
208
start-ups at an early stage. Slmllarly, lnvestments by buslness
angels are low and the small number of buslness angel
networks makes thls an eluslve optlon for entrepreneurs ln
search of flnance. Thls lnsufflclent fundlng at an early stage
ls an obstacle to the development of the venture capltal
lndustry, as lnltlal fundlng of start-ups by buslness angels
helps to generate more deal flow
4
for venture capltal
lnvestments (Lll, 2008).
|n 200l, the government set up a Co-ordlnatlon Councll
for |mprovlng the |nvestment Cllmate under the reform
programme of the same name. The councll acts through
l2 technlcal commlttees whlch focus on company start-
ups, employment, sectoral llcenses, localltles for
lnvestment, taxes and lncentlves, forelgn trade and
customs, lntellectual and lndustrlal property rlghts, PD|
leglslatlon, lnvestment promotlon, small and medlum-
slzed enterprlses, corporate management and P&D.
The councll's P&D Technlcal Commlttee was establlshed
ln 1anuary 2008. The core actlon plan currently belng
lmplemented by the commlttee members revolves around:
I developlng unlverslty-lndustry collaboratlon,
I promotlng P&D awareness ln soclety,
Figure 9: Patent appllcatlons ln Turkey, 2002-2007
0
500
1 000
1 500
2 000
2 500
Patent Co-operation
Treaty applications
Domestic patent
applications
2007 2006 2005 2004 2003 2002
1 838
357
414
85
5outce: TU8|TAK 2009, from the databases of Turkstat, Turklsh Patent
|nstltute and w|PO
4. 'Deal flow' refers to the rate at whlch lnvestment offers are submltted to
fundlng bodles.
J.koy
209
I ldentlfylng barrlers to the employment of forelgn
researchers,
I developlng lnternatlonal P&D co-operatlon,
I lnvestlgatlng what motlvates forelgn multlnatlonals to
lnvest ln P&D ln a partlcular country,
I amelloratlng the quallty of data to lmprove Turkey's
ranklng ln lnternatlonal lnnovatlon lndexes.
|n addltlon, the government has devlsed a number of
lnstruments to foster prlvate-sector P&D, ranglng from
grants to soft loans. Tax lncentlves for P&D, whlch have
been provlded for technoparks slnce 200l, have been
broadened by the Law on the Support of Pesearch and
Development Actlvltles, ratlfled ln 2008. The new
lncentlves under thls law alm to boost lnvestment ln P&D
and attract the P&D branches of forelgn companles to the
country. The law also sets out to encourage collaboratlon
on P&D and to stlmulate the creatlon of technology-based
flrms. |t ls lmplemented by the Mlnlstry of |ndustry and
Trade ln co-operatlon wlth the Mlnlstry of Plnance.
|n reglonal S&T systems, technoparks are one of the
key lnstruments belng used by the government to
lncrease prlvate lnvestment ln P&D. 8y 2008, 3l techno -
parks had been approved ln Turkey by the Mlnlstry of
|ndustry and Trade, under the Technology Development
Zones Law of 2003.
Llghteen of these technoparks are currently actlve and
house 890 companles - 32 of them forelgn - whlch
employ 9 475 people, 78% of whom are researchers.
These companles are lmplementlng 2 67l P&D pro[ects
ln |CTs, electronlcs, defence, telecommunlcatlons,
medlcal/blomedlcal research, new materlals, lndustrlal
deslgn and envlronmental technologles. They accounted
for US$250 mllllon of export revenue ln 2008, up from
US$l44 mllllon ln 2006, accordlng to the Mlnlstry of |ndustry
and Trade. Technoparks are provlded wlth a broad range of
lncentlves, lncludlng generous tax beneflts, to encourage
buslness P&D and help close the gap between the buslness
sector and the research communlty.
The role of non-profit bodies in fostering STI
|n parallel to the greater government commltment to S&T,
both prlvate non-proflt bodles and non-governmental
organlzatlons (NGOs) have been hlghly effectlve ln creatlng
awareness of ST|. Two examples are the |nnovatlon Assoclatlon
and the Natlonal |nnovatlon |nltlatlve (Lll, 2008). The latter ls a
platform comprlsed of leadlng executlves from the prlvate
sector, rectors of several establlshed unlversltles and leaders
T
u
r
k
e
y
Box 2: Learnlng about lnnovatlon ln Turkey's schools
|rrcv.t|cr |.s boor t.J|t s|rco
2006 |r J.k|s| soccrJ..y sc|cc|s .s
p..t c| . ccnpJ|sc.y ccJ.so |r
toc|rc|cy .rJ Jos|r, t|.rks tc .
p.|v.topJb||c p..tro.s||p ort|t|oJ
.|o.|r . J|tJ..| |.ro |c.
|rrcv.t|cr (|.coct |k|r). |o p.coct
..s |np|onortoJ by t|o oc|rc|cy
V.r.onort Asscc|.t|cr (+|)
bot.oor 2005 .rJ 2006, |r
cccpo..t|cr .|t| t|o oc|rcpc||s
.cJp, b||kort |r|vo.s|ty, t|o J.k|s|
|r|c.n.t|cs Asscc|.t|cr, V||
oc|rc|cy |..k .rJ t|o ro.sp.po.
Referans, .rJ .|t| t|o p..t|c|p.t|cr c|
t|o bc..J c| |JJc.t|cr c| t|o V|r|st.y
c| |JJc.t|cr.
|o p.coct ..s cro c| t|o
.|rr|r p.cpcs.|s c| t|o \c.|J
b.rks J.koy |ovo|cpnort
|Jo.s, ost.b||s| v|.tJ.| ccnp.r|os .rJ
p.op..o bJs|ross p|.rs. A .cJp c|
Jr|vo.s|ty stJJorts t..|roJ |r t|o
sJboct n.to.|.| cc.c|oJ t|oso
12 v|.tJ.| ccnp.r|os t|.cJ|cJt t|o
bJs|ross p|.rr|r p.ccoss.
|o p||ct p.coct orJoJ .|t| .r
ovort .t .||c| t|o to.ns p.osortoJ
t|o|. |Jo.s |c. |rrcv.t|cr .rJ t|o|.
bJs|ross p|.rs. |..t|c|p.rts .o.o
|rv|toJ tc v|s|t t|o v|.tJ.| ccnp.r|os
ost.b||s|oJ by t|o pJp||s .rJ
boccno t|o|. bJs|ross .ro|s by
bJy|r v|.tJ.| s|..os |r t|cso |r
.||c| t|oy p.o|o..oJ tc |rvost.
|o t|.oo ccnp.r|os t|.t .oco|voJ
t|o ncst |rvostnort .o.o p.osortoJ
.|t| .r ....J.
5outce: author
V..kotp|.co cnpot|t|cr |r t|o
c.toc.y Scc|.| |rc|Js|cr .rJ
p.c.oss cr t|o ..y tc |J.cpo.
|.oo sc|cc|s p..t|c|p.toJ |r t|o p||ct
p|.so, t.c |.cn . Jovo|cpoJ .o|cr
c| J.koy .rJ cro |.cn . |oss
Jovo|cpoJ .o|cr.
|r t|o ||.st c| t.c st.os, t|o
cJ..|cJ|Jn ..s Jo||roJ, . bcck ..s
p.cJJcoJ .rJ t|o to.c|o.s .o.o
t..|roJ. |r t|o soccrJ st.o, t|o
pJp||s .oco|voJ |rst.Jct|cr |.cn t|o|.
to.c|o.s, |r .ccc.J.rco .|t| t|o
p.op..oJ ccrtort. |o pJp||s .|sc
oxpo.|orcoJ .o.||||o ox.np|os c|
|rrcv.t|cr .rJ ort.op.oroJ.s||p by
v|s|t|r sovo..| |rrcv.t|vo ccnp.r|os
|cc.toJ |r sc|orco p..ks. A|to. t|oso
v|s|ts, o.c| sc|cc| |c.noJ |cJ. to.ns
tc Jovo|cp t|o|. c.r |rrcv.t|vo
|||SO S|||| |||O| 2010
2l0
Figure 10: The Turklsh ST| system
C
o
v
e
r
n
m
e
n
t

a
n
d

I
e
g
i
s
I
a
t
i
v
e

b
o
d
i
e
s
f
o
r

p
o
I
i
c
y
-
m
a
k
i
n
g
,

f
u
n
d
i
n
g

a
n
d

i
m
p
I
e
m
e
n
t
a
t
i
o
n
F
i
n
a
n
c
i
a
I
s
y
s
t
e
m
k
n
o
w
I
e
d
g
e
i
n
s
t
i
t
u
t
e
s
I
n
d
u
s
t
r
i
a
I

r
e
s
e
a
r
c
h

c
e
n
t
r
e
s
a
n
d

i
n
n
o
v
a
t
i
o
n

i
n
t
e
r
m
e
d
i
a
r
i
e
s
P
r
i
v
a
t
e

s
e
c
t
o
r
President of the Republic
Prime Minister
Ministeries
National
education
Higher
Education
Board
Technology and Innovation Funding
Programmes (TUBITAK-TEYDEB)
directorate of TUBITAK
Small and Medium
Industry Development
Organization (KOSGEB)
Technology Development
Foundation of Turkey
(TTGV)
Banks
Universities
Public and non-governmental organizations
Vocational higher schools Lifelong learning centres
TUBITAK Marmara Research Centre R&D centres of TUBITAK Public research institutes
Universityindusty joint research centres
Technology development centres
(TEKMERs)
Technoparks
Private sector companies Business networks and clusters Public research institutes
Sectoral foreign trade companies Common use facilities
Private, semi-public and
non-governmental organizations
Private incubators
Consultancy rms
Credit gaurantee funds Venture capital companies
Scientic & Technological
Research Council of
Turkey (TUBITAK)
Turkish Science
Academy
(TUBA)
Turkish Patent
Institute
(TPE)
Turkish Statistics
Institute
(Turkstat)
Turkish Standards
Institute
(TSE)
National Metrology
Institute
(UME)
Turkish Acreditation
Agency
(TURKAK)
Regulatory bodies Capital Market Board
Industry
and trade
Finance State Treasury Foreign
trade
State
planning
Money credit
co-ordination
High
planning
Undersecretariats Councils
Supreme Council of Science and Technology (BTYK)*
` The Supreme Councll of Sclence and Technology (8TK) ls the top pollcy co-ordlnatlon body for ST| ln Turkey. |t ls chalred by the Prlme Mlnlster and
composed of the relevant mlnlstrles, hlgh-level representatlves of government bodles, unlversltles and NGOs. TU8|TAK acts as secretary to 8TK.
5outce: Llcl (2008) lNNO-Pol|cy 7tenJChott - Pol|cy 7tenJs onJ Ato|sol keott
Turkey
211
from some of the more influential NGOs in Turkey. The
initiative develops and recommends strategies to the
government in the field of innovation. Moreover, since 2004,
there has been a marked increase in initiatives by private
non-profit bodies and NGOs to increase private investment
in STI.
These bottom-up developments have also fostered a
regional approach to the governance of technology and
innovation: regional innovation strategies have started being
designed and new models of innovation intermediaries have
been established. Two examples are the relay centres
(Box 3) and regional innovation centres, developed by the
Turkish Industrialists and Businessmens Association
jointly with the Turkish Enterprise and Business
Confederation. In parallel, the introduction of regional
development agencies has broadened funding
opportunities for regional organizations engaged in
STI activities: private enterprises, universities and public
research institutes.
International co-operation
International co-operation in STI is an important policy
objective of the Turkish government. A key element of this
is the integration of the Turkish Research Area (TARAL)
with the European Research Area. A big step in this
direction has been Turkeys involvement in the European
Unions Research Framework Programmes, as well as in
the Competitiveness and Innovation Framework
Programme. As we have seen earlier, it is estimated that
Turkeys contribution to the current Seventh Framework
Programme will total 423.5 million by the end of 2013.
In addition to research collaborations with the EU, Turkey
has a bilateral research agreement with a large number of
countries and TBITAK implements programmes to
stimulate international R&D partnerships.
T
u
r
k
e
y
Box 3: The Aegean Innovation Relay Centre
The Aegean Innovation Relay Centre
(IRC-Ege) has been selected as the
best of its kind by the EU, out of
71 centres in 33 countries. It was
established in April 2004 under the
auspices of Ege University Science
and Technology Centre (EBILTEM), the
Aegean Region Chamber of Industry
(EBSO), the Izmir Ataturk Organized
Industrial Zone (IAOSB) and the Small
and Medium Industry Development
Organization (KOSGEB) as one of two
innovation relay centres in Turkey.
The IRC-Ege has been providing
R&D services in 14 provinces of
Western Anatolia. IRC-Ege has been
pro-active in promoting its services
and creating awareness of R&D and
innovation among SMEs in the
region. In addition to conferences,
road shows, television programmes
and so on, since its inception, IRC-Ege
has visited 706 companies and
conducted 124 technology audits,
bringing to light 83 new
In addition, eight Turkish companies
have also entered into business
partnerships with other European
companies with the help of IRC-Ege.
The value added to the Turkish
economy through these technology
transfers is estimated at around
42 million. Eleven of the SMEs that
made a technology transfer had not
contacted any foreign companies for
any reason prior to being approached
by IRC-Ege. Another 15 SMEs do not
employ anyone who speaks a foreign
language. Two technology-based
start-ups were created after inward
technology transfers enabled them to
begin producing new products and
services for the domestic market.
Nearly 260 new jobs have been
created in Western Anatolia as a result
of the TTT. In addition, some SMEs
have taken on extra staff to keep
abreast of new technologies via the
IRC network and to participate actively
in activities organized by IRC-Ege.
technologies. In order to promote
these new technologies, which were
developed by Turkish SMEs in the
region, the centre has organized and
participated in 111 brokerage events
Europe-wide. It has also acted as go-
between by passing on technology
requests submitted by the regional
SMEs to the members of the EU
Innovation Relay Centres network.
Some 2084 bilateral meetings were
organized during these events
between Turkish and European SMEs
with the centres assistance.
This hive of activity has led to
67 transnational technology transfers
(TTT) between Turkish and European
companies. Thirty of these transfers
emanated from Turkish companies,
with the technology transferred to
companies in European countries
including Bulgaria, the Czech Republic,
Finland, Greece and Italy, while
37 involved transfers from European
companies towards Turkish companies.
Turkey [2] [Ed2].qxd:Layout 1 27/1/11 10:28 Page 211
|||SO S|||| |||O| 2010
O|||S|O|
Turkey has demonstrated remarkable progress ln ST| ln the
new Mlllennlum. The challenge now wlll be to boost output
from S&T and to transform P&D results lnto lnnovatlon and
vlable buslness opportunltles for the beneflt of both soclety
and the economy. |n thls respect, publlc lnterventlon needs
to address longer-term drlvers and relatlvely short-term
dlrect needs of the prlvate sector and academla.
To thls end, the key recommendatlons that follow lnclude
further lnvestment ln developlng human capltal ln ST|,
facllltatlng knowledge creatlon and dlffuslon and,
lncreaslng the number of lnnovatlve hlgh-growth
enterprlses, whlch generate new [obs:
I There needs to be greater lnvestment ln educatlon at
all levels. Partlcular attentlon should be pald to
expandlng enrollment, ralslng attalnment levels and
lmprovlng the quallty of educatlon ln tertlary
lnstltutlons. Currlcula need to be allgned further on the
needs of the buslness sector. |n addltlon, partlclpatlon
ln llfe-long learnlng should be stlmulated through
postg raduate programmes, corporate tralnlng, onllne
learnlng and other means,
I Slnce the ma[orlty of research ls performed by
unlversltles, lt ls lmportant to encourage the
commerclallzatlon of research results and the dlffuslon
of knowledge generated by unlversltles. The
government's efforts to encourage unlverslty-lndustry
collaboratlon should be relnforced by other measures
to facllltate spln-off formatlons, provldlng researchers
wlth tralnlng and mentorlng ln buslness plannlng and
other key toplcs such as lntellectual property rlghts
management and the commerclallzatlon of products
and servlces. The government should also encourage
the creatlon of speclal lzed lnstltutlons for technology
transfer. Moreover, support for the creatlon and
runnlng of ST| networks and clusters ls essentlal to
foster knowledge generatlon and dlffuslon among
knowledge producers and enterprlses,
I |t ls lmportant for Turkey to focus on prlorlty
techno logy areas and speclflc thematlc flelds to bulld
capaclty. Thls requlres lncentlves, speclflcally deslgn
and address key challenges of today and tomorrow. ed
measures and havlng government funds strateglcally
channelled to these areas,
2l2
I To lncrease the number of lnnovatlve hlgh-growth
enterprlses, lnnovatlon capabllltles ln exlstlng flrms
need to be lmproved and more measures put ln place
to facllltate the creatlon of lnnovatlve enterprlses.
Lxlstlng flrms need to be made aware of the vltal
lmportance of lnnovatlon and to be glven lncentlves to
develop thelr capabllltles. |t ls equally lmportant to
attract lnvestment ln the form of venture capltal and
vla buslness angels, ln tandem wlth tax lncentlves for
lnnovatlve start-ups.
These and other pollcy measures, comblned wlth a lastlng
government commltment to stlmulatlng ST| ln Turkey, wlll
not only allow the country to close the gap wlth the
developed natlons but also ensure that lt reaps the soclal
beneflts of hlgher productlvlty and economlc growth.
||||||||S
Lll, Slrln (2008) lNNO-Pol|cy 7tenJChott - Pol|cy 7tenJs onJ
Ato|sol keott: 7utley. Luropean Commlsslon.
Avallable at: www.prolnno-europe.eu/extranet/upload/
countryreports/Country_Peport_Turkey_2008.pdf
(2007) lNNO-Pol|cy 7tenJChott - Pol|cy 7tenJs onJ
Ato|sol keott: 7utley. Luropean Commlsslon.
Avallable at: www.prolnno-europe.eu/extranet/upload/
countryreports/Country_Peport_Turkey_2007.pdf
Lll, S. and Karatayll, |. (2009) lkAwA7Cl Countty keotts
2009: 7utley, Anolys|s ol Pol|cy V|xes to lostet k80
lnvestment onJ Contt|oute to the lkA. Luropean
Commlsslon.
Lrman, 8atu (2009) Turkey has much to offer to the
Luropean Pesearch Area. Presentatlon to the Luropean
Parllament.
Luropean Commlsslon (2003o) lnnovot|on Pol|cy |n 5even
ConJ|Jote Countt|es: 7he Chollenes (vol. |). |nnovatlon
papers No. 34. Avallable at: www.prolnno-europe.eu/
(2003o) lnnovot|on Pol|cy Ptol|le: 7utley. Avallable at:
ftp://ftp.cordls.europa.eu/pub/lnnovatlon-
pollcy/studles/turkey_flnal_report_march_2003.pdf
Gumusluoglu, L. and Lll, S. (2008) How to address the
Turklsh paradox of lnnovatlon to bulld a competltlve
economy! Chapter l5 ln N. Aydogan (ed.) lnnovot|on
Pol|c|es, 8us|ness Cteot|on onJ lconom|c 0eveloment.
Sprlnger, New ork, pp. 267-293.
J.koy
2l3
OLCD (2008o) Lconomlc survey of Turkey. OlC0 Oosetvet
Pol|cy 8t|el, 1uly. Organlsatlon for Lconomlc
Co-operatlon and Development. Avallable at:
www.oecd.org/dataoecd/53/42/40988838.pdf
(2008o) 5c|ence, 7echnoloy onJ lnJustty Outlool
2008. Organlsatlon for Lconomlc Co-operatlon and
Development, Parls. Avallable at:
www.oecd.org/stl/outlook
SPO (2007) 5Vl 5ttotey onJ Act|on Plon. State Plannlng
Organlzatlon, Offlce of the Prlme Mlnlster, Ankara.
Avallable at: http://ekutup.dpt.gov.tr/
esnaf/kobl/strate[l/2007.pdf
(2006o) N|nth 0eveloment Plon (2007-2013. State
Plannlng Organlzatlon, Offlce of the Prlme Mlnlster,
Ankara. Avallable at: http://ekutup.dpt.gov.tr/plan/lx/9
developmentplan.pdf
(2006o) VeJ|um-7etm Ptotomme (2008-2010. State
Plannlng Organlzatlon, Offlce of the Prlme Mlnlster,
Ankara. Avallable at:
http://ekutup.dpt.gov.tr/programme/2008l0l.pdf
world 8ank (2008) 7utley - Not|onol lnnovot|on onJ
7echnoloy 5ystem: kecent Ptotess onJ Ono|n
Chollenes. world 8ank, washlngton DC.
(2007) 7utley - l|het lJucot|on Pol|cy 5tuJy. volume l:
5ttote|c 0|tect|ons lot l|het lJucot|on |n 7utley.
Human Development Sector Unlt, Lurope and Central
Asla Peglon, world 8ank, washlngton DC. Avallable at:
http://alturl.com/oo3v
(2006) 7utley: Countty lconom|c VemotonJum.
Ptomot|n 5usto|neJ Ctowth onJ Convetence w|th the
lutoeon un|on. world 8ank, washlngton DC.
Avallable at: http://slteresources.worldbank.org/
|NTTUPKL/Pesources/36l6l6ll4l2903ll420/
CLM2006_v2_Maln.pdf
\|bS||S
|nvestment Support and Promotlon Agency of Turkey:
www.lnvest.gov.tr
Mlnlstry of |ndustry and Trade (ln Turklsh):
www.sanayl.gov.tr
Pro-|nno Lurope: www.prolnno-europe.eu
Small and Medlum |ndustry Development Organlzatlon
(ln Turklsh): www.kosgeb.gov.tr
State Plannlng Organlzatlon of Turkey:
www.dpt.gov.tr/lng/
Technology Development Poundatlon of Turkey:
www.ttgv.org.tr
TU8|TAK - Sclentlflc and Technologlcal Pesearch Councll
of Turkey: www.tubltak.gov.tr
TU8|TAK vlslon 2023 Pro[ect: (ln Turklsh) at:
http://vlzyon2023.tubltak.gov.tr
Turklsh Atomlc Lnergy Agency (ln Turklsh):
www.taek.gov.tr
Turklsh Statlstlcs |nstltute: www.turkstat.gov.tr
world 8ank Turkey: www.worldbank.org.tr
T
u
r
k
e
y
8orn ln 8lleclk, Turkey, ln l970, Sirin Eli ls the
founder and dlrector of the Technopolls Group
Turkey, wlthl4 years of experlence ln the fleld of
sclence, technology and lnnovatlon. Prlor to [olnlng
Technopolls, she worked as a manager for the
Technology Development Poundatlon of Turkey
(TTGv), where she dealt malnly wlth the deslgn,
lmplementatlon, monltorlng and evaluatlon of lts
P&D and lnnovatlon support programmes, as well
as the formulatlon and lmplementatlon of natlonal
pollcles.
Durlng the course of her career, she has taken part
ln several pro[ects and programmes of the Luropean
Commlsslon. |n addltlon, she has worked as a
consultant on lnternatlonal and natlonal pro[ects
wlth the world 8ank, Luropean Unlon and a varlety
of government departments and organlzatlons ln
Turkey.
Currently, she ls the natlonal correspondent for the
|NNO-Pollcy TrendChart and LPAwATCH of the
Luropean Commlsslon. She has also partlclpated
actlvely ln a number of lnternatlonal and natlonal
assoclatlons and networks on P&D and lnnovatlon.
Vojot ttenJs |n tecent yeots ote the
sttonet ot|entot|on ol k80 towotJs
the neeJs ol |nJustty, o qu|te
suostont|ol locus on non-ot|enteJ
teseotch onJ the st|ll |nsull|c|ent shote
ol ovetnment lunJ|n oss|neJ to
soc|ol onJ env|tonmentol |ssues.
Leonld Gokhberg and Tatlana Kuznetsova
Russia chapter (7) [P3]:Layout 1 18/10/10 19:00 Page 214
11
.
Pusslan Pederatlon
|ocr|J ck|bo. .rJ .t|.r. |J.rotscv.
2l5
|||O|||O|
Accordlng to the strateglc document adopted by the
Pusslan government ln 2008, lon-7etm 5oc|ol onJ
lconom|c 0eveloment to 2020: A Pol|cy ltomewotl
(l70P-2020, Pussla had completed lts transltlon to a
market economy and the transformatlon of lts soclal and
polltlcal systems by the turn of the century (Government
of Pusslan Pederatlon, 2008).
Slnce 2005, economlc trends ln Pussla have clearly fallen
lnto two dlstlnct perlods. Durlng the flrst perlod
(2005-2007), the economy grew and quallty of llfe
gradually lmproved, thanks largely to hlgh oll prlces and
an lnltlally weak currency, comblned wlth rlslng domestlc
demand, consumptlon and lnvestment.
The country then experlenced a severe economlc
downturn ln the last quarter of 2008, caused by a global
flnanclal crlsls and subsequent economlc recesslon (Table l).
|n an effort to combat the repercusslons of thls recesslon,
the Pusslan government, llke governments elsewhere,
developed an extenslve natlonal recovery package,
7he Ant|-ct|s|s Plon lot the kuss|on leJetot|on (Government
of Pusslan Pederatlon, 2009). Thls package ls expected to
help cushlon the soclal cost of the recesslon, malntaln a
robust flnanclal system and support some key lndustrlal
sectors, such as motor vehlcle and alrcraft manufacture,
metallurgy and pharmaceut lcals. Thls wlll requlre
substantlal publlc funds, the recovery package cumulated
at about US$ 88.4 bllllon for 2008-20l0 and represented
approxlmately 9% of Pusslan GDP for 2009. Lxperts
belleve, however, that the recovery package may
aggravate the rlsk of lmmoderate government
lnterventlon ln the economy and slow down certaln
lnstltutlonal reforms, partlcularly those lntended to brlng
about a radlcal modernlzatlon of the economy and reform
the country's sclence, technology and lnnovatlon (ST|)
system (|NSOP, 2009).
The current economlc recesslon ls maklng lt even more
dlfflcult for Pussla to respond to presslng long-term global
challenges, such as demographlc trends, health lssues,
cllmate change and both energy and food securlty. These
challenges are exacerbatlng domestlc weaknesses and
hamperlng the growth of the Pusslan economy. Accordlng to
the l70P-2020, the gravest among these weaknesses lnclude:
I Pussla's dependence on raw materlals, wlth economlc
growth and a better quallty of llfe belng ensured
chlefly by export earnlngs from oll, gas and other raw
materlals,
I perslstent structural lmbalances ln the economy and a
technologlcal gap wlth leadlng lndustrlal natlons,
I the monopollzatlon of most local markets, whlch
suppresses lncentlves to lmprove productlvlty and
competltlveness,
I perslstent barrlers to entrepreneurshlp and lnadequate
protectlon of ownershlp rlghts, lncludlng lntellectual
property rlghts,
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Table 1: Ma[or soclo-economlc lndlcators ln Pussla, 2005-2009
Petcentoe chone ovet tev|ous yeots
2005 2006 2007 20002007* 2008 2009
GDP l06.4 l07.4 l07.6 l07.0 l05.6 92.l
Consumer prlce lndex ll0.9 l09.0 ll2.0 ll3.6 ll4.l lll.7
|ndustrlal productlon lndex l04.0 l04.4 l06.0 l05.8 l02.l 95.7
Capltal lnvestment ll0.9 ll3.7 l20.0 ll2.5 l09.l 83.0
Peal lncome of populatlon ll2.4 ll3.3 ll0.3 lll.6 l02.7 l0l.9
Peal average monthly wages ll2.6 ll3.3 ll5.8 ll5.0 l09.7 l08.5
Petall trade turnover ll2.8 ll3.9 ll5.0 lll.6 ll3.0 94.5
Turnover of servlces purchased by populatlon l06.3 l07.6 l07.2 l05.7 ll2.8 95.7
Lxports l33.l l24.7 ll6.5 l22.l l40.2 60.9
|mports l28.8 l3l.3 l36.8 l24.6 l34.9 63.6
Ànnual average growth rate
5outce: Government of Pusslan Pederatlon (2008) lon-7etm 5oc|ol onJ lconom|c 0eveloment to 2020: A Pol|cy ltomewotl, MLD (2009) Von|tot|n ol
lconom|c 0eveloment |n the kuss|on leJetot|on, Posstat (2009) 7he 5oc|o-lconom|c Pos|t|on ol kuss|o: 2009, p. 7.
Constructed
ln l959, the
Pushchlno Padlo
Astronomy
Observatory ln
Pussla has four
fully steerable
radlo telescopes,
a wlde-band radlo
telescope and a
nomenclature
Large Phased
Array.
Photo: 0m|tty
VotJv|ntsev/
|5toclhoto
|||SO S|||| |||O| 2010
I a lack of approprlate lncentlves and condltlons for
fosterlng a 'pragmatlc coalltlon' between buslness,
the government and the publlc,
I a low level of confldence ln state authorltles,
comblned wlth the lnsufflclent effectlveness of
publlc governance,
I glarlng economlc and soclal dlfferences between
reglons, and
I a number of soclal lssues, such as the slgnlflcant
lnequallty ln lncome dlstrlbutlon and ln the
development of soclal lnfrastructure.
All thls makes Pussla's posltlon extremely vulnerable and
unsustalnable ln the long term and prevents a rapld
transltlon to post-crlsls recovery and growth. The Presldent
of the Pusslan Pederatlon, Dmltry Medvedev, conceded
thls fact, ln essence, when he declded to set up and head
the Commlsslon for the Modernlzatlon and Technologlcal
Development of Pussla's Lconomy ln May 2009.
More recently, ln hls State of the Natlon address to both
houses of Parllament on l2 November 2009, he sald that
'we must start modernlslng and technologlcally
upgradlng the entlre productlon sphere. Thls ls an lssue of
our country's survlval ln today's world.' The Presldent
spoke of the declslon to develop new medlclnal and space
technologles and telecomm unlcatlons, as well as to
'radlcally lncrease energy efflclency.' One target he clted
was for 50% of medlclnes commerclallzed ln Pussla to be
Pusslan-made by 2020. The Presldent added that
government support would henceforth target those
companles wlth expllclt plans to ralse efflclency and
lmplement hlgh-tech pro[ects (Presldent of the Pusslan
Pederatlon, 2009).
2l6
|| ||||
Gross domestlc expendlture on research and development
(GLPD) ln Pussla almost doubled at constant prlces durlng
l998-2008 (Plgure l). Thls ls one of the hlghest growth rates
for P&D lnvestment worldwlde. However, current GLPD ln
Pussla has stlll not cllmbed back to l99l levels (lt stands at
76.4%), nor even to half the level of l990, the last year of
exlstence of the Unlon of Sovlet Soclallst Pepubllcs (USSP).
Pederal budget allocatlons for clvll P&D grew l.3-fold
between 2005 and 2008 at constant prlces, about 40%
of whlch was allocated to supportlng baslc research.
Also on the rlse has been flnanclal support for P&D
through publlc procurement procedures - such as wlthln
the framework of federal targeted P&D programmes -
as well as contrlbutlons to publlc sclence foundatlons,
grants to outstandlng research scholars and lnternatlonal
co-operatlon ln sclence and technology (S&T).
As a consequence, the salarles of research staff have
also gone up. These are now 8.5% hlgher than the
average for the economy as a whole and l3.5% hlgher
than salarles ln the manufacturlng sector. The amount
of P&D spent on each researcher ln Pussla
(PPP US$ 40 l00) nevertheless remalns much lower
than ln other leadlng countrles such as Germany
(PPP US$ 238 000), the USA (PPP US$ 233 000) or the
Pepubllc of Korea (PPP US$l73 000). Levels of
expendlture ln Pussla are stlll lnsufflclent to upgrade
radlcally the quallty of research equlpment to
compensate for years of neglect, even though thls ls a
cruclal factor ln ensurlng excellence ln P&D (8ox l).
Box 1: Pussla's lnadequate facllltles for research
|c. n.ry yo..s, |Jss|. |.s ro|t|o.
Jp..JoJ cr . ..rJ sc.|o rc.
.op|.coJ c. .c,J|.oJ n.c||ro.y,
o,J|pnort .rJ ct|o. |.c|||t|os |c.
.oso..c| .|or t|o rooJ |.s n.Jo
|tso|| |o|t. As . ccrso,Jorco,
v|t.| .oscJ.cos |c. .oso..c| |.vo
rc. Joto.|c..toJ c. ..o |r s|c.t
sJpp|y.
|rst.||.t|crs spoc|||c.||y Jos|roJ |c.
|| ..o .v.||.b|o .t |oss t|.r c|
|| c..r|..t|crs .rJ |oss t|.r 20
c| t|on |.vo t|o|. c.r oxpo.|nort.|
b.so, |c. t|o |c.no. |SS|, t||s ||J.o
..s 34.
5outce: HSL (2008o)
Oro,J..to. (25) c| t|o n.c||ro.y
.rJ o,J|pnort JsoJ |c. || |r |Jss|.
|s nc.o t|.r 10 yo..s c|J .rJ 12.3
nc.o t|.r 20 yo..s c|J. |o Jo.oo c|
.o.. .rJ to.. |.s boor c.|cJ|.toJ .t
55.2. Ovo..||, t|o s|..o c| sc|ort|||c
o,J|pnort |r t|o ..o.to v.|Jo c|
n.c||ro.y .rJ o,J|pnort |r t|o
|Jss|.r || soctc. |s 35.5.
|Jss|.r |oJo..t|cr
2l7
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Thls sald, ln absolute terms, Pussla has managed to
conserve lts place among the world's top ten spenders
slnce 2000. Durlng 2005-2008, GLPD ln Pussla lncreased
from PPP US$l8.l bllllon to PPP US$24.5 bllllon. Thls stlll
places Pussla far behlnd the USA (flfteen tlmes hlgher),
1apan (slx tlmes hlgher), Chlna (four tlmes hlgher),
Germany (three tlmes hlgher) and Prance (twlce as hlgh).
Por the purposes of comparlson, Pussla tralled only the
USA, 1apan, Germany and Prance ln l99l after the
collapse of the Sovlet Unlon. As for Pussla's GLPD/GDP
ratlo of l.03% (2008), thls ls lower than ln 2007 (l.l2%)
and a far cry from lts level of l.43% ln l99l. Pussla ranks
3l
st
for thls lndlcator ln OLCD and UNLSCO publlcatlons
(Colhoet, 2007, . 10-11.
Over the past few years, there has been llttle lmprovement
ln the structure of P&D fundlng and performance, or ln the
soclo-economlc ob[ectlves of GLPD. Demand for P&D ln
Pussla stlll comes mostly from the government, whlch
remalns the key source of P&D fundlng at around 65% of
GLPD. The contlnulng large share of the state budget
dedlcated to P&D ls a necesslty to a certaln extent,
reflectlng the weakness of all other sources of fundlng.
The buslness sector provldes [ust 29% of GLPD, a share
that has even fallen sllghtly slnce 2005 (30%).
However, the roles of the government and buslness
sectors are reversed when lt comes to performlng P&D.
Here, lt ls the buslness sector (lncludlng both prlvate
and publlcly owned companles) whlch performs nearly
two-thlrds of P&D and the government sector [ust 30%.
Hlgher educatlon lnstltutlons contrlbute the remalnlng
7%. Our analysls suggests that, unless lt ls accompanled
by strong government lncentlves for prlvate lnvestment
ln P&D, growlng publlc fundlng for P&D may lncreas -
lngly substltute company flnanclng rather than
complementlng lt.
Plgure 2 shows government fundlng of P&D by soclo-
economlc ob[ectlve. Ma[or trends ln thls regard ln
recent years are the stronger orlentatlon of P&D
towards the needs of lndustry, a qulte substantlal focus
on non-orlented research (at a stable quarter of GLPD)
and the stlll lnsufflclent share of government fundlng
asslgned to soclal and envlronmental lssues, even
though these areas are no less lmportant than others
for soclo-economlc progress ln Pussla. Lnergy-related
research, as well as that almed at exploratlon and
exploltatlon of the Larth and atmosphere and clvll
space appllcatlons, has recently galned a sllghtly
greater stake ln the overall flnanclng of P&D.
Figure 1: GLPD ln Pussla, l990-2008
5outce: HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on 5oc|ety, HSL (2009b) 5c|ence lnJ|cotots: 2009
500 000
450 000
400 000
350 000
300 000
250 000
200 000
150 000
100 000
50 000
0
1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
12 000
10 000
8 000
6 000
4 000
2 000
0
10 898
431 073
13.1
5 475
At current prices, in millions of roubles; before 1998, in billions of roubles
At constant prices, thousands of roubles; before 1998, in millions of roubles
Agriculture
Energy
Industry
Other economic objectives
Human health
Control and care of the environment
Social development
General advancement of research
Exploration and exploitation
of the Earth and atmosphere
Civil space
Other
2.5
3.5
4.4
1.7
0.7
0.4
27.8
2.4
2.7
32.1 21.7
2.6
4.3
4.6
2.3
1.0
0.8 25.7
2.9
3.2
27.4
25.1
Figure 2: Government expendlture on P&D ln Pussla by soclo-economlc ob[ectlve, 2004 and 2008 (%)
5outce: HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on 5oc|ety, HSL (2009o) 5c|ence lnJ|cotots: 2009
|||SO S|||| |||O| 2010
||||S || ||VA| ||SO|||S
An ageing research population
|n 2008, there were 76l 300 people engaged ln P&D ln
Pussla, lncludlng researchers, technlclans and support
staff. Thls represented l.3% of the Pusslan labour force, or
0.6% of the total populatlon. After several years of decllne,
thls number has now more or less stablllzed. The same ls
true for researchers, who totalled 375 800, or 49% of P&D
personnel, ln 2008. |n terms of the absolute numbers of
P&D staff, Pussla ls among the world leaders, comlng only
after the USA, 1apan and Chlna. However, the dynamlcs
and structure of P&D personnel ln Pussla reveal an
unhealthy lmbalance. Unllke ln many other countrles,
researchers ln Pussla account for less than half of P&D
personnel. The remalnder are mostly support and auxlllary
staff (43%), rather than technlclans servlng the sclentlflc
process (8%). As a result, Pussla ranks l0
th
globally ln
terms of the number of people engaged ln P&D per
l0 000 employees but l9
th
ln terms of researchers.
To compound matters, more than 70% of researchers ln
Pussla hold no advanced sclentlflc degree.
8etween 2002 and 2008, the age structure of researchers
was marked by absolute growth ln the two polar groups,
namely sclentlsts under 30 years of age (up by nearly l8%)
and those aged 70 years and above (up by a factor of two).
Slmultaneously, the ranks thlnned of such creatlve age
groups as 40-49 year-olds (down by nearly 58%) and
2l8
50-59 years (down by l3%). The bottom llne ls that about
40% of Pusslan researchers have overstepped the offlclal
retlrement age of 55 years for women and 60 years for
men. |n 2008, researchers were 49 years old on average,
compared to an average age of 40 years for those worklng
ln the natlonal economy as a whole.
A new type of university
The network of lnstltutlons of hlgher educatlon ls growlng
steadlly ln Pussla. 8y 2009, they numbered l l34 across
the country. Of these, 660 are state-owned or munlclpal
lnstltutlons, the remalnder belng prlvately owned.
Lxlstlng leglslatlon deflnes three types of hlgher
educatlon lnstltutlon: unlversltles wlth multl-proflle
research actlvlty (53% of the total), academles wlth
mono-proflle research actlvlty (25%), and lnstltutes that
conduct no research at all (22%). |n addltlon, a fourth
type was lntroduced ln 2008-2009, the federal unlverslty.
Thls ls a large-scale lnstltutlon usually resultlng from the
merger of smaller local unlversltles to become a key
educatlonal centre for macroreglons. So far, the
government has declded to lnaugurate seven such
unlversltles ln Pussla: ln the clty of Postov-on-Don ln the
south of the country, ln the Slberlan clty of Krasnoyarsk,
ln Arkhangelsk (the Luropean North), ln Kazan (volga
Peglon), ln Lkaterlnburg (Urals), ln akutsk (Last Slberla)
and ln vladlvostok (Par Last), other candldate lnstltutlons
are under conslderatlon.
2004 2008
|Jss|.r |oJo..t|cr
2l9
The status of a glven hlgher educatlon lnstltutlon ln
terms of lts allocatlon to one of these four categorles
depends on the nature of the educatlon and research
offered, as well as the comprehenslveness of educatlonal
programmes. |n the present chapter, we shall use the
generlc term of 'unlverslty' to cover the varlous types of
hlgher educatlon lnstltutlons, ln the lnterests of
slmpllclty.
|n 2008, 4.5% of unlverslty students were enrolled ln
natural sclences and l8.6% ln englneerlng. Medlclne and
agrlculture attracted 2.8% and 3.2% of student enrollment
respectlvely. Soclo-economlc and managerlal dlsclpllnes
and the humanltles have en[oyed sustalnable demand
ever slnce a shortage ln educatlonal supply ln thls sphere
was revealed ln the l990s when market-orlented reforms
were launched. wlthln a few years, the sltuatlon had
rlghted ltself to the polnt where concern was volced at the
excesslve numbers of lawyers, economlsts, managers,
accountants and the llke belng produced by unlversltles.
Today, the proportlon of graduates ln these flelds remalns
unchanged: ln 2008, 32.5% students ln the publlc
unlverslty sector obtalned degrees ln economlcs and
management, l6.3% ln humanltles and 9.2% ln educatlon.
Prlvate unlversltles are even more reluctant than the publlc
sector to alter thelr pollcles and contlnue to turn out large
numbers of students speclallzlng ln the humanltles (32.6%)
and ln economlcs and management (58.4%).
|n 2008, the unlverslty enrollment rate ln Pussla was
529 persons per l0 000 populatlon, up from 495 ln 2005
(8ox 2). Over the same perlod, the number of graduates
per l0 000 employees shrank from l98 to l72. Desplte the
dynamlc growth of prlvate unlversltles (by nearly one-thlrd
durlng the 2000s), over 80% of all students - both
undergraduates and graduates - stlll pass through publlc
unlversltles. |n vlew of thls large proportlon and the after-
effects of the global economlc recesslon, lt would be
dlfflcult to say what the future prospects wlll be for prlvate
unlversltles ln Pussla, especlally conslderlng the broad
crltlclsm they have attracted for the quallty of tralnlng they
offer. wlth stronger competltlon, those unlversltles that are
unable to ensure quallty educatlon wlll be ousted from the
market. Another essentlal factor ls the growth of student
bursarles: ln 2008, nearly 59% of entrants admltted to
publlc unlversltles were ln possesslon of a bursary. Thls
trend ls also havlng an lmpact on the way prlvate
lnstltutlons of hlgher educatlon functlon, slnce they malnly
serve local markets and usually have no substantlal lmpact
on lnter-reglonal student moblllty.
Modernizing the higher education system
The Pusslan hlgher educatlon system has undergone
slgnlflcant modernlzatlon ln recent years. |n addltlon to the
tradltlonal flve-year speclallst tralnlng programme,
bachelor's and master's programmes have been
lntroduced (Plgure 3). Slnce Pussla only [olned the 8ologna
Conventlon ln 2003 (see oe l50), over 90% of graduates
wlth flve years of study behlnd them stlll recelve 'speclallst
wlth hlgher educatlon' dlplomas, [ust over l% obtaln a
master's degree after slx years of study and 7% a bachelor's
degree after four years of study.
The quallflcatlons of lecturers have lmproved vlslbly.
8y early 2009, the number of Doctors of Sclence ln publlc
unlversltles had cllmbed to 42 l00, or l2.3% of all faculty
staff, a proportlon that lncludes those worklng part-tlme.
More than half of lecturers held a Candldate of Sclence
degree, equlvalent to a PhD. |n 2003, the proportlons were
a llttle lower: ll.3% and 46.8% respectlvely.
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Box 2: Hlgher educatlon popular ln Pussla
Accc.J|r tc t|o 2002 pcpJ|.t|cr
corsJs, 19.0 n||||cr pocp|o .oJ
cvo. 15 yo..s |c|J Jr|vo.s|ty Jo.oos
|r |Jss|.. ||s .op.osorts .bcJt
16.0 c| t|o cvo..|| pcpJ|.t|cr |r
t||s .o .cJp, ccnp..oJ tc
11.3 |r 1989. Ancr t|cso .oJ
2029 yo..s, t|o s|..o |s ro..|y t|o
s.no. 16.1.
c.Jc|.| .c|o t|oy p|.y |r cbt.|r|r
.o||p.|J pcs|t|crs (2 c|
.ospcrJorts), boccn|r ||||y
Jon.rJoJ p.c|oss|cr.|s (45),
.c||ov|r sJccoss .rJ orcy|r
.o...J|r c..oo.s (41), .rJ socJ.|r
|rto.ost|r .rJ c.o.t|vo cbs (22).
5outce: Petrenko et ol. (2007) ), HSL (2009o)
|oJ|.. sJ.voys c| |cJso|c|J
.tt|tJJos tc oJJc.t|cr s|c. t|.t t|o
n.c.|ty () c| .ospcrJorts .|t|
c|||J.or .oJ bot.oor 4 .rJ 22 yo..s
ccrs|Jo. |||o. oJJc.t|cr tc bo
|npc.t.rt |c. t|o|. c|||J.ors |JtJ.o,
56 c| |cJso|c|Js s.y t|oy .cJ|J bo
.||||r tc |rvost |r |||o. oJJc.t|cr.
|r|vo.s|ty Jo.oos ..o v.|JoJ |c. t|o
|||SO S|||| |||O| 2010
The tralnlng of professlonals wlth top sclentlflc
quallflcatlons lncludes postgraduate programmes that
confer a Candldate of Sclence degree (equlvalent to a PhD)
and doctoral courses leadlng to the hlghest sclentlflc
degree ln Pussla, the Doctor of Sclence. |n 2008,
post graduate S&T programmes were offered by
l 529 organlzatlons, 7l8 of whlch were unlversltles and
the remalnder research lnstltutes. Some 39% of these
organl zatlons - 388 unlversltles and 205 research lnstltutes
- also ran doctoral courses.
women made up [ust under half (43-45%) of the
l47 700 postgraduate and 4 200 doctoral students ln
S&T flelds ln 2008. Most of the postgraduates (88%) and
doctoral students (92%) speclallzlng ln sclentlflc dlsclpllnes
are on the unlverslty payroll. Thls means that the tralnlng
of hlghly quallfled sclentlsts ln Pussla, llke elsewhere, ls
lncreaslngly becomlng a core mlsslon of unlversltles and a
top prlorlty for them. Among dlsclpllnes for postgraduate
tralnlng, lt ls englneerlng, economlcs, law, medlclne and
pedagogy whlch take the lead. Lnglneerlng and
economlcs also tend to attract the most doctoral students,
although thelr next preferences go to pedagogy, phllology,
physlcs and mathematlcs.
220
The dynamlcs of postgraduate tralnlng ln Pussla have
generally stablllzed ln recent years. However, thls also
means that success rates have not lmproved: the
percentage of students who completed thelr thesls wlthln
the prescrlbed perlod dropped from 30% to 26% ln 2000-
2008 (and even from 23% to l5% ln research lnstltutes).
The average age of researchers upgradlng thelr
quallflcatlons has rlsen to 4l years for doctoral students
and 26 years for postgraduate students.
The natlonal system for tralnlng sclentlflc personnel and
provldlng certlflcatlon stlll suffers from lnefflclency and
lnflexlblllty. The key concerns are:
I the decllnlng quallty standards for theses,
I the poor output of postgraduate and doctoral courses,
wlth most graduates falllng to dellver thelr completed
theses on tlme,
I protracted and excesslve formallzatlon of certlflcatlon
procedures that are sometlmes accompanled by blased
attltudes and lack of ob[ectlve peer revlew,
I the lnsufflclent transparency of actlvltles undertaken
by dlssertatlon boards at some unlversltles and
research lnstltutes.
These lssues become even more alarmlng ln llght of the
shlft announced by pollcy-makers towards an economy
where the capaclty to lnnovate ls cruclal. |n thls context,
there ls a need for efflclent mechanlsms to renew the stock
of hlghly quallfled personnel and, ln partlcular, to ensure
thelr hlgh-quallty tralnlng, promotlon and rotatlon. Thls
also calls for condltlons conduclve to consolldatlng human
resources ln S&T, educatlon and hlgh-tech lndustrles. One
pollcy currently belng consldered ls the lnstlgatlon of a
separate advanced degree system for practltloners, such as
buslnessmen, clvll servants and lawyers, to ensure
adequate recognltlon of thelr professlonal achlevements ln
a form other than advanced sclentlflc quallflcatlons.
VA'O| ||||S A|| ||+ ||Ob||VS
|| ||
Greater support required for university research
Pussla's hlgher educatlon sector possesses slgnlflcant S&T
potentlal and long-standlng research tradltlons. However,
unlversltles stlll play a mlnor role ln new knowledge
productlon: ln 2008, they contrlbuted [ust 6.7% of GLPD,
a flgure that has remalned falrly stable for the past two
Figure 3: Hlgher educatlon system ln Pussla for
sclentlflc dlsclpllnes, 2009
5outce: HSL (2009a) lJucot|on |n the kuss|on leJetot|on
Age Years of study
Age Age Years of study
Doctor of Science degree
Candidate of Science degree
Postgraduate studies
25/28
24/27
23/26
3
2
1
3
2
1
6
5
4
3
2
1
22/25
21/24
20/23
19/22
18/21
17/20
21/24
20/23
19/22
18/21
17/20
5
4
3
2
1
Diploma of specialist
with higher education
Bachelors degree
Masters degree
|Jss|.r |oJo..t|cr
22l
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
decades. Other key lndlcators also reflect a low engagement
of unlverslty staff ln P&D (Plgure 4). Only one out of three
unlversltles performs P&D, compared wlth half (52%) ln
l995. As for the prlvate unlversltles whlch emerged ln the
l990s, they hardly perform any research at all. Unlverslty
P&D laboratorles have not yet become a magnet for
sclentlsts. As a result, the populatlon of full-tlme researchers
at unlversltles remalns relatlvely small but stable ln most
cases: 28 900, or about 7.7 % of the country's research pool.
|n addltlon to lnsufflclent, albelt growlng government
support for unlverslty research, the hlgher educatlon sector
faces serlous problems that are to a large extent dependent
on avallable fundlng mechanlsms. Publlc unlversltles are
budget entltles wlth legally llmlted rlghts. They recelve
regular fundlng wlthln the framework of educatlonal
programmes prlmarlly but only a handful are able to compete
wlth research lnstltutes for tender-based P&D pro[ects.
8oostlng support for unlverslty research has become one
of the most lmportant strateglc orlentatlons of ST| and
educatlon pollcles ln Pussla. Por lnstance, the Natlonal
Prlorlty Pro[ect for Lducatlon (2006-2007) envlsaged
competltlve grants for unlversltles lmplementlng
lnnovatlve educatlon programmes. |t provlded each of
these centres of excellence wlth addltlonal fundlng of
approxlmately US$ 30 mllllon ln the form of two-year
lnstltutlonal grants. These grants served to promote
human resource development, hlgh-quallty P&D and
educatlonal pro[ects, and the acqulsltlon of research
equlpment. There were 57 beneflclarles ln 2006-2007.
The maln challenge today wlll be to ensure the
sustalnablllty of thls pro[ect (Gokhberg et ol., 2009o).
The Natlonal Prlorlty Pro[ect for Lducatlon ls not the only
government lnltlatlve to have provlded centres of
excellence wlth support. |n 2008, two Moscow-based
unlversltles, the Unlverslty of Lnglneerlng and Physlcs and
the Unlverslty of Steel and Alloys, obtalned the coveted
label of natlonal research unlverslty, a status that should
channel subsequent lncentlves for P&D and educatlonal
actlvltles thelr way. |n 2009-20l0, a follow-up programme
selected another 27 natlonal research unlversltles ln
dlfferent areas of S&T.
Over the perlod 2009-20l3, the federal programme
Sclence and Lducatlon Personnel for an |nnovatlve Pussla
(launched ln 2008) ls offerlng varlous lncentlves to attract
young talent and hlghly skllled professlonals to
unlversltles and P&D lnstltutlons. These lncentlves come ln
the form of contest-based fundlng for advanced research
pro[ects at sclence and educatlon centres, and grants for
glfted young sclentlsts, teachers and postgraduate
students, as well as for Pusslan sclentlsts and teachers
returnlng from abroad. All of these lnltlatlves wlll be
lmplemented regardless of any current flnanclal obstacles.
|n order to brlng research lnstltutes and unlversltles closer
together and remove exlstlng legal and admlnlstratlve
barrlers, a federal law on Chones to 5electeJ lows ol the
kuss|on leJetot|on concetn|n the lntetot|on ol lJucot|on
onJ 5c|ence was adopted ln 2007. |t provldes a legal basls
for dlfferent models of lntegratlng sclentlflc research wlth
unlverslty tralnlng, such as settlng up laboratorles of
publlc research lnstltutes on unlverslty grounds and
establlshlng speclallzed unlverslty departments at leadlng
research lnstltutes.
Figure 4: Stafflng levels at Pusslan publlc unlversltles, l996-2008
Faculty sta (headcount)
thousands
Personnel engaged in
R&D as % of the total
number of faculty sta
Researchers (headcount)
thousands
1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
400
350
300
250
200
150
100
50
0
30
25
20
15
10
5
0
24.2
341.1
243.0
19.3
26.3 28.9
T
h
o
u
s
a
n
d
s
(%)
5outce: HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on 5oc|ety, HSL (2009o) lJucot|on |n the kuss|on leJetot|on,
HSL (2009o) 5c|ence lnJ|cotots: 2009
|||SO S|||| |||O| 2010
222
Conflicting trends in R&D
The P&D sector ln Pussla ls stlll developlng along
confllctlng llnes and remalns sub[ect to confllctlng trends.
On the one hand, many posltlve changes can be observed,
whlch are partlcularly lmportant slnce they mark a break
wlth a longlastlng 'blg crlsls' perlod for Pusslan S&T.
Desplte all the dlfflcultles ln the past two decades born of
the collapse of the USSP and the so-called shock-therapy
transltlon to a market economy, Pussla has been able to
malntaln lts strong posltlon ln baslc research and ln certaln
prlorlty flelds of applled P&D (examples belng physlcs,
nuclear research, space, blotechnology, organlc chemlstry
and Larth sclences) to ensure an unbroken flow of
technology to lndustry. At the same tlme, the natlonal
S&T sector contlnues to stagnate. |t has three speclal
characterlstlcs whlch stlll follow - to a certaln extent -
the Sovlet model:
I The S&T sector ls relatlvely large ln relatlon to lts
productlvlty, centrally dlrected and government
flnanced (Kuznetsova, l992, Gokhberg et ol., l997).
These features are lll-sulted to a market economy,
I There ls a strlklng lmbalance between the country's
performance ln ST|, on the one hand, and the growlng
quantlty of flnanclal resources devoted to P&D, on the
other. Moreover, the llon's share of these resources
mostly clrculates beyond the realm of the lndustrlal
and unlverslty sectors ln publlc research lnstltutlons.
Market reforms of the natlonal lnnovatlon system are
much slower and more superflclal than those ln other
sectors of the economy and remaln lncomplete.
Accordlngly, whlle only 3-4% of buslnesses ln the
Pusslan economy are stlll publlcly owned, the flgure
for P&D-performlng unlts ls over 70% (Posstat, 2008,
pp. 349, HSL, 2009o, pp. 36-37.
I Structural lndlcators demonstrate that the lnstltutlonal
model of Pusslan S&T remalns obsolete and erects
multlple barrlers between P&D, lndustry and educatlon,
thls ls lmpalrlng the quallty of the supply of S&T ln
Pussla and weakenlng Pussla's posltlon ln the global
S&T arena. |t wlll obvlously be extremely dlfflcult for
Pussla to pursue lts economlc development and sustaln
lts competltlve posltlon lf thls model ls not radlcally
amended. However, the S&T sector wlll not be able to
deal wlth the problems lt faces ln lts development, nor
lmplement the necessary reforms effectlvely, as long as
lt remalns under the yoke of government.
Changing the organizational structure
of the R&D network
|nstltutlons executlng P&D ln Pussla have been sensltlve to
demand. |n 2000-2005, thelr number decreased by nearly
l3%, whereas ln 2005-2007, thelr number lncreased by
ll%. |t ls hardly surprlslng that the latest flnanclal crlsls has
sent numbers plunglng agaln: the network shrank by 7% ln
2007-2008, from 3 957 unlts to 3 666.
However, the structure of the P&D network remalns much
the same, glven that the lnstltutlonal features of Pussla's P&D
sector have changed llttle. As before, lt ls mostly domlnated
by research lnstltutes, lndustrlal deslgn bureaux and
technologlcal organlzatlons that are legally lndependent of
unlversltles and lndustrlal enterprlses (Plgure 5). Thls tradltlon
does not correspond to lnstltutlonal arrangements
characterlstlc of mature market economles, where natlonal
P&D sectors are typlcally led by lndustrlal companles and
unlversltles. On the contrary, the latter stlll play a mlnor
role ln Pusslan P&D: accordlng to offlclal statlstlcs, there were
only 239 lndustrlal enterprlses and 503 unlversltles
engaged regularly ln P&D ln 2008 (l5l, 2010.
|| O|||
Trends in publications and patents
Deflclencles ln Pussla's S&T sector are reflected ln P&D
output and the lmpact of research appllcatlons on the
economy and soclety. |n 2008, Pusslan sclentlsts publlshed
27 300 artlcles ln the [ournals lndexed ln the web of
Sclence, correspondlng to 2.48% of the world total (HSL,
20l0). Por thls lndlcator, Pussla ranks l4
th
worldwlde. Thls ls
a drop from 7
th
place ln l995 and an even greater fall from
the 3
rd
place occupled by the former USSP ln l980.
whlle patentlng actlvlty ln Pussla ls relatlvely lntenslve, wlth
about 42 000 patent appllcatlons annually, placlng Pussla
6
th
worldwlde, the share of reglstered llcenslng contracts ln
the country ls low: 5-6% of annually reglstered patents. Thls
can largely be explalned by lnsufflclent lndustrlal demand
for lnnovatlon but also by the poor competltlveness of
Pusslan technologles, especlally those destlned for clvlllan
appllcatlons. The supply of technology ls unsubstantlal ln
Pussla and blased towards mostly unpatented P&D results.
Annual technology exports from Pussla amount to [ust
US$ 0.8 bllllon, thls compares wlth US$ 2.5 bllllon for
Hungary, US$ 3.8 bllllon for Plnland and US$ 85.9 bllllon
for the USA.
|Jss|.r |oJo..t|cr
223
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
|f we take another lndlcator, Pussla's lnnovatlon actlvlty
expressed as a percentage of the lndustrlal enterprlses
engaged ln technologlcal lnnovatlon has remalned at
9-l0% slnce 2000. The economles of the Luropean Unlon
(LU) perform much better for thls lndlcator, ranglng from
a low of 20% ln Hungary to a hlgh of 63% ln Germany.
At the same tlme, the substantlal l.6-fold lncrease ln
expendlture on technologlcal lnnovatlon ln Pusslan
lndustry between 2000 and 2008 holds some promlse for
domestlc goods belng more competltlve ln the future.
||\ S| |O||||S
Towards greater competitiveness and
economic growth
The ob[ectlves of Pusslan ST| pollcles slnce 2005 have been
largely determlned by soclo-economlc and polltlcal factors.
As we have seen ln Plgure l, the government was able to
pump conslderable addltlonal resources lnto the S&T
sector, thanks to hlgh oll and gas prlces up untll the start of
the global recesslon ln the thlrd quarter of 2008. However,
Pussla needs to deal wlth a whole set of complex
challenges slmultaneously, lncludlng those connected wlth
the generatlon of new ldeas, thelr commerclallzatlon and
transformatlon lnto efflclent technologles and, lastly, the
productlon of competltlve goods and servlces. ST| pollcles
face the dual challenge of havlng to stlmulate both the
demand and supply slde of lnnovatlon markets.
|n recent years, the Pusslan government has lntroduced
a new cycle of strateglc documents and lmplementatlon
programmes, laylng down the foundatlons and ma[or
ob[ectlves of ST| pollcles for the medlum term and long
term. A most essentlal document, 7he 5ttotey lot 587 onJ
lnnovot|on |n the kuss|on leJetot|on unt|l 2015 (2006),
establlshes cruclal new approaches to promotlng allled
actlvltles, as well as a system of programmes and other
pollcy lnstruments that are lnterrelated ln terms of tasks,
tlmellnes, resources and target lndlcators.
Another key document ls the federal target-orlented
programme keseotch onJ 0eveloment |n Pt|ot|ty Ateos lot
587 0eveloment |n kuss|o lot 2007-2012 (2006). |t alms to
ensure accelerated development of the key segments of
the natlonal lnnovatlon system that have lmmedlate llnks
to prlorlty S&T areas.
More generally, concern over how to address new global
and natlonal challenges underplns the presldent's report
On the 5ttotey lot kuss|os 0eveloment to 2020 (2008) and
the aforementloned l70P-2020 wlth the same horlzon of
2020. The report's emphasls on the need to shlft towards an
lnnovatlon-based scenarlo, dlctated by the current state of
the natlonal economy, ls of utmost lmportance. |t also
suggests that lessons could be learned from the experlence
of other natlons that have succeeded ln retalnlng or
lmprovlng thelr global posltlon by relylng on effectlve
lnstltutlons and lnstruments of lnnovatlve growth. 8oth
documents also flx long-term ob[ectlves for S&T and soclo-
economlc development ln Pussla conslstent wlth global
trends and natlonal speclflcltles and capabllltles.
Desplte thelr lnevltable ad[ustment ln 2009 due to the
global recesslon, the measures outllned ln l70P-2020 wlll,
ln the long run, make lt posslble to tackle the prlnclpal
Figure 5: P&D unlts ln Pussla by type and breakdown of personnel, 2008 (%)
15.8
13.7
6.5
11.4
52.5
59.8
22.0
6.8
5.3
6.1
Research institutes
Design bureaux
Industrial enterprises
Universities
Other
5outce: HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on 5oc|ety
7ye ol k80 un|t 8teolJown ol k80 etsonnel
systemlc problems faclng the natlonal S&T sector, namely
an lnefflclent utlllzatlon of resources allocated to P&D,
comblned wlth weak lndustrlal demand for lnnovatlon. |n
partlcular, l70P-2020 outllnes four broad pollcy ob[ectlves
for strengthenlng ST|:
I promotlng lndustrlal demand for new technology and
lnnovatlon,
I lncreaslng the quallty and scale of natlonal P&D
output,
I developlng human capltal capable of meetlng the
challenges and requlrements of an lnnovatlve
economy, and
I establlshlng an effectlve system for flxlng and attalnlng
P&D ob[ectlves and for settlng and lmplementlng long-
term P&D prlorltles.
S||| ||\ |||O||||S |O| ||
Pussla has an establlshed system for ldentlfylng and
lmplementlng P&D prlorltles so that resources can be
dlstrlbuted effectlvely to a llmlted number of flelds ln
compllance wlth natlonal development ob[ectlves,
lnternal and external challenges and llmltatlons. The
current llst of S&T prlorltles was approved by the Presldent
of the Pusslan Pederatlon on 25 May 2006. |t lncludes
elght prlorlty areas and 34 crltlcal technologles. Thls llst ls
lntended to help Pussla address global lssues, ensure
natlonal competltlveness and promote lnnovatlon ln key
areas. |t ls also expected to evolve over tlme ln both slze
and scope (Table 2). Thls llst was used to deslgn the
federal target-orlented programme keseotch onJ
0eveloment |n Pt|ot|ty Ateos lot 587 0eveloment |n kuss|o
lot 2007-2012. Thls was ln turn followed by a government
resolutlon Atov|n the kules lot 5ett|n u, AJjust|n onJ
lmlement|n 587 Pt|ot|ty Ateos onJ the l|st ol Ct|t|col
7echnolo|es ol the kuss|on leJetot|on (2009).
A persistant priority: ICTs
A natlonal S&T foreslght exerclse to 2025 was carrled out ln
Pussla ln 2007-2008 to develop a better approach to
ldentlfylng promlslng S&T areas and assesslng thelr
technologlcal potentlal for lmprovlng the competltlveness
of domestlc lndustry. Plgure 6 shows the results for the fleld
of |CTs obtalned from a Delphl survey
l
conducted wlthln the
framework of the same foreslght exerclse. These estlmates
are used ln strateglc documents on soclo-economlc
development and to deflne government pollcles for ST|. A
new round of the foreslght exerclse up to 2030 was lnltlated
by the Mlnlstry for Lducatlon and Sclence ln 2009.
An emerging priority: nanotechnology
Slnce the 5ttotey lot Nono|nJustty 0eveloment was
publlshed at the Presldent's lnltlatlve ln 2007, great
lmportance has also been attached ln Pussla to the
development and wlder use of nanotechnology (Presldent
of the Pusslan Pederatlon, 2007). Owlng to the economlc
crlsls Pussla experlenced ln the flrst half of the l990s ln lts
transltlon to a market economy, the country [olned the
global nanotechnology race a llttle late. As a consequence,
lts domestlc 'nanomarket' ls stlll ln the early stages.
Nonetheless, the country has managed to preserve lts
sclentlflc potentlal ln thls domaln, along wlth lts world-class
expertlse and unlque sclentlflc facllltles, whlch lnclude
synchrotron and neutron sources and atomlc force
mlcroscopy. Pussla flgures among the global leaders ln a
number of speclflc areas of nanotechnology, lncludlng the
development of new constructlon materlals, catalysts and
catalytlc membranes, the productlon of blochlps for rapld
analysls and dlagnostlcs of dangerous lnfectlons and
dlseases, llght-emlttlng dlodes and advanced llght sources,
and new technologlcal and dlagnostlc equlpment uslng
these advanced technologles. Plgure 7 shows how the level
of Pusslan nanotechnology P&D ln certaln areas compares
wlth state-of-the-art nanotechnology worldwlde.
|n order to moblllze organlzatlonal, materlal, flnanclal and
lntellectual resources ln thls prlorlty area, earmarked
government programmes are belng lmplemented.
The llst lncludes:
I the Programme for Nanolndustry Development ln
Pussla to 20l5,
I the federal target-orlented programmes for the
Development of Nanolndustry |nfrastructure ln Pussla
for 2008-20l0 and for Pesearch and Development ln
Prlorlty Areas for S&T Development ln Pussla for 2007-
20l2. The latter lncludes the prlorlty area 'lndustry of
nanosystems and materlals', and
I speclallzed publlcly funded programmes ln
nanotechnology conducted by state sclence
academles and sclence foundatlons.
|||SO S|||| |||O| 2010
224
l. The Delphl method uses a serles of surveys to gather feedback from
experts on posslble developments ln partlcular areas ln order to establlsh a
collectlve vlslon of the future.
|Jss|.r |oJo..t|cr
225
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Table 2: Lvolutlon of prlorlty areas for P&D ln Pussla, l996, 2002 and 2006
1996 2002 2006*
8os|c teseotch
|nformatlon technologles and electronlcs |nformatlon and telecommunlcatlon |nformatlon and telecommunlcatlon
technologles and electronlcs systems (l8.l%)
New materlals and chemlcal technologles New materlals and chemlcal technologles |ndustry of nanosystems and materlals (9.2%)
Transportatlon New transportatlon technologles Transportatlon, avlatlon and space systems
(44.6%)
Manufacturlng technologles Manufacturlng technologles
Llvlng systems technologles Llvlng systems technologles Llvlng systems (5.9%)
Lcology and ratlonal utlllzatlon of nature Lcology and ratlonal utlllzatlon Patlonal use of natural resources (8.7%)
Puel and power englneerlng Lnergy-savlng technologles Power englneerlng and energy savlng (5.l%)
Space and avlatlon technologles
Armaments, mllltary and speclal Arms, defense and speclal technologles
equlpment
Safety from terrorlsm, counterterrorlsm
actlvltles
|n brackets ls the percentage of GLPD allocated to prlorlty areas of clvll-purpose S&T that ls funded from the federal budget.
5outce: Sokolov, A. (2006) lJent|l|cot|on ol Not|onol 587 Pt|ot|ty Ateos w|th kesect to the Ptomot|on ol lnnovot|on onJ lconom|c Ctowth: the Cose ol kuss|o,
pp. l00-l0l, HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on 5oc|ety
Figure 6: Panklng of |CT areas by lmportance for Pussla, 2008 (%)
Technology for developing electronic component base
Technology for developing intellectual management and navigation systems
Bioinformation technology
Software production technology
Technology of data communication, processing and protection
Other technology
Technology of distributed computing and systems
AVERAGE
Average importance index value (%)
79.8
78.1
76.6
75.3
75.1
70.8
68.3
75.1
0 10 20 30 40 50 60 70 80
5outce: HSL (2008o) kuss|on 587 0elh|: 2025
||S|||||| || || S|O|
A new status for R&D institutions
The tradltlonal domlnance of the state-owned, state
budget-funded lnstltutlons that was characterlstlc of the
Sovlet P&D model remalns one of the key features of the
Pusslan S&T sector (Gokhberg et ol., l997). Durlng the
transltlon to a market economy, varlous types of
commerclal and non-proflt P&D organlzatlons were
allowed to develop but government P&D organlzatlons
underwent llttle change. Nearly 43% of P&D lnstltutes ln
Pussla are stlll fully government-funded.
1ust as natlonal leglslatlon lmposes strlct llmltatlons on
publlc unlversltles, so too does lt on P&D lnstltutes.
|||SO S|||| |||O| 2010
226
|t ls expected that, by 20l5, all the necessary condltlons wlll
be ln place for large-scale manufacturlng of new
nanotechnology-related products ln Pussla and for Pusslan
nanotech companles to enter global markets.
|n 2008-2009, the Hlgher School of Lconomlcs' |nstltute for
Statlstlcal Studles and Lconomlcs of Knowledge ln Moscow
developed a new statlstlcal methodology for collectlng data
regularly on sales of nanotechnology-related products ln
Pussla. Thls pro[ect was carrled out [olntly wlth the Pusslan
Corporatlon for Nanotechnology (Posnano) and the Pederal
Statlstlcal Servlce (Posstat). Sales of nanotechnology-related
products ln 2009 have been estlmated at around l20 bllllon
roubles (approxlmately US$4 bllllon), a flgure that could
grow to seven or elght tlmes thls amount by 20l5.
Figure 7: Level of Pusslan P&D ln nanosystems and materlals, 2008 (%)
28.6 71.4 Technology for producing biocompatible materials
28.6 71.4 Nanotechnology and nanomaterials
22.2 77.8
Nano- and microsystem engineering
78.6 17.9
Technology for production and processing of polymers
and crystalline materials
100
Technology for production of membranes and
catalyst systems
100
Technology for production and processing of composite
and ceramic materials
13.5 81.3 5.29
AVERAGE
Signicant lag Insignicant lag World class 0 10 20 30 40 50 60 70 80 90 100
Percentage
5outce: HSL (2008o) kuss|on 587 0elh|: 2025
|Jss|.r |oJo..t|cr
227
|n many lnstances, thls leglslatlon contradlcts academlc
freedom and economlc reallty. Government P&D lnstltutes
clalm slgnlflcant budgetary allocatlons but are not
expected to provlde any guarantees as to the efflclent use
of thelr budget. As a result, there ls no lmmedlate llnk
between performance and fundlng. Thls ls partlcularly
true of state sclence academles (8ox 3).
A new, more flexlble legal model for state-owned
lnstltutlons has been provlded by the federal Law on
Autonomous |nstltutlons (2006). The new structures wlll
be funded through lump-sum subsldles rather than
through flxed budgetary lnstltutlonal grants broken down
by speclflc cost ltems, as ls the case at present. Thls new
approach ls expected to provlde better and more flexlble
opportunltles for the development of research lnstltutlons
and should lncrease thelr accountablllty when lt comes to
research results. Although they wlll remaln government-
owned entltles, the new lnstltutlons wlll en[oy a certaln
autonomy ln attractlng - and spendlng - funds from non-
governmental sources, lncludlng loans and lnvestments.
Another lmportant domaln of organlzatlonal change ln
the Pusslan P&D landscape ls the plan to establlsh several
large-scale natlonal research centres ln order to ensure
hlgh-tech sectors obtaln cuttlng-edge technology for the
development of new products and processes. These new
centres are also expected to en[oy greater autonomy than
ln the past. The flrst such research centre ls the Kurchatov
|nstltute ln Moscow. |t has been responslble for co-
ordlnatlng research ln nanotechnology and an allled
network ln Pussla, three P&D lnstltutes were subordlnated
to the Kurchatov |nstltute ln 2009.
Evaluation of R&D units performance
Lfflclent restructurlng, coupled wlth lmprovements ln the
way state-funded P&D lnstltutlons operate, requlres
comprehenslve tools for performance evaluatlon. Such
lnstruments are wldely used ln many countrles where they
have proven thelr worth. Durlng the lmmedlate post-
Sovlet perlod ln Pussla, research evaluatlon exerclses
were mostly conflned to the procedures followed by
government agencles and state foundatlons when
decldlng whlch competlng P&D pro[ects to flnance, the
actual output of P&D lnstltutlons was not evaluated.
Thls sltuatlon caused P&D spendlng from the federal
budget to splral upwards between l998 and 2008.
Spendlng trlpled, even as the growth rate of certaln
output lndlcators fell below zero. To reverse the trend,
a government pollcy statement was adopted ln 2008,
entltled On the 5ystem ol Petlotmonce lvoluot|on lot C|v|l
k80 Oton|zot|ons. |ts maln goals are to establlsh
procedures and crlterla for regular performance
assessments of government P&D organlzatlons and to
optlmlze thelr network. The pollcy calls for a statlstlcal
survey to be conducted every flve years, comblned wlth
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Box 3: Modernlzlng Pussla's Academles of Sclence
|o |Jss|.r rot.c.k c| st.to
.c.Jon|os |rc|JJos t|o |Jss|.r
Ac.Jony c| Sc|orcos .rJ t|o ||vo
.c.Jon|os |c. ..|cJ|tJ.o, noJ|c|ro,
..c||toctJ.o .rJ ccrst.Jct|cr,
oJJc.t|cr .rJ ..ts. cot|o., t|oso
.c.Jon|os ccrt.c| 865 .oso..c|
|rst|tJtos .||c| onp|cyoJ . tct.| c|
13 500 || po.scrro| |r .||
cccJp.t|cr.| c.toc.|os |r 2008.
Ovo. t.ct||.Js c| || po.scrro| ..o
onp|cyoJ by t|o |Jss|.r Ac.Jony c|
Sc|orcos 468 |rst|tJtos.
|o ncst JrJsJ.| |o.tJ.o c| t|o
.c.Jon|os |o.| st.tJs |s t|o|. n|xoJ
r.tJ.o, ccnb|r|r o|onorts c| .
|r 2005, . p.c..nno ..s .JcptoJ
tc ncJo.r|.o t|o st.JctJ.o, |Jrct|crs
.rJ |JrJ|r noc|.r|sns c| t|o st.to
.c.Jon|os c| sc|orco. |o .|n ..s tc
st.o.n||ro t|o rot.c.k c| |rst|tJtos
cvo.roJ by t|o .c.Jon|os. Scno
.||c| J|J rct noot ,J.||ty st.rJ..Js
.o.o tc bo c|csoJ, st.|| rJnbo.s .o.o
tc bo .oJJcoJ .rJ s.|..|os |rc.o.soJ.
A|sc orv|s.oJ ..s t|o .oc..r|..t|cr
c| t|o ..y |r .||c| || ..s
ccrJJctoJ tc |np.cvo o|||c|orcy. ||s
p.c..nno ..s sJppcsoJ tc bo |J||y
|np|onortoJ by 2008 bJt |.J st||| rct
boor ccnp|otoJ |r o..|y 2010.
5outce: authors
cvo.rnort |rst|tJt|cr, pJb||c
.sscc|.t|cr .rJ cc.pc..t|cr. |r .o.||ty,
.c.Jon|os .ct .s |c|J|rs, c.r|r
rcrp.c||t c..r|..t|crs. As
cvo.rnort |rst|tJt|crs, t|o
.c.Jon|os ..o .ospcrs|b|o |c.
n.r.|r, ccrt.c|||r, c.o.t|r .rJ
c|cs|r t|oso c..r|..t|crs.
|o ncst .c..y|r |ssJo |s t|o
n|sn.tc| bot.oor, cr t|o cro |.rJ,
t|o .ncJrt c| pJb||c .oscJ.cos sport
cr |JrJ|r .oso..c| .rJ .Jrr|r ccsts
||ko n.|rtor.rco c| t|o .c.Jon|os
p.on|sos .rJ, cr t|o ct|o. |.rJ, t|o
po.|c.n.rco c| t|o .c.Jon|os |r
to.ns c| || cJtpJt.
reviews by evaluation commissions involving major
interest groups, such as government agencies,
businesses, academia, the scientific community and
nongovernmental organizations.
Evaluation criteria are based on the relationship between
input and output. At the end of the evaluation process,
every R&D organization will be assigned to one of three
performance groups: the leaders, middle-runners or
outsiders. Subsequent recommendations can then vary
from closure for outsiders to earmarked support for leaders.
A better legal framework for IPRs and the
commercial ization of new technologies
In recent years, the government has made a determined
effort to promote the market for intellectual assets in Russia
and develop a national system for registering and controlling
publicly funded research projects. It has also created a single
legal and organizational tool addressing intellectual property
rights (IPRs) generated at the expense of the federal budget.
The idea is to involve them in the economic turnover more
widely and effectively than before.
In 2005, the government adopted two resolutions to improve
the efficiency of intellectual property protection and promote
lawful business transactions, co-ordinate the activities of
partner agencies and strike a balance between the interests
of all stakeholders. These are entitledOn the Procedure for
Disposing of Rights to the Results of S&T Activity and On
Government Registration of the Results of Civil-Purpose R&D.
Subsequently, the government focused on developing
and enforcing legislation to regulate the commercialization
of technologies and protect related rights. In 2006, the
Parliament adopted a new Part IV of the Civil Code which
was designed to regulate intellectual activities in Russia.
Two years later, the Law on the Transfer of Rights to
Integrated Technology was adopted. This law aims for a
multiple use of IPRs due to greater patenting and licensing
activities. IPRs created at the expense of the federal budget
will be transferred to market actors on the basis of open
competition. This will allow public R&D organizations and
universities to sell technologies developed under
government-funded contracts to companies which, in
exchange, will be obliged to commercialize these
technologies. Subsequently, most publicly financed IPRs
will not remain in state possession out of the reach of
industrial demand but rather will enter into market
transactions.
228
The ultimate objective of these and other laws and
regulations is to improve the economic, legal and
organizational framework for the commercialization of
technologies to generate income from this activity and
make the national R&D sector more competitive. Another
important objective is to harmonize national legislation with
the Agreement on Trade-Related Aspects of Intellectual
Property Rights (TRIPS), in order for Russia to meet the
requirements for joining the World Trade Organization.
Promoting public private partnerships
Faced with the low demand for innovation and an
insufficient influx of private investment into high-tech
industries, the government decided to set up the Russian
Venture Company (RVC) in 2006. This move was
complemented by the founding of sector-specific state
corporations, such as Rosnano (nanotechnologies),
Rosatom (nuclear energy) and Rosteknologii (Russian
Technologies) in 2007 and 2008.
The role of the RVC is to promote the investment of venture
capital and other forms of financial support for S&T
countrywide. Resources for its capitalization are allocated
from the Investment Fund of the Russian Federation.
The RVC then invests in regional and sectoral venture
companies. The financial role of the sector-specific state
corporations is to ensure that resources are concentrated in
areas of national interest. As a rule, these corporations are
established by special federal laws that determine their
legislative framework, goals and organizational principles.
For example, Rosnano is specifically dealing with the
growing challenges posed by the rapid development of
new nanotechnologies. Its key objectives include the
commercialization of nanotechnology, investment in
nanotechnology-related new businesses and infrastructure
and the development of professional training in this field
(Gokhberget al., 2009a; HSE/IWEIR, 2008).
Tax incentives for strengthening R&D
and innovation
After much debate, several new regulations for reducing
the tax burden on R&D and innovation were adopted in
2007, followed by tax breaks established by the latest
changes to the Tax Code taking effect in 2008. The most
important novelties include new rules for calculating
value-added tax (VAT), a tax on profits, and an overall
simplification of the taxation system. For example, profits
generated by selling or licensing IPRs are now exempt
from VAT. A list of tax-exempt services that support the
Russia chapter (1) [Ed2]:Layout 1 25/11/10 11:20 Page 228
|Jss|.r |oJo..t|cr
229
development of new or lmproved products was also
approved. Pegardlng the taxlng of proflts, the llst of P&D-
sponsorlng foundatlons whose goal-orlented fundlng
does not have to be lncluded ln the calculatlon of the
taxatlon base at P&D organlzatlons has been lengthened.
|n addltlon, more favourable accelerated depreclatlon
condltlons have been lntroduced for P&D flxed assets.
These lnnovatlon-frlendly taxatlon lnstruments wlll help to
create a more favourable cllmate for lnnovatlon. |n order to
encourage buslness lnvestment strategles to promote P&D
and lnnovatlon further, a new round of tax leglslatlon
lnltlatlves was launched recently. Por example, ln 2009, the
government lntroduced tax beneflts for entltles lnvestlng ln
P&D and prlorlty S&T areas, such as blo- and nano technology,
nuclear energy and new types of transport system. The next
round of favourable tax noveltles wlll take effect ln 20l0,
wlth a partlcular emphasls on easlng condltlons for
compulsory soclal securlty payments for employees of
companles whose maln economlc actlvltles are |CT
development, englneerlng and P&D, and tax breaks for
proflts generated by medlcal and educatlonal servlces.
|t ls planned to slmpllfy the procedure for customs
reglstratlon of lmports of hlgh-tech equlpment and
materlals, as well as to lntroduce flnanclal guarantees for
exports of hlgh-tech products.
Improved infrastructure for innovation
|nfrastructure for technology commerclallzatlon and
transfer makes up an lmportant part of Pussla's natlonal
lnnovatlon system. Thls lnfrastructure lncludes
66 technology transfer centres, 84 technoparks,
l74 lnnovatlon and technology centres, and 8l buslness
lncubators. |n most cases, these are assoclated wlth
research lnstltutes or unlversltles (HSL, 2008o).
Government schemes to strengthen lnfrastructure
promotlng lnnovatlon have prlmarlly been concentrated
ln three areas:
Technoparks
There are dozens of technoparks ln Pussla, although
technopark pollcles are fraught wlth problems due to
multlple 'whlte spots' ln the leglslatlon that dramatlcally
weaken the capabllltles of unlversltles and P&D
lnstltutlons to commerclallze new technologles. On
account of thelr legal status, state unlversltles and
government P&D lnstltutlons have llmlted rlghts when lt
comes to creatlng or dlrectly supportlng lnnovatlve small
and medlum-slzed enterprlses, ln partlcular, they are not
allowed to provlde any fundlng or facllltles for start-ups
2
.
That ls why Pusslan technoparks elther do not functlon
autonomously but rather as part of a 'host organlzatlon', or
do not engage ln lnnovatlon at all, merely leaslng the
premlses and facllltles to others.
To make better use of technoparks, the government ls
conslderlng the followlng optlons: provldlng technoparks
wlth federal land on a competltlve basls, both for
purchase and long-term leaslng, dlrect lnvestment ln
technopark lnfrastructure by government agencles and
publlcly sponsored venture companles, and sharlng costs
between federal and reglonal authorltles.
Special economic zones
These were lntroduced ln Pussla ln 2005 ln order to
provlde a favourable reglme for lnnovatlve entrepreneur -
shlp ln certaln areas of S&T. Partlcular locatlons were
ldentlfled speclflcally to encourage the development of
new hlgh-tech buslnesses. Speclal economlc zones can be
found ln Salnt Petersburg, Dubna, Zelenograd, Tomsk and
elsewhere.
Science cities
The concept of sclence cltles follows the Sovlet-era
tradltlon of urban settlements speclallzed ln S&T. At one
tlme, about 70 munlclpalltles were ranked as sclence
cltles, 29 of whlch were located ln the Moscow reglon.
Durlng the l990s, thelr heavy rellance on S&T actlvltles
resulted ln economlc and soclal hardshlp. |n a new
approach, the government ls determlnlng prlorltles for
each clty and a state programme for S&T development,
wlth speclflc forms of federal support. Sclence clty
fundlng, along wlth asslstance wlth loglstlcs and
malntenance, ls provlded by the federal budget, by the
budgets of reglonal and local authorltles, and by other
fundlng sources. Once sclence clty status for 25 years ls
conflrmed by the Presldent of the Pusslan Pederatlon, thls
declslon serves as a catalyst for the allocatlon of addltlonal
federal fundlng on a competltlve basls for the
lmplementatlon of lnnovatlon pro[ects. |n addltlon, more
efflclent mechanlsms for transferrlng federal funds to local
lnnovatlon-related lnltlatlves are to be lntroduced ln
20l0-20ll through amendments to exlstlng leglslatlon.
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
2. A speclal law to ellmlnate these barrlers was adopted ln 2009 and further
leglslatlve lnltlatlves ln thls dlrectlon are ln the plpellne.
|||SO S|||| |||O| 2010
|||||A|O|A| OO|||A|O|
|| S
|n order to facllltate lts lntegratlon ln the global S&T arena
and assume a greater role, Pussla has been stepplng up lts
efforts to develop lnternatlonal co-operatlon. A cruclal
aspect of thls co-operatlon are the tles wlth the LU,
lnternatlonal organlzatlons and reglonal economlc
assoclatlons.
The Ateement on Co-oetot|on |n 5c|ence onJ 7echnoloy
oetween the lutoeon Commun|ty onJ the Covetnment ol the
kuss|on leJetot|on was adopted ln l999. Although thls
formally explred ln 2007, both sldes have agreed to prolong
lts valldlty untll a new accord can be slgned. A road map for
settlng up the LU-Pussla Common Space of Lducatlon and
Sclence has been developed [olntly wlth the Luropean
Commlsslon on the basls of the prlnclples of equallty and
partnershlp, taklng lnto account the mutual lnterests of
both partles. At the same tlme, the LU and Pussla are
strengthenlng the co-ordlnatlon of thelr prlorltles for S&T
and lnnovatlon ln areas that lnclude new materlals,
nanotechnology, non-nuclear energy productlon, |CTs and
blotechnology ln flelds such as food and health. These
efforts have already ylelded a growlng number of [olnt
lnltlatlves, lncludlng co-ordlnated calls, for pro[ect
proposals. Thus, for the LU's Slxth Pramework Programme
for Pesearch and Technologlcal Development (2002-2006),
Pussla ranked flrst among partlclpatlng thlrd partles, both
ln terms of the number of pro[ects lmplemented wlth
Luropean partners and the amount of fundlng obtalned
from the LU (Luropean Commlsslon, 2009). Moreover,
bllateral dlscusslons regardlng Pussla's assoclatlon wlth the
LU Pramework Programme started ln 2008-2009.
Strateglc lmportance ls also attached to contacts wlth the
Luropean Organlzatlon for Nuclear Pesearch (CLPN), the
Organlsatlon for Lconomlc Co-operatlon and Development
(OLCD) and other lnternatlonal bodles. Apart from the
obvlous beneflts assoclated wlth access to modern
multllateral programmes and facllltles, partlclpatlon ln
lnternatlonal pro[ects allows Pusslan companles to secure
large-scale orders. Other pro[ects make lt posslble for
Pussla to adapt and adopt efflclent lnstruments for
promotlng S&T and lnnovatlon. These lnstruments lnclude
varlous forms of publlc-prlvate partnershlp, technology
foreslght exerclses, cross-country co-operatlon and
technology transfer, and support for small and medlum-
slzed enterprlses.
230
|n addltlon, Pussla contlnues to partlclpate ln most of the
lnternatlonal pro[ects and alllances lnvolvlng space
research, lncludlng the |nternatlonal Space Statlon ln low
orblt above the Larth
3
and the 'Sea Launch'.
4
These
partnershlps are supported by the Pusslan Space Agency,
whlch conslders them an essentlal element for
lmplementlng the natlonal space programme. Pussla ls
also an actlve partlclpant ln the |nternatlonal Commlttee
on Space Pesearch (COSPAP) and the Unlted Natlons'
Commlttee on the Peaceful Uses of Outer Space (COPUOS).
wlthln the framework of lnternatlonal S&T co-operatlon,
many [olnt laboratorles, research, educatlon and
lnnovatlon alllances and partnershlps have been
establlshed. Lxamples lnclude [olnt laboratorles organlzed
wlth the partlclpatlon of Pusslan research centres and
unlversltles together wlth the Dutch Organlsatlon for
Applled Pesearch (TNO), CNPS (Prance), |ndustrlal
Technology Pesearch |nstltute (Chlnese Talpel), partner
organlzatlons from the Pepubllc of Korea, etc., ln
chemlstry, blology, nanotechnology and other S&T flelds.
|n addltlon, legal and organlzatlonal tools for co-operatlon
at both lntergovernmental and lnterdepartmental levels
have been lmproved. |t ls even more promlslng that a
growlng volume of commerclal contracts and agreements
are belng concluded ln the S&T sector wlth other countrles
and that an lncreaslng number of [olnt ventures are belng
set up ln Pussla. Thus, the [olnt-stock enterprlse Alcatel-
Lucent PT establlshed by the respectlve Prench company
and state corporatlon Pusslan Technologles ls startlng to
lnvest ln 20l0 ln the development, manufacturlng and
marketlng of telecommunlcatlons equlpment for the
Pusslan market and those of the countrles of the
Commonwealth of |ndependent States
5
. Posnano and lts
|tallan partner company Gallleo vacuum Systems ls
launchlng a new company to produce Padlo Prequency
|dentlflcatlon (PP|D) labels at manufacturlng unlts located
3. The assembly of the |nternatlonal Space Statlon ls expected to be
completed by 20ll. The pro[ect lnvolves the Amerlcan Natlonal
Aeronautlcs and Space Admlnlstratlon (NASA), Canadlan Space Agency
(CSA), Luropean Space Agency (LSA), 1apan Aerospace Lxploratlon Agency
(1AXA) and Pusslan Pederal Space Agency (PKA).
4. Sea Launch ls a unlque, moblle platform from whlch spacecraft can be
launched and rockets flred at sea from an optlmum posltlon on the Larth's
surface. |t lnvolves a consortlum of four companles from Norway, Pussla,
Ukralne and the USA.
5. The C|S conslsts of nlne former Sovlet republlcs. See Annex | for the llst of
C|S countrles.
|Jss|.r |oJo..t|cr
23l
ln Pussla, |taly and Serbla. The Pusslan slde wlll contrlbute
49% of the requlslte lnvestment and the company wlll be a
proprletor of any technologles that are developed.
Meanwhlle, the [olntly owned US-Pusslan company
|somedAlpha has begun productlon of hlgh-tech medlcal
equlpment llke computer tomographs.
These lnternatlonal partnershlps are maklng lt posslble to
lncrease exports of hlgh-tech products and servlces ln
certaln areas. Por example, ln 2005-2007, exports of
Pusslan |CT products doubled and those of electronlc
equlpment, alrcraft and spaceshlps grew by 40-50%
(HSL/|wL|P, 2008, HSL, 2009c, p.65).
O|||S|O|
As 20l0 gets under way, Pussla, llke other natlons, ls ln the
throes of a hlghly complex global economlc recesslon.
Owlng to lts natlonal pecullarltles, the country not only
en[oys certaln advantages - prlmarlly, lts huge resource
potentlal and substantlal flnanclal reserves - but also
faces great challenges ln lts efforts to recover from the
economlc recesslon. The need to lnnovate ln response to
the crlsls ls obvlous and ls conflrmed by the fact that most
lndustrlal natlons are lmplementlng economlc recovery
packages. These programmes normally focus on
lmprovlng macro-economlc parameters and on ensurlng
natlonal competltlveness ln the post-crlsls perlod. To thls
end, the recovery packages of these countrles envlsage
measures for supportlng promlslng areas of S&T, as well
as lndlrect lncentlves for lnnovatlng companles.
The Pusslan government today favours the same approach.
Antl-crlsls measures that are clearly lnnovatlon-orlented,
along wlth other lnltlatlves, are placlng conslderable
demands on the P&D sector. Thls requlres prompt
lnterventlon to move lnstltutlonal reforms forward ln order
to overcome the lack of co-ordlnatlon at the departmental
level, lower perslstlng admlnlstratlve barrlers between
sclence, educatlon and lndustry, and lncrease the efflclency
of P&D organlzatlons. Thls should lead ultlmately to the
concentratlon of resources ln the centres of excellence
created ln leadlng research lnstltutes and unlversltles.
These centres of excellence should be able to ensure the
dellvery of cuttlng-edge achlevements ln baslc sclence,
as well as applled results and technology that can meet
growlng demand from the natlonal economy. Thls should
be accompanled by addltlonal pollcy measures to provlde
greater opportunltles for publlc research bodles and
unlversltles to partlclpate ln lnnovatlon, facllltate academlc
moblllty and radlcally modernlze the professlonal tralnlng
of sclentlsts and englneers.
At the end of the day - recesslon or not - Pussla wlll have
no cholce but to lmprove substantlally the efflclency of lts
natlonal S&T sector and lnnovatlon pollcles. All the
necessary transformatlon processes have undoubtedly
been set ln motlon but they call for a stronger focus on
the part of all stakeholders, dlrect and lndlrect systemlc
support from the government, forward-looklng
lnnovatlon-based company strategles, and for monltorlng
of both the steps taken and thelr lmpact.
||||||||S
Luropean Commlsslon (2009) ComenJ|um on 5c|ence onJ
keseotch Cooetot|on oetween the lutoeon un|on onJ
the kuss|on leJetot|on. 8russels.
Gokhberg, L. (ed.) |2007| 5c|ence, 7echnoloy onJ
lnnovot|on |n kuss|o onJ OlC0 Countt|es. Hlgher School
of Lconomlcs, Moscow.
Gokhberg, L, Gorodnlkova, N, Kuznetsova, T, Sokolov, A,
Zalchenko, S. (2009o). Prospectlve Agenda for S&T and
|nnovatlon Pollcles ln Pussla, ln, 1. Casslolato and v.
vltorlno (eds) 8klC5 onJ 0eveloment Altetnot|ves:
lnnovot|on 5ystems onJ Pol|c|es. Anthem Press, London.
Gokhberg, L, Kuznetsova, T, Zalchenko, S. (2009o)
Towards a New Pole for Unlversltles ln Pussla:
Prospects and Llmltatlons. 5c|ence onJ Puol|c Pol|cy,
vol. 36, No. 2.
Gokhberg, L, Peck, M.1, Gacs, 1. (eds) (l997) kuss|on Al|eJ
keseotch onJ 0eveloment: lts Ptoolems onJ lts Ptom|se.
|nternatlonal |nstltute for Applled Systems Analysls,
Laxenburg, Austrla.
Government of Pusslan Pederatlon (2009) 7he Ant|-ct|s|s
Plon lot the kuss|on leJetot|on. Moscow.
(2008) lon-7etm 5oc|ol onJ lconom|c 0eveloment
to 2020: o Pol|cy ltomewotl. Moscow.
HSL (20l0) 5c|ence onJ 7echnoloy. lnnovot|on. lnlotmot|on
5oc|ety. Data 8ook. Hlgher School of Lconomlcs, Moscow.
(2009a) lJucot|on |n the kuss|on leJetot|on. Data
8ook. Hlgher School of Lconomlcs, Moscow.
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
|||SO S|||| |||O| 2010
(2009o) 5c|ence lnJ|cotots: 2009. Data 8ook. Hlgher
School of Lconomlcs, Moscow.
(2009c) lnlotmot|on 5oc|ety lnJ|cotots. Data 8ook.
Hlgher School of Lconomlcs, Moscow.
(2008o) lnventoty 5utvey ol k80 Oton|sot|ons.
Commlssloned by the Pusslan Mlnlstry of Lducatlon
and Sclence, 2007-2008. Hlgher School of Lconomlcs,
Moscow.
(2008o) kuss|on 587 0elh|: 2025. Commlssloned by
the Pusslan Mlnlstry of Lducatlon and Sclence and
Pederal Agency for Sclence and |nnovatlon,
2007-2008. Hlgher School of Lconomlcs, Moscow.
HSL/|wL|P (2008) lnnovot|ve 0eveloment: o 8os|s lot the
VoJetn|sot|on ol kuss|os lconomy. Natlonal Peport.
Hlgher School of Lconomlcs and |nstltute of world
Lconomy and |nternatlonal Pelatlons, Moscow.
|NSOP (2009) lconom|c Ct|s|s |n kuss|o: on lxett v|ew.
|nstltute of Contemporary Development. Moscow
Kuznetsova, T. (l992) The Problems and condltlons of
sclentlflc pollcy. 5tuJ|es on 5ov|et lconom|c
0eveloment, vol. 3, No. 6.
MLD (2009) Von|tot|n lconom|c 0eveloment |n the
kuss|on leJetot|on. Mlnlstry for Lconomlc
Development of the Pusslan Pederatlon, Moscow.
Petrenko, L, Galltskly, L, and Petrenko, K. (2007)
Lducatlonal Tra[ectorles of Chlldren and Adults: Pamlly
|ncentlves and Costs. Von|tot|n ol the lconom|cs ol
lJucot|on. lnlotmot|on 8ullet|n, N7 (30). Hlgher School
of Lconomlcs, Moscow.
Presldent of Pusslan Pederatlon (2009) keott ol the
Ptes|Jent ol the kuss|on leJetot|on to the leJetol
Counc|l ol the kuss|on leJetot|on, l2 November 2009.
Moscow.
(2008) On the 5ttotey lot kuss|os 0eveloment to
2020. Moscow.
(2007) 5ttotey lot Nono|nJustty 0eveloment.
Approved by the Presldent of the Pusslan Pederatlon
on 24 Aprll 2007, No. 688-Pr. Moscow.
Posstat (2009) 7he 5oc|o-lconom|c Pos|t|on ol kuss|o: 2009.
N X||. Moscow.
(2008) kuss|on 5tot|st|col eotoool: 2008. Moscow.
232
Sokolov, A. (2006) lJent|l|cot|on ol Not|onol 587 Pt|ot|ty
Ateos w|th kesect to the Ptomot|on ol lnnovot|on onJ
lconom|c Ctowth: the Cose ol kuss|o. 8ulgarlan
|ntegratlon lnto Lurope and NATO. Pobert D. Crangle
|OS Press, pp. 92-l09.
\|bS||S
lotes|ht [ournal http://ecsocman.edu.ru/foreslght
Poundatlon for Asslstance to Small Lnterprlses ln S&T:
www.fasle.ru
Hlgher School of Lconomlcs: www.hse.ru/llngua/en
|nstltute for Statlstlcal Studles and Lconomlcs of
Knowledge: http://lssek.hse.ru
Pro[ect for a Comparatlve Study of the Natlonal
|nnovatlon Systems of 8P|CS:
http://brlcs.redeslst.le.ufr[.br/pro[_ldrc
Mlnlstry for Lconomlc Development:
http://economy.gov.ru
Mlnlstry of Lducatlon and Sclence: http://mon.gov.ru
Pusslan Corporatlon for Nanotechnology:
www.rusnano.com
Pusslan venture Company: www.rusventure.ru
|Jss|.r |oJo..t|cr
233
P
u
s
s
l
a
n

P
e
d
e
r
a
t
l
o
n
Leonid Gokhberg ls Plrst vlce-Pector of the Hlgher
School of Lconomlcs (HSL), one of the most
promlnent research unlversltles ln Pussla. wlthln the
HSL, he ls also Dlrector of the |nstltute for Statlstlcal
Studles and Lconomlcs of Knowledge.
8orn ln l96l, Prof. Gokhberg holds a PhD and
Professor Dlploma ln Lconomlcs. Prom l988 to l99l,
he was Head of Laboratory for S&T statlstlcs at the
Pesearch |nstltute for Statlstlcs then from l99l to
2002 Deputy-Dlrector at the Centre for Sclence
Pesearch and Statlstlcs ln Moscow.
Prof. Gokhberg has co-ordlnated dozens of natlonal
pro[ects and lnternatlonal studles related to ST|
lndlcators, analyses and pollcles, lncludlng those
sponsored by the Luropean Commlsslon, world 8ank,
Unlted Natlons |ndustrlal Development Organlzatlon,
US Natlonal Sclence Poundatlon and the |nternatlonal
|nstltute for Applled Systems Analysls. He has served
as consultant to the Organlsatlon for Lconomlc
Co-operatlon and Development (OLCD), Lurostat,
UNLSCO and other lnternatlonal and natlonal
agencles. He ls also a member of OLCD and Lurostat
expert groups on ST| lndlcators, the lnformatlon
soclety and educatlon.
Leonld Gokhberg ls the country co-ordlnator for the
Pusslan team currently partlclpatlng ln a long-term
lnternatlonal pro[ect comparlng the natlonal
lnnovatlon systems of 8P|CS countrles (for 8razll,
Pussla, |ndla, Chlna and South Afrlca).
|n addltlon, he ls Ldltor-ln-Chlef of the
Moscow-based [ournal lotes|ht and the author
of over 350 publlcatlons, lncludlng several
monographs and unlverslty textbooks that have
been publlshed ln Pussla and abroad.
Tatiana Kuznetsova ls Dlrector of the Centre for
Sclence, |nnovatlon and |nformatlon Pollcles wlthln
the |nstltute for Statlstlcal Studles and Lconomlcs of
Knowledge of the Hlgher School of Lconomlcs ln
Moscow. 8orn ln l952, she holds a PhD ln Lconomlcs.
Prom l974 to l992, she worked at the Pusslan
Academy of Sclences before belng made Head of
Laboratory and Deputy Dlrector flrst at the Analytlcal
Centre on Sclence and |ndustrlal Pollcy then at the
Pesearch |nstltute of Lconomlcs, Pollcy and Law ln
Sclence and Technology ln Moscow.
Dr Kuznetsova has performed and co-ordlnated
dozens of pro[ects on lssues whlch lnclude ST| pollcy
and lts legal envlronment, S&T personnel and
moblllty, ST| lndlcators and an analysls of thelr
dynamlcs, the lntegratlon of sclence and hlgher
educatlon, evaluatlon of S&T lnstltutlons, and
lnternatlonal S&T co-operatlon.
Tatlana Kuznetsova ls the author of over
250 publlcatlons ln Pussla and abroad. She acts as
consultant to varlous government agencles, sclentlflc
centres and unlversltles, and slts on the edltorlal
board of the lotes|ht [ournal.
Dr Kuznetsova has taken part ln lnternatlonal pro[ects
sponsored by the OLCD, US Natlonal Sclence
Poundatlon, Unlted Natlons |ndustrlal Development
Organlzatlon and world 8ank, among others. She ls a
member of the Pusslan team currently partlclpatlng
ln a long-term lnternatlonal pro[ect comparlng the
natlonal lnnovatlon systems of 8P|CS countrles.
The [countries of Central Asia]
should take advantage of the vast
potential for international
scientific co-operation offered by
their close political, historical and
cultural ties. It would be mutually
beneficial for their scientific
communities to join forces to
improve environmental and food
security in the region, conserve
and use natural resources
sustainably and stabilize national
economies.
Ashiraf Mukhammadiev
Central Asia chapter [1] [Ed2]:Layout 1 25/11/10 11:55 Page 234
12
.
Central Asla
As||..| VJk|.nn.J|ov
235
|||O|||O|
Central Asla covers a vast terrltory conslstlng of deserts,
steppes and mountalns. Kazakhstan, Kyrgyzstan,
Ta[lklstan, Turkmenlstan and Uzbeklstan are all prlmarlly
agrarlan economles: about 70% of the total surface area
(4l8 mllllon hectares) ls classlfled as agrlcultural land.
|n theory, l5 % of agrlcultural land ls lrrlgated but the true
flgure ls closer to 3%. The contrlbutlon of the agrlculture
sector to the natlonal economy varles from 3l% ln
Kyrgyzstan to [ust 6% ln Kazakhstan (Plgure l).
The reglon has one of the most varled plant collectlons ln
the world: frult, nuts, gralns and beans but also wlld
relatlves and ancestors of food crops whlch are of
reglonal and global lmportance. The lntenslflcatlon of
graln crop productlon and overgrazlng are threatenlng
the reglon, however, wlth the loss of local varletles and
wlld relatlves of cultlvated plants. The fact that all flve
countrles have ratlfled or otherwlse endorsed several
lnternatlonal agreements
l
over the past l5 years related
to envlronmental protectlon and the conservatlon of
genetlc resources offers governments a pollcy framework
for tackllng problems of global lmportance, such as
cllmate change, desertlflcatlon and loss of blologlcal
dlverslty.
Central Asla has so far escaped largely unscathed from the
global economlc recesslon. Unllke many post-Sovlet countrles
whlch are experlenclng a sharp recesslon, lncludlng glants
Pussla and Ukralne, the economles of the flve Central Aslan
countrles studled here are holdlng thelr own, even lf lt ls too
early for thls to be reflected ln the data (Table l).
All but Turkmenlstan belong to the Commonwealth of
|ndependent States (C|S), a loose assoclatlon of nlne former
Sovlet republlcs
2
. The Luraslan Lconomlc Communlty
(LALC) ls lncreaslngly appearlng as a more unlfylng body,
especlally as several countrles have wlthdrawn from the
C|S ln recent years, lncludlng Georgla ln 2008. The LALC
orlglnated from a customs agreement between 8elarus, the
Pusslan Pederatlon and Kazakhstan ln l996 and was [olned
by Ta[lklstan four years later. |n 20l0, the LALC was worklng
towards establlshlng a common energy market and
explorlng ways to use water more efflclently ln Central Asla.
More than a purely economlc assoclatlon, the LALC offers
potentlal for the development of co-operatlon ln sclence
and technology (S&T) ln the reglon.
C
e
n
t
r
a
l

A
s
l
a
2. See Annex | for the llst of C|S countrles. l. |ncludlng the UN Conventlon on 8lologlcal Dlverslty, UN Pramework
Conventlon on Cllmate Change and UN Conventlon to Combat Desertlflcatlon.
Figure 1: Composltlon of GDP ln Central Asla by economlc sector, 2009 (%)
Kazakhstan
Uzbekistan
Tajikistan
Turkmenistan
Agriculture Industry Services
Kyrgyzstan
6.4 38.1 55.5
30.7 15.9 53.4
26.8 39.5 33.7
49.8 12.8 37.4
10.0 33.9 56.0
Note: |n each case, the percentage share ls an estlmate.
Source : https://www.cla.gov/llbrary/publlcatlons/the-world-factbook/
The 8lg Solar
Purnace ln
Uzbeklstan hosts a
laser powered by
the l2-storey hlgh
concave mlrror
seen here. |t
translates solar
energy lnto laser
radlatlon
Photo: uNl5CO/
AlexonJt Os|ov
Central Asia chapter [11] [P3]:Layout 1 18/10/10 19:05 Page 235
|||SO S|||| |||O| 2010
236
Table 1: Soclo-economlc lndlcators for Central Asla, 2002 and 2008 or most recent year avallable
GDP GDP per capita High-tech Adult Knowledge Index Knowledge Economy
(PPP US$ millions) (PPP$ US$) exports in literacy (ranking out Index
manufactured (%) of 145 (ranking out of
exports (%) countries) 145 countries)
2002 2008 2002 2008 2002 2007 2008 1995 20052006 1995 20052006
Kazakhstan 92 446 l77 354 6 222 ll 3l5 4.9 23.2 99.7`` 55
x
70 76
x
72
Kyrgyzstan 7 l65 ll 549 l 435 2 l88 5.7 2.4 99.3`` 8l
x
89 90
x
84
Ta[lklstan 6 859 l3 027 l 087 l 906 - - 99.7`` 75
x
l05 97
x
l06
Turkmenlstan 3 44l 33 389 2 903 6 64l - - 99.5`` - - - -
Uzbeklstan 40 202 72 547 l 59l 2 656 - - 99.2`` 64
x
94
x
89
x
l04
x
Armenla 8 07l l8 678 2 637 6 070 l.9 2.0 99.5`` 57
x
65
x
66
x
56
x
Azerbal[an 22 459 76 072 2 748 8 765 8.9 3.9 99.5
-l
63
x
9l 80
x
97
x
8elarus 58 959 ll8 695 5 940 l2 26l 4.2 2.7 99.7`` 4l 52 56 73
Georgla ll 268 2l 370 2 442 4 896 45.8 7.l 99.7`` 50
x
7l 6l
x
69
Pepubllc of Moldova 6 36l l0 628 l 606 2 925 3.9 5.l 97.3`` 6 568 74 7l -
Mongolla 4 838 9 388 l 976 3 566 0.5 7.5 98.3`` l02
x
8l
x
98
x
78
x
Ukralne l92 53l 336 355 3 994 7 27l 4.8 3.6 99.7`` 43
x
46 52
x
5l
-n data refer to n years before the reference year
` natlonal estlmate
`` UNLSCO |nstltute for Statlstlcs estlmate
x lncomplete data
5outce: for populatlon: Unlted Natlons Department of Lconomlc and Soclal Affalrs (2008) wotlJ Poulot|on Ptosects: the 2008 kev|s|on, for GDP, hlgh-tech
exports, K| and KL|: world 8ank, wotlJ 0eveloment lnJ|cotots, Aprll 20l0, for adult llteracy: UNLSCO |nstltute for Statlstlcs, Aprll 20l0
|| ||||
R&D expenditure remains low
P&D fundlng has remalned low over the past decade ln
all flve republlcs and throughout Central Asla. No
country ln the reglon devoted more than 0.25% of GDP
to gross domestlc expendlture on P&D (GLPD) ln 2007
(Table 2).
|n the flve countrles under study, P&D ls conducted
by 836 organlzatlons ln total (Table 3). On average,
2l.5% of GLPD ls lnvested by unlversltles and
other lnstltutlons of hlgher learnlng. Government
laboratorles account for much of the remalnder
(62.6%). The role of the prlvate sector varles
conslderably from one country to another. |n
Kazakhstan, buslness contrlbutes 45% of GLPD,
compared to [ust 2% ln Ta[lklstan (Plgure 2). Data on
P&D ls unfortunately unavallable for Turkmenlstan.
The Soviet generation is nearing retirement
The flve countrles under study can boast of good
lnstltutlonal lnfrastructure, a solld leglslatlve base and
quallfled experts lnherlted from the Sovlet era, assets that
provlde a solld foundatlon for the development of S&T.
Two-thlrds of P&D ls conducted by government lnstltutes
(64.5%) |Plgure 3|.
|t ls Uzbeklstan whlch counts the greatest number of
researchers per mllllon populatlon (Table 4). At 954, thls
ratlo ls close to the world average of l 08l and ls hlgher
than the average for C|S countrles ln Asla as a whole (526)
|see oe 8|.
The low numbers of research personnel should be a
pollcy concern for many Central Aslan countrles, all the
more so ln llght of the agelng P&D personnel. |n
Kazakhstan, l3% of Doctors of Sclence are more than
60 years old, compared to ll% ln Ta[lklstan and
Uzbeklstan. The proportlon ls even hlgher ln Ta[lklstan for
ort..| As|.
237
C
e
n
t
r
a
l

A
s
l
a
Table 2: |nvestment trends ln Central Asla, 2002 and 2008
Total expenditure Public expenditure Expenditure on GERD/GDP GERD per capita
on health on education tertiary education ratio (%) (US PPP$)
(% of GDP) (% of GDP) (% of total expenditure
on education)
2002 2006 2002 2008 2002 2008 2002 2007 2002 2007
Kazakhstan 3.6 3.7 3.0 2.8
-l
l3.l l3.9
-l
0.26 0.2l l5.8 22.9
Kyrgyzstan 5.4 6.4 4.4 6.6
-l
l9.6 l5.9
-l
0.20 0.25 2.8 4.9
Ta[lklstan 4.5 5.0 2.8 3.5 l2.l l4.2 0.07 0.06 0.8 l.l
Turkmenlstan 4.0 4.8 - - - - - - - -
Uzbeklstan 5.6 4.7 - - - - - - - -
Armenla 5.6 4.7 2.l 3.0
-l
- - 0.25 0.2l 6.7 ll.8
Azerbal[an 4.7 3.4 3.2 l.9 5.8 7.9 0.30 0.l8 8.6 l3.9
8elarus 6.6 6.4 6.2
-2
5.2
-l
- 20.2
-l
0.62 0.97 36.9 l05.3
Georgla 8.7 8.4 2.2 2.9 - ll.6 0.l9 0.l8
-2
4.5 6.2
Pepubllc of Moldova 6.4 7.8 7.9 5.l
-l
l5.5 l8.4
-4
0.32
+l
0.55 6.2` l4.8`
Mongolla 6.0 5.l 5.5 8.2 - l8.6 0.28 0.23 5.5 7.4
Ukralne 6.6 7.0 5.4 5.3
-l
34.0 28.8
-l
l.00 0.87 40.0 60.l
-n/+n data refer to n years before or after reference year
` natlonal estlmate
5outce: for educatlon and GLPD: UNLSCO |nstltute for Statlstlcs, Aprll 20l0, for health: world Health Organlzatlon (2009) wotlJ leolth 5tot|st|cs 2009
Table 3. P&D lnstltutlons ln Central Asla, 2009
Institutions Research
of higher institutes, design
education bureaux, etc.
Total Number % Number %
Kazakhstan 438 l67 38.2 27l 6l.8
Kyrgyzstan 64 3l 48.4 33 5l.6
Ta[lklstan 65 l2 l8.5 53 8l.5
Turkmenlstan 45 l6 35.5 29 64.5
Uzbeklstan 224 7l 3l.7 l53 68.3
Total 836 297 35.5 539 64.5
5outce: natlonal data
holders of a Candldate of Sclence
3
degree: 20% (Table 5).
The problem wlll become more acute when the 'Sovlet
generatlon' retlres ln 20l2-20l5. |t should thus be
attractlng greater attentlon ln government pollcy clrcles.
Moreover, among the up and comlng generatlon, the
proportlon of students studylng for a Candldate of Sclence
degree ls much lower than the proportlon of those studylng
for a Doctor of Sclence degree, a sltuatlon reversed ln the case
of researchers. Thls suggests that the number of sclentlsts
wlth a hlgh level of speclallzatlon wlll decllne ln comlng years.
To make matters worse, rare are those who successfully
defend thelr thesls. On average, [ust 8% of candldates
obtaln thelr Candldate of Sclence degree ln Kazakhstan,
22% ln Uzbeklstan and l5% ln Ta[lklstan. The maln reason
for student's low success rate lles ln the lnadequate
government fundlng for postdoctoral research.
Purthermore, the sub[ect of student theses, whlch tend to
be conflned to baslc research, rarely corresponds to
government prlorltles. A thlrd explanatlon can be found ln
the falllng prestlge of researchers ln a soclety where the
market now wlelds conslderable lnfluence.
3. The Central Aslan republlcs stlll use the Sovlet system of hlgher
educatlon. See Plgure 3 on page 220.
|||SO S|||| |||O| 2010
238
Figure 3: Dlstrlbutlon of research lnstltutlons ln Central Asla, 2009 or most recent year avallable (%)
5electeJ countt|es
24.9
Government
Higher education
Other
62
58.4
22.6
20.6
19
17.4
67.5
7.6
kazakhstan
2007
Uzbekistan
2009
7ajikistan
2007
5outce: Paroda (2004) Ptoolem-solv|n lot the susto|noole Jeveloment ol ot|cultute |n Centtol As|o, Sulelmenov et ol. (2008) 5totus onJ ttenJs |n
Jeveloment ol sc|ent|l|c onJ techn|col cooc|ty |n the keuol|c ol lozolhston, Na[mudlnov (2009) 7he 5c|ent|l|c onJ 7echn|col Cooc|ty ol the keuol|c ol
7oj|l|ston |n 2007, Mukhammadlev (2008) CootJ|not|on ol the 0eveloment ol 5c|ence onJ 7echnoloy |n the keuol|c ol uzoel|ston
Figure 2: GLPD by source of funds ln Central Asla,
2009 or most recent year avallable (%)
5electeJ countt|es
Business
Government
Higher education
Abroad
Non-distributed
Non-prot
63.6
36.4
16.6
12.2
60.0
11.2
91.9
2.2
5.5
0.3
15.3
44.5
1.7 1.1
37.4
kazakhstan
2007
7ajikistan
2005
kyrgyzstan
2007
Uzbekistan
2009
|||SO S|||| |||O| 2010
O|||+ ||O||||S
Kazakhstan
Kazakhstan has a relatlvely good capaclty for P&D, as
evldenced by the pool of quallfled personnel and the
l l69 patents accorded ln 2009. Kazakh sclentlsts
contrlbuted 0.02% of artlcles to lnternatlonal [ournals ln
2008, or one artlcle per nlne sclentlsts, a flgure close to the
global average. |t ls evldent that, wlth greater government
support, Kazakh P&D could make a substantlal
contrlbutlon to both GDP and world sclence.
At present, Kazakhstan devotes [ust 0.2l% of GDP to GLPD,
a flgure comparable to the P&D effort of other Central
Aslan countrles but well below the global average of l.7%
(see oe 2). A GLPD/GDP ratlo of 2% has been proposed
as the safety threshold for economlc growth. wlth
lnvestment levels belng too low to cover the cost of P&D
ln Kazakhstan, sclentlsts are at a dlsadvantage. The
government has flxed a number of targets for remedylng
the sltuatlon wlthln a strateglc programme for an
|ntellectual Natlon - 2020 whlch ls dlscussed overleaf.
|ndustry contrlbutes more than one-thlrd of GDP (Plgure l).
The maln branches are mlnlng, non-ferrous and ferrous
metallurgy, mechanlcal englneerlng, oll reflnlng and
petrochemlstry, as well as the productlon of bulldlng
materlals. Accordlng to the natlonal statlstlcs agency,
ln 2008, half (5l%) of P&D fundlng was provlded by the
government, 29% by customers of P&D servlces, l8% came
from the lnstltute's own funds and l.7% from forelgn
sources. One state enterprlse that provldes customer P&D
5outce: UNLSCO |nstltute for Statlstlcs, for Uzbeklstan: reportlng data
of the Commlttee for the Co-ordlnatlon of the Development of
Sclence and Technology, Tashkent, 2009
ort..| As|.
239
C
e
n
t
r
a
l

A
s
l
a
Table 4: P&D personnel ln Central Asla, 2009 or most recent year avallable
5electeJ countt|es
Kazakhstan (2007) l7.l 674 ll 524 4 224 l l66 27.6 3 058 72.4 2 200 8.0 508 2l.0
Kyrgyzstan (2007) 5.l 490 2 500 85l 25l 29.5 600 70.5 - - - -
Ta[lklstan (2007) 6.9 8l4 5 6l7 2 686 596 22.2 2 090 77.8 864 l5.4 43 22.5
Uzbeklstan (2009) 27.4 954 26 l45 ll 952 2 72l 22.8 9 23l 67.3 2 540 22.0 260 25.3
5outce: Na[mudlnov (2009) 7he 5c|ent|l|c onJ 7echn|col Cooc|ty ol the keuol|c ol 7oj|l|ston |n 2007, Sulelmenov et ol. (2008) 7he 0ynom|cs ol the 5c|ent|l|c onJ
7echn|col Cooc|ty ol the keuol|c ol lozolhston |n 2000-2007, Sulelmenov (2009) Sclentlflc development ln the Pepubllc of Kazakhstan, Statlstlcal Offlce
(2009) 5c|ence, 7echnoloy onJ lnnovot|on lnJ|cotots lot the keuol|c ol uzoel|ston
Table 5: Age pyramld for Central Aslan researchers, 2009 or most recent year avallable
5electeJ countt|es
Kazakhstan (2007) Tajikistan (2007) Uzbekistan (2009)
% % %
Doctors of Sclence l l66 27.6 586 22.2 2 72l 22.7
younger than 40 years 24 0.6 l 0.04 63 0.5
40-59 years 580 l3.7 289 l0.7 l 309 l0.9
60 years + 562 l3.3 306 ll.4 l 349 ll.3
Candldates of Sclence 3 058 72.4 2 090 77.8 9 23l 77.2
younger than 40 years 793 l8.8 445 l6.6 l 800 l5.2
40-59 years l 628 38.5 l ll9 4l.6 5 026 42.0
60 years + 637 l5.l 526 l9.6 2 405 20.0
Total 4 224 l00 2 686 l00 ll 952 l00
5outce: Na[mudlnov (2009) 7he 5c|ent|l|c onJ 7echn|col Cooc|ty ol the keuol|c ol 7oj|l|ston |n 2007, Sulelmenov et ol. (2008) 7he 0ynom|cs ol the 5c|ent|l|c onJ
7echn|col Cooc|ty ol the keuol|c ol lozolhston |n 2000-2007, Statlstlcal Offlce (2009) 5c|ence, 7echnoloy onJ lnnovot|on lnJ|cotots lot the keuol|c ol uzoel|ston
Postgraduate and postdoctoral
students
Holders of a Doctor or
Candidate of Science degree
P
o
p
u
l
a
t
i
o
n

(
m
i
l
l
i
o
n
s
)
R
e
s
e
a
r
c
h
e
r
s

p
e
r

m
i
l
l
i
o
n

p
o
p
u
l
a
t
i
o
n
T
o
t
a
l

r
e
s
e
a
r
c
h

p
e
r
s
o
n
n
e
l

(
i
n
c
l
u
d
i
n
g

t
e
c
h
n
i
c
i
a
n
s
)
T
o
t
a
l

r
e
s
e
a
r
c
h
e
r
s
D
o
c
t
o
r
s

o
f

S
c
i
e
n
c
e
%

o
f

r
e
s
e
a
r
c
h
e
r
s
C
a
n
d
i
d
a
t
e
s

o
f

S
c
i
e
n
c
e
%

o
f

r
e
s
e
a
r
c
h
e
r
s
D
o
c
t
o
r

o
f

S
c
i
e
n
c
e

c
a
n
d
i
d
a
t
e
s
D
o
c
t
o
r

o
f

S
c
i
e
n
c
e

g
r
a
d
u
a
t
e
s

(
s
u
c
c
e
s
s

r
a
t
e

%
)
C
a
n
d
i
d
a
t
e

o
f

S
c
i
e
n
c
e

s
t
u
d
e
n
t
s
C
a
n
d
i
d
a
t
e

o
f

S
c
i
e
n
c
e

g
r
a
d
u
a
t
e
s

(
s
u
c
c
e
s
s

r
a
t
e

%
)
servlces ls the Lnglneerlng and Technology Transfer Centre.
|t conducted a feaslblllty study for the establlshment of an
lndustrlal zone ln Kostanay ln 2007 for the Mlnlstry of Trade
and |ndustry, for lnstance, and a market study on uslng laser
beam technologles to weld trunk plpellnes for the 1olnt
Stock Company (1SC) Park of Nuclear Technologles ln 2008.
|n Kazakhstan, the use of technologles for lnformatlon-
sharlng on S&T tends to be more sophlstlcated than ln
other Central Aslan countrles. |n recognltlon of thls fact,
Kazakhstan was nomlnated vlce-Chalr of the |nterstate
Co-ordlnatlon Councll for the S&T lnformatlon of the C|S
countrles ln 20l0 and wlll chalr the councll ln 20ll.
Kazakhstan's natlonal Centre for Sclentlflc and Technlcal
|nformatlon functlons under the parent organlzatlon
mentloned earller, 1SC, whlch ls also the parent organlzatlon
for a number of research lnstltutes. The centre has developed
modern services, such as reference indexing and rating
systems for organizations and scientists. It has also extended
existing services like the analysis and commercialization of
research results, in addition to developing international
co-operation. The aim of the portal is to make it easier for
the scientific community to access scientific, technical and
educational information by making it available via Internet.
The Internet has become one of the most popular media for
the exchange of information (Figure 4). In 2004, the centre
also developed a web portal in English, Russian and Kazakh
called All about Science in Kazakhstan.
An intellectual nation by 2020
Kazakhstan has not been impervious to the global
economic recession, a sign of the countrys integration in
the global economy. Like other countries, it has revised its
S&T policy in the wake of the recession. During a meeting
with students from the Balashik Intellectual School in
Astana in 2009, President Nazarbaev unveiled a
programme for the coming decade entitled Intellectual
Nation 2020. It has three main thrusts:
I There are currently intellectual schools known as
Balashik in the cities of Astana and Semipalatinsk. By
2011, it is planned to open similar schools in every part of
the country. The objective is to spot talented children,
identify their specific gift then begin targeted training to
nurture it. The curriculum of these schools will emphasize
exact and natural sciences and the development of
critical and creative thinking. Together with a new
international university in Astana, these Balashik are the
main elements of a new approach designed to bring the
national education system up to international standards.
I On the premise that science should be the basis of an
innovative economy, there will be a drive to push up
government and private-sector funding of R&D. In the past
five years, funding for science has almost quadrupled. In
2009, it amounted to 18.5 billion tenge, or US$ 123 million.
GERD per capita came to US$ 23, by far the highest ratio in
Central Asia (Table 2). The government programme plans
to multiply investment in R&D tenfold to 2.5% of GDP by
2015. A second goal is to achieve parity of 4550% for
government and private-sector funding of R&D by 2012.
Foreign sources will account for the remainder.
I The third thrust is the development of a national
innovation system. Innovation is always a meeting of
ideas and business. Such an encounter results in tangible
240
growth in goods manufacturing and a sharp increase in
profits and competitiveness. Following the adoption of a
Law on State Support for Innovative Activity in March
2006, the president instructed the government to
stimulate innovation through such measures as the
creation of a complex system of technology and
knowledge transfer; an innovation monitoring system
and the development of infrastructure to foster
innovation, including the construction of an Information
Technology Park in Almaty and the creation of regional
technoparks and industrial zones.
The Intellectual Nation 2020 programme sets out four
priority areas for R&D:
I Biotechnologies and biochemistry: with a focus on
improving food safety and strengthening the human
immune system;
I Ecoenergy: in the form of renewable energy sources, green
power, solar energy, superconductors and the capture and
storage of light with low energy consumption;
I Ecology: the development of technologies to reduce
greenhouse gas emissions and of a water treatment
system permitting rapid recognition of various
biosubstances, to be coupled with the introduction of
biodecomposed plastics and the identification of bacteria
capable of destroying sources of environmental pollution;
I Anti-ageing: research into extending life expectancy
and rejuvenation.
Technoparks to foster innovation
The focus of R&D has changed little over the past decade.
The modest share of research devoted to experimental
development (25%) means that high-tech products
developed in Kazakhstan do not always get as far as the
marketplace (Figure 5). As was noted during an international
conference on Science and Time Challenges in Almaty in
November 2008, scientific personnel basically focus little on
the innovation component of scientific endeavour, as they
tend not to have adapted yet to the market economy.
Moreover, there are no professional training programmes for
the management of innovation activity, nor any monitoring
of available and potential consumers. To compound matters,
there is a lack of staff qualified to orient the economy
towards innovation. There is also a penury of university
Central Asia chapter [1] [Ed2]:Layout 1 25/11/10 11:55 Page 240
ort..| As|.
24l
teachers wlth knowledge of how to use modern
technologles ln pro[ect management or any famlllarlty wlth
the prlnclples and technlques of tralnlng speclallsts ln flelds
related to lnnovatlon. Kazakhstan does, however, traln a falrly
large pool of economlsts, as economlcs (l2.6%) ls the
second-most popular speclallzatlon for Doctor of Sclence
candldates after medlclne (l7.l %), [ust ahead of law (l2.4 %).
|f Central Asla ls to embrace the knowledge economy, lt wlll
need to develop lnfrastructure to foster lnnovatlon. The
most effectlve model for lntegratlng sclence, educatlon and
productlon processes establlshes llnkages between the
research team and the consumer of the flnlshed product or,
ln other words, between the sclentlflc ldea and lts practlcal
appllcatlon. |nfrastructure for lnnovatlon typlcally conslsts of
a network of buslness lncubators and technoparks. |n
Kazakhstan, there are already several technoparks ln
exlstence: ln Karaganda (UnlSclenTech Technopark), Uralsk
(Algorlthm Technopark) and Almaty (Alatau |TClty Natlonal
technopark, Almaty Peglonal Technopark and KazNTU
Technopark at the Kazakh Natlonal Technlcal Unlverslty,
named after Academlclan K. |. Satpaev). The ma[orlty of
these technoparks are stlll start-ups. Thelr actlvlty tends to
be conflned to the development of small buslnesses ln
varlous flelds.
Kyrgyzstan
Kyrgyzstan has escaped largely unscathed from the global
recesslon. Professor 1umakadyr Akeneev, Presldent of the
Klrghlz |nvestment Pund, has observed that Kyrgyzstan
recorded economlc growth of 3% ln 2009, at a tlme when
the economy of many countrles - Kazakhstan, Pussla and
Ukralne lncluded - was stagnatlng.
Over the past flve years, Kyrgyzstan has en[oyed
conslderable economlc growth, wlth GDP peaklng at
US$ 5 bllllon ln 2009. Thls prowess needs to be relatlvlsed,
however: prlor to lndependence ln l99l, Kyrgyzstan
generated GDP of US$ l3 bllllon.
|n 20l0, Kyrgyzstan plans to lncrease repayments on the
forelgn debt ln excess of US$2 bllllon accumulated under
the republlc's flrst Presldent Askar Akaev (l99l-2005), the
posslbllltles for restructurlng the country's debt havlng
been almost exhausted. Under such a scenarlo, the
prospects for Kyrgyzstan's economlc and sclentlflc
development appear more sombre than ln elther
Kazakhstan or Uzbeklstan. Moreover, at the tlme of
wrltlng ln late Aprll 20l0, Presldent Kurmanbek 8aklyev
had [ust been forced to reslgn and the country was ln the
hands of a transltlon government led by former forelgn
C
e
n
t
r
a
l

A
s
l
a
Figure 4: |nternet users per l00 populatlon ln Central Asla, 2000-2008
0
3
6
9
12
15
18
Kyrgyzstan
Kazakhstan
Uzbekistan
Tajikistan
Turkmenistan
2000 2001 2002 2003 2004 2005 2006 2007 2008
1.0
0.7
0.5
0.1
0.1
15.7
11.0
9.1
8.8
1.5
5outce: Unlted Natlons Statlstlcal Dlvlslon, Mlllennlum Development Goals |ndlcators
|||SO S|||| |||O| 2010
mlnlster Poza Otunbayeva. The polltlcal sltuatlon ln
Kyrgyzstan was thus somewhat uncertaln.
The republlc does have some S&T capaclty, even lf the
number of researchers per mllllon populatlon ls relatlvely
low (Table 4). The government has also lntroduced a
programme entltled 2l
st
Century Personnel to lmprove
the quallty of educatlon.
Building a system for information exchange
|n November 2005, former Presldent 8aklyev publlshed a
Decree on the Optlmlzatlon of the Structure of State
8odles of Kyrgyzstan. Thls decree abollshed Kyrgyzpatent,
the centre for S&T lnformatlon, and transferred lts
functlons to the Department of Sclence, |nnovatlon and
Sclentlflc and Technlcal |nformatlon under the Mlnlstry of
Lducatlon and Sclence. The ob[ectlves of thls department
are to:
I partlclpate ln the formulatlon and lmplementatlon of
state pollcy and government programmes ln the
sphere of sclentlflc, technlcal and economlc
lnformatlon,
I gather, process, store, analyse and dlstrlbute S&T
lnformatlon,
I partlclpate ln the creatlon and development of a
natlonal system of sclentlflc, technlcal and economlc
lnformatlon-gatherlng of natlonal lmportance, whlch
wlll then be stored ln a database of the Mlnlstry of
Lducatlon and Sclence,
I gather S&T lnformatlon uslng domestlc and forelgn
sources,
I provlde lnterested state bodles, organlzatlons and
lndlvlduals wlth reference works and analytlcal
lnformatlon related to S&T,
I organlze and co-ordlnate lnternatlonal co-operatlon
and the exchange of S&T lnformatlon wlth other
countrles wlthln the bounds of legal agreements.
The key to acceleratlng S&T progress ln Kyrgyzstan wlll be
the creatlon of a natlonal system capable of supplylng
lnformatlon to the actors of economlc development and
sclentlflc progress. |t ls the Mlnlstry of Lducatlon and
Sclence whlch ls responslble for elaboratlng state pollcy ln
the fleld of S&T lnformatlon. The mlnlstry ls one of the
bodles lmplementlng the state Programme for the
Development of Lducatlon and a Sclentlflc and Technlcal
|nformatlon System ln Kyrgyzstan for 2004-20l0. wlthln
thls role, the mlnlstry develops co-operatlon and the
242
exchange of S&T lnformatlon wlth branch research
lnstltutes, lnstltutlons of hlgher educatlon, academlc
lnstltutes and other mlnlstrles and agencles.
The Mlnlstry of Lducatlon and Sclence has concluded a
number of lnternatlonal agreements and contracts for the
exchange of S&T lnformatlon. |t also partlclpates ln
bllateral co-operatlon wlth sclentlflc lnstltutes abroad,
such as wlth the 1SC Centre for Sclentlflc and Technlcal
|nformatlon ln Kazakhstan, mentloned earller, Ukr|nTe| ln
Ukralne and the All-Pusslan |nstltute of Sclentlflc and
Technlcal |nformatlon under the Pusslan Academy of
Sclences. Thls ls a step ln the rlght dlrectlon but both the
Department of Sclence, |nnovatlon and Sclentlflc and
Technlcal |nformatlon and the Mlnlstry of Lducatlon and
Sclence wlll need to expand thelr lnternatlonal
partnershlps to lnclude a greater number of lnternatlonal
centres responslble for S&T lnformatlon ln Central Asla.
Of note ls that Kyrgyzstan ls a member of the C|S
|nterstate Co-ordlnatlon Councll for Sclentlflc and
Technlcal |nformatlon.
Thanks to a sclentlflc pro[ect for the Organlzatlon and
Co-ordlnatlon of |nternatlonal Co-operatlon and the
Lxchange of Sclentlflc and Technlcal |nformatlon, a
'unlque wlndow' ls belng developed whlch wlll allow
researchers to use lnformatlon and communlcatlon
technologles (|CTs) ln varlous branches of sclence and
lnnovatlon.
Adapting the economy to market needs
The Mlnlstry of Lducatlon and Sclence ls confronted
wlth a second urgent challenge: that of preservlng the
country's S&T capaclty and adaptlng lt to market needs.
|n 2009, the mlnlstry lnvolved students ln a pro[ect to
create databases for the storage of degree theses. The
mlnlstry ls also reformlng the competltlve fundlng of
research programmes to ensure that the blddlng process
encourages pro[ects that favour soclo-economlc
development.
The government needs to do more to foster lnnovatlon.
|t should stlmulate the lnflux of forelgn and prlvate capltal
for lnnovatlon by proposlng such pollcles as partlclpatlon
fundlng, state guarantees, pro[ect lnsurance, tax
lncentlves for the prlvate sector and the creatlon of patent
and lnnovatlon funds. The adoptlon of measures to foster
lnnovatlon ls of strateglc lmportance not only for
Kyrgyzstan but also for other Central Aslan countrles.
ort..| As|.
243
Tajikistan
|n Ta[lklstan, the hlgher educatlon sector employs more
than half of the country's researchers (3 883 out of 5 6l7),
followed by the Academy of Sclences (706), the Mlnlstry of
Publlc Health (380) and the Ta[lk Academy of Agrlcultural
Sclences (352). women make up l3% of Doctors of
Sclence and 29% of Candldates of Sclence. The number
of Candldates of Sclence among those younger than
35 years leapt from l73 to 445 between 2005 and 2007,
even though overall numbers of researchers wlll decllne ln
Ta[lklstan ln the comlng years, as the older generatlon
approaches retlrement. Although the spurt ln the number
of young Candldates of Sclence ls an encouraglng slgn, lt
ls not the only lndlcator of the level of efflclency of the
country's research network.
The level of lnvestment ln P&D ls another lndlcator. |f we
examlne the state of sclentlflc equlpment and facllltles,
such as experlmental statlons or botanlcal gardens, lt
emerges that, of the 67 organlzatlons carrylng out P&D ln
Ta[lklstan, [ust l6 concentrate most of the budget for
sclentlflc equlpment and machlnery. Generally speaklng,
materlal and technlcal support for sclence ls sorely
lnadequate and most sclentlflc equlpment ls obsolete.
Those sclentlflc organlzatlons that do recelve new
equlpment owe thelr good fortune prlmarlly to grants
from lnternatlonal bodles. Ta[lklstan devotes [ust 0.06% of
GDP to P&D, the weakest effort ln all of Central Asla.
et, lncredlbly, the level of P&D fundlng was l6 tlmes
hlgher ln 2007 than ln 2000.
The government conslders baslc research a prlorlty for
P&D fundlng. 8aslc research accounted for half of GLPD ln
2007 and experlmental development for one-thlrd
(Plgure 5). The government has adopted a number of laws
to protect lntellectual property ln recent years. |n Pebruary
2004, two laws were passed On |nventlon and On
|ndustrlal Samples respectlvely. These were followed ln
December 2006 by a Law on Plghts Protectlon for the
Topology of |ntegrated Mlcroclrcults then, ln March 2007,
by a Law on trademarks and Servlce Marks and a second
Law on Geographlcal |ndlcators.
Much of the P&D conducted by Ta[lk sclentlsts flnds practlcal
appllcatlons ln the ma[or branches of the natlonal economy,
such as agrlculture, constructlon, metallurgy, the chemlcal
lndustry, water-power englneerlng, computer facllltles,
geology and publlc health servlces. As a result, Ta[lk
sclentlsts have succeeded ln recent years ln developlng new
materlals, lndustrlal ob[ects and medlclnes, ln furtherlng rlsk
preventlon for earthquake hazards and ln lmprovlng dam
constructlon to lncrease agrlcultural productlvlty.
|n the analytlcal compendlum of the Natlonal Patent
|nformatlon Centre, whlch ls the structural dlvlslon of the
Mlnlstry of Lconomlc Development and Trade, there are
unfortunately no data avallable on the artlcles publlshed
by Ta[lk sclentlsts ln revlewed lnternatlonal [ournals.
8earlng ln mlnd that many Ta[lk sclentlsts are not proflclent
ln Lngllsh, the data avallable ln Thomson Peuters'
Sclence Cltatlon |ndex glve only some lndlcatlon of the
productlvlty of Ta[lk sclentlsts (see Annex ll, 7ooles 5 onJ 6).
Consclous of the need to prepare the next generatlon of
P&D personnel to take over from thelr agelng peers,
Presldent Pakhmon declared 20l0 the ear of Lducatlon
and Technlcal Knowledge. The government plans to
double the value of scholarshlps for talented students
C
e
n
t
r
a
l

A
s
l
a
Figure 5: P&D ln Central Asla by type of research,
2007 (%)
5electeJ countt|es
25.4
Basic
Applied
Experimental
development
50.2
17.0
25.0
65.0
33.0
47.0
55.0
10.0
11.4
11.0
32.0
kazakhstan
2007
Uzbekistan
2009
7ajikistan
2007
kyrgyzstan
2007
5outce: natlonal data
|||SO S|||| |||O| 2010
244
The potentlal for solar and wlnd energy ls lnexhaustlble.
'|n Turkmenlstan, solar panels generate l682-l890 kw/
hour per m
2
every year', observed Professor Luls Lemkov
Zetterllng ln 1une 2009. The Dlrector of the Sclentlflc
|nstltute for Lnvlronment and Technologles of the
|ndependent Unvlerslty of 8arcelona ln Spaln was
speaklng at an lnternatlonal conference ln Ashkhabad
on The Sclentlflc 8asls for the |ntroductlon of new
Technologles durlng the Lpoch of New Pevlval.
Professor Lemkov Zetterllng (2009) observed that
Turkmenlstan en[oyed 2 768-3 08l hours of sunllght
each year and afflrmed that 'all electrlc power
developed at present can be produced by means of
solar batterles'.
A new epoch for science in Turkmenistan
After the dlslntegratlon of the Sovlet Unlon, Turkmen
sclence encountered great dlfflcultles under the
presldency of Saparmurad Nlyazov. 8y the year 2000,
more than 250 000 Pusslan-speaklng Turkmen had left
the country. Among them were many well-known
researchers and other skllled experts. The Academy of
Sclences of Turkmenlstan was closed down and many
research lnstltutes ceased to exlst.
wlth the electlon of Presldent Gurbanguly
8erdymuhamedov ln Pebruary 2007, sclence ln the
republlc has revlved agaln. At a meetlng of cablnet
mlnlsters on l2 1une 2009, the Presldent stated that
'today, durlng thls epoch of new revlval, we shall ralse
sclence to a level worthy of the lntrlnslc sclentlflc value
and wlsdom of our ancestors'. He also sald that sclence
should alm to solve key problems faclng the country and
soclety and become the foundatlon for natlonal well-
belng. |nnovatlon, he sald, should be the prerequlslte for
Turkmenlstan's successful lntegratlon ln the world of ldeas
and hlgh technologles. The same day, he declared l2 1une
Natlonal Sclence Day and lssued a decree relnstatlng the
Academy of Sclences (Nazakov, 2009o).
The academy conslsts of ll research lnstltutes, lncludlng
slx new open lnstltutes. |t ls responslble for co-ordlnatlng
and organlzlng sclence ln Turkmenlstan. |t ls also
entrusted wlth the vltal task of translatlng the presldent's
decree lnto reallty: the development of a system for
managlng sclence capable of accompanylng the
modernlzatlon of the Turkmen economy. Hlghly skllled
managers wlll be a prerequlslte for the creatlon of
lnfrastructure for sclence and lnnovatlon.
from state schools and unlversltles. Moreover, at the
presldent's lnltlatlve, lt ls planned to open a presldentlal
lycee ln 20ll for l 000 puplls.
Developing international S&T co-operation
|n many respects, the sclentlflc future of Ta[lklstan wlll
depend on how fast lt can bulld the necessary lnfrastructure
to take lts rlghtful place ln world sclence. The government
has effectlvely recognlzed thls fact ln the strategy for S&T
adopted for 2007-20l5. |n the strategy, sclence appears as a
natlonal prlorlty and ls descrlbed as belng vltal for progress
and a better quallty of llfe. The strategy outllnes an ambltlous
programme for developlng sclentlflc co-operatlon wlth other
countrles, lncludlng fellow members of the C|S, as well as
wlth lnternatlonal organlzatlons, vla lntergovernmental
agreements and partnershlps to be concluded by the
Academy of Sclences, research lnstltutes and unlversltles.
There are good prospects for expandlng multllateral
sclentlflc co-operatlon vla such bodles as the |nternatlonal
Assoclatlon of Academles of Sclences, the Assoclatlon of
Academles of Sclences of Central Aslan Countrles, the
Academy of Sclences for the Developlng world (TwAS)
and the standlng Commlttee on Sclentlflc and
Technologlcal Cooperatlon of the Organlzatlon of the
|slamlc Conference.
Lately, the opportunltles for professlonal tralnlng or [olnt
research pro[ects wlth sclentlsts abroad have grown
conslderably for Ta[lk sclentlsts. Nevertheless, the level of
lnternatlonal sclentlflc co-operatlon remalns modest:
ln 20l0, [ust l5 research pro[ects were funded by
lnternatlonal grants and there were only nlne [olnt pro[ects.
Turkmenistan
About 86% of Turkmenlstan's terrltory ls covered by the
Karakum desert. Only ln the southwest are there low
mountalns known as the Kopet Dag. Turkmenlstan shares
the Amu Darya Plver wlth Uzbeklstan and can count on
the Karakum Canal for freshwater, the canal stretches
more than l000 km from the upper course of the Amu
Darya Plver to Ashkhabad, the capltal.
Desplte belng largely desert, Turkmenlstan ls not wlthout
natural resources. |t possesses about one-thlrd of the
world's reserves of natural gas: up to 24 bllllon m
3
. |t ls also
blessed wlth conslderable oll reserves of 7-l2 bllllon tons
and has substantlal deposlts of potasslum and the world's
largest reserves of natural salt deposlts.
ort..| As|.
245
As of 1anuary 20l0, the country counted 29 research
lnstltutes and l6 lnstltutlons of hlgher educatlon.
The presldent has determlned the followlng prlorlty
areas for P&D ln the comlng years:
I extractlon and reflnlng of oll and gas and mlnlng of
other mlnerals,
I development of the electrlc power lndustry, wlth
exploratlon of the potentlal use of alternatlve sources
of energy: sun, wlnd, geothermal and blogas,
I selsmology,
I transportatlon,
I the development of |CTs,
I automatlon of productlon,
I conservatlon of the envlronment and, accordlngly,
lntroductlon of non-pollutlng technologles that do not
produce waste,
I development of breedlng technlques ln the
agrlculture sector,
I medlclne and pharmaceutlcals,
I natural sclences,
I humanltles, lncludlng the study of the country's
hlstory, culture and folklore.
Uzbekistan
Sclence ln Uzbeklstan has a long hlstory, partlcularly
ln astronomy, mathematlcs, medlclne and phllosophy.
Uzbeklstan ls home to Ulugh 8eg, for example, the
only astronomer ever to rule a mlghty state. |t was
Ulugh 8eg who bullt the enormous observatory ln
Samarkand ln l420. Lven today, the country has the
thlrd-blggest pool of researchers among C|S countrles
after the Pusslan Pederatlon and Ukralne: 26 000. 1ust
under one ln ten researchers (2 42l) work for the
Academy of Sclences.
|n August 2006, Presldent |slam Karlmov lssued a
decree On Measures for |mprovlng Co-ordlnatlon and
Management for the Development of Sclence and
Technologles. The purpose of thls decree ls to strengthen
the role of sclence ln the country's soclo-economlc
development, to use progress ln S&T to llberallze the
economy and to lmprove the quallty of research and
technologlcal lnnovatlon by creatlng a favourable
envlronment. One key measure has been the
establlshment of a Commlttee for the Co-ordlnatlon
of the Development of Sclence and Technology whlch
answers dlrectly to the Cablnet of Mlnlsters. The
commlttee's maln ob[ectlves are to:
I select prlorlty areas for P&D, taklng lnto account the
polltlcal and soclo-economlc role of P&D and the
achlevements of modern sclence,
I co-ordlnate the actlvltles of research lnstltutes and agencles,
deslgn bureaux and lnstltutlons of hlgher educatlon falllng
under the umbrella of mlnlstrles and agencles, and the
actlvltles of the Academy of Sclences ln prlorlty areas of P&D,
I ensure that P&D ob[ectlves are achleved and elaborate
S&T programmes,
I oversee effectlve monltorlng of the lmplementatlon of
S&T programmes and pro[ects,
I develop lnternatlonal co-operatlon ln S&T of mutual
beneflt.
On the basls of proposals by the Cablnet of Mlnlsters of the
Pepubllc of Karakalpakstan
4
and other reglons, by mlnlstrles,
agencles, economlc bodles and the Academy of Sclences,
the Commlttee for the Co-ordlnatlon of the Development
of Sclence and Technology has selected seven prlorlty areas
for P&D:
I Study of the legal, economlc and soclal bases of
development of the democratlc state and clvll soclety,
and deepenlng of economlc reforms,
I Study of moral and hlstorlcal processes and problems
related to the splrltual and cultural development of
soclety and currlcular reform based on hlstorlcal,
natlonal and unlversal values,
I Development of hlgh technologles and methods for
prospectlng and conductlng mlnlng operatlons and
deep-processlng of mlneral raw materlals and secondary
resources,
I More ratlonal use and conservatlon of land, water
resources and blologlcal dlverslty, and the creatlon of
agrotechnologles for crops and anlmals based on the
ratlonal use of genetlc resources and blotechnologles,
I Development of hlgh technologles and modern
methods ln medlclne, an lmproved system of publlc
health care and greater envlronmental securlty,
C
e
n
t
r
a
l

A
s
l
a
4. An autonomous reglon of Uzbeklstan
|||SO S|||| |||O| 2010
I Development of hlgh technologles to produce a new
generatlon of cars, equlpment and materlals,
englneerlng tools and lnformatlon technology to drlve
the knowledge economy,
I Study of problems related to the creatlon of an
lnformatlon soclety, development of technologles for
the transfer, processlng and protectlon of lnformatlon
and the creatlon of software for deslgn and
management.
Once the seven prlorlty areas for P&D had been establlshed,
sclentlflc lnstltutlons and unlversltles were lnvlted to develop
l7 broad research programmes for the perlod 2008-20l8. |n
parallel, the commlttee consulted the Academy of Sclences
and mlnlstrles and agencles responslble for economlc
development on whlch system of competltlve blddlng to
adopt for the selectlon of research proposals submltted by
sclentlflc lnstltutlons and unlversltles ln areas correspondlng
to the seven natlonal prlorltles for P&D. A flrst round of the
selectlon process took place ln 2007 for pro[ects ln baslc
research and a second round ln 2008 for pro[ects ln applled
research and experlmental development. Llght baslc
research programmes conslstlng of 4l7 pro[ects were
adopted for lmplementatlon durlng 2007-20ll. A further
l7 programmes conslstlng of 59l pro[ects ln applled
research are belng lmplemented durlng 2009-20ll. Llght
programmes conslstlng of l72 pro[ects ln experlmental
development were lmplemented ln 2009 and 20l0.
As the natlonal budget for research ls very low - [ust 0.20%
of GDP ln 20l0, accordlng to estlmates - government
fundlng of selected pro[ects ls complemented by forelgn
and prlvate lnvestment representlng of 25-30% of GLPD.
Box 1: The 8lg Solar Purnace
|r 200, t|o ncst pc.o.|J| sc|.. |.so. |r
t|o .c.|J bo.r cpo..t|r |r t|o |.r
S|.r ncJrt.|rs .bcJt 50 kn |.cn
|.bok|st.rs c.p|t.|, .s|kort. .p.b|o c|
cJtt|r t|.cJ| not.| .s || |t .o.o p.po.,
t|o |.so. |s pc.o.oJ by . ccrc.vo n|..c.
.s t.|| .s . 12stc.oy bJ||J|r t|.t |s t|o
.c.|Js |..ost t||ckoro. c| sc|.. bo.ns.
|t c.r |ccJs Jp tc 1 n||||cr ..tts c| sc|..
oro.y (see photo, page 234). |.c|r t|o
|.rt ccrc.vo n|..c. ..o 62 ct|o.
n|..c.s t|.t .o|..ct sc|.. bo.ns, .ct.t|r
JJ.|r t|o J.y tc |c||c. t|o SJrs p.t|
.c.css t|o sky t|or sorJ|r t|o sc|..
bo.ns t|oy c.pt tc t|o p.|n..y n|..c..
|o |o.t oro..toJ c.r no|t .ry
krc.r n.to.|.|. |r t|o |o..t c| t|o
|J.r.co, t|o tonpo..tJ.o c||nbs tc
3000. A spoc|.||y Jovo|cpoJ
ccnpJto. p.c..nno p.ovorts t|o
|J.r.co |.cn cvo.|o.t|r.
||s Jr|,Jo cpt|c.|noc|.r|c.|
ccnp|ox |s krc.r .s t|o b| Sc|..
|J.r.co. crst.JctoJ |r 1991, |t |s
cpo..toJ by t|o |rst|tJto c| V.to.|.|s
Sc|orco .t t|o |.bok Ac.Jony c|
Sc|orcos, .|t| t|o p..t|c|p.t|cr c| t|o
|rst|tJto c| |Jc|o.. ||ys|cs. |o
p.coct |.s sJccooJoJ |r |ts cboct|vo
c| t..rs|c.n|r sc|.. oro.y . c|o.r
.rJ |rox|.Jst|b|o scJ.co c| oro.y
|rtc |.so. ..J|.t|cr.
Sc|.. |.so.s c.r bo .pp||oJ tc .
.|Jo spoct.Jn c| ||o|Js. |o |rst|tJto
c| V.to.|.|s Sc|orco |.s .r |rJJst.|.|
||ro |c. co..n|cs. |s|r t|o sc|..
|J.r.co, n.to.|.|s ..o Jovo|cpoJ
.||c| p.osort Jr|,Jo p|ys|c.| .rJ
c|on|c.| p.cpo.t|os, sJc| .s ||n|toJ
t|o.n.| oxp.rs|cr, ||| JJ..b|||ty
.rJ |o.t.os|st.rco |r oxt.ono
orv|.crnorts, sJc| .s JJ.|r . ||.o.
VJ|t|pJ.pcso co..n|cs |rc|JJo
|||tonpo..tJ.o |o.to.s, ||.o
.os|st.rt n.to.|.|s, t..rs|c.no.s,
.s bJ.ro.s .rJ ..J|.tc.s |c.
noJ|c|ro. Ot|o. p.cJJcts |rc|JJo
t|.o.J J.|vo.s |c. t|o toxt||o |rJJst.y
.rJ |rsJ|.tc.s |c. t|o o|oct.|c.|
pc.o. |rJJst.y. o..n|c pcrtccrs
..o .|sc p.cJJcoJ |c. t|o c|| .rJ .s
|rJJst.y.
\|or ycJ ccrs|Jo. t|.t |.so.s ..o
nc.o o|||c|ort t|.r c.b|o ||ros, |t |s
cr|y . sn.|| stop tc |n.|ro t|on
bo|r JsoJ cro J.y |c. s.to|||to
ccnnJr|c.t|crs |r sp.co .rJ
po.|.ps ovor tc sorJ s|r.|s tc
J|st.rt p|.rots.
A.J.b|y t|o ncst oxc|t|r
pctort|.| |c. t|o sc|.. |.so. ||os |r t|o
Jovo|cpnort c| sc|.. pc.o. st.t|crs
c.b|t|r |..t|, .|o.o t|o SJrs
..J|.t|cr |s .bcJt t.|co .s pc.o.|J|
.s cr cJ. p|.rot. SJc| .r oxpo.|nort
.cJ|J bo oxt.ono|y ccst|y, |c.ovo.,
rct tc nort|cr p.on.tJ.o, t|o
toc|rc|cy |c. . sc|.. pc.o. p|.rt |s
st||| bo|r tostoJ .t t|o b| Sc|..
|J.r.co. |o |.bok to.n |s cc
cpo..t|r .|t| '.p.roso sc|ort|sts cr
t||s p.coct .rJ |cpos tc |Jort||y
p..tro.s |r ct|o. ccJrt.|os.
5outce: |nstltute of Materlals
Sclence, akhyaev (2007)
Por detalls: [abbarQuzscl.net,
www.mat-scl.fan.uz
246
ort..| As|.
247
The quota for fundlng allocated to each research
programme ls flxed by the commlttee together wlth the
Mlnlstry of Plnance. The state budget ls asslgned by the
Mlnlstry of Plnance dlrectly to the 'customers' responslble
for each P&D programme or pro[ect. These customers may
be the Academy of Sclences, Mlnlstry of Hlgher Lducatlon
and Secondary Speclallzed Lducatlon, Mlnlstry of Publlc
Health, Mlnlstry of Agrlculture and water Pesources,
Mlnlstry of Publlc Lducatlon or other mlnlstrles, leadlng
research centres and other agencles and organlzatlons.
|t ls the commlttee whlch monltors lmplementatlon of
P&D programmes and pro[ects. |n 2006-2008, lt reported
that P&D programmes and pro[ects had led to the
obtentlon of l66 patents. Over thls perlod, among artlcles
publlshed ln lnternatlonal [ournals, approxlmately the
same number concerned baslc research as applled
research. Uzbek sclentlsts contrlbuted 0.l9% of sclentlflc
artlcles worldwlde, compared to 0.02% for Kazakhstan.
Developing innovation infrastructure
Throughout the republlc, reglonal centres are belng created
to foster technology transfer and lnnovatlon. Meanwhlle,
the Mlnlstry of Lducatlon has developed a currlculum for
the Tralnlng of Quallfled Admlnlstratlve Staff and Speclallsts
ln venture Punds and Company Pules (2008).
|n 1uly 2008, the Presldent publlshed a Decree on
Addltlonal Measures for Stlmulatlng the |ntroductlon of
|nnovatlon Pro[ects and Technologles ln Productlon. |n
parallel, lnnovatlon falrs were held ln Tashkent ln Aprll
2008, Aprll 2009 and March 20l0. Lach falr produced a
catalogue of ldeas, technologles and pro[ects related to
lnnovatlon. These catalogues may be consulted on the
commlttee's webslte. The lnnovatlon falrs produced
l200 contracts wlth state enterprlses for the development
of lnnovatlve products and processes. Pourteen state
enterprlses have slnce started productlon of hlgh-tech
products ln the medlcal fleld, |CTs and the transformatlon
of local raw materlals. Moreover, the market model
adopted by the government lncludes support for
lntellectual property protectlon. Thls has glven sclentlsts
the chance to lncrease the volume of research results they
translate lnto products and processes from 8-l0 % to
27-30% wlthout the need for addltlonal government
capltal lnvestment. |t should be noted, however, that,
although the lnnovatlon falrs have stlmulated P&D, the
reglonal lnnovatlon centres remaln at an embryonlc stage
of development and stlll face many hurdles.
O|||S|O|
|n economlcally developed countrles llke Prance, Germany,
the UK and USA, the P&D lnfrastructure pools the efforts of a
wlde spectrum of actors: the state, large lndustrlal companles
and small prlvate companles speclallzlng ln lnnovatlon, the
hlgher educatlon sector and non-proflt organlzatlons.
Thls experlence should be analysed by Central Aslan
countrles lnterested ln developlng thelr own lnfrastructure.
we have seen that, of the flve Central Aslan republlcs, lt ls
Kazakhstan and Uzbeklstan whlch have the most
developed sclence systems. The woefully lnadequate
fundlng levels for P&D ls a problem common to all Central
Aslan countrles, however. All flve need to make a
determlned effort to attract non-governmental sources of
fundlng, especlally from small and medlum-slzed
buslnesses and ln the form of venture capltal and forelgn
dlrect lnvestment. A second necesslty ls for countrles to
make greater use of electronlc means to enable
stakeholders to share ST| lnformatlon.
Central Aslan countrles share a varlety of other problems,
namely:
I the lack of an effectlve system of lnteractlon between
actors of lnnovatlon,
I an lnadequate supply of P&D personnel,
I lnsufflclent lnnovatlon on the part of sclentlflc
organlzatlons and lndustrlal enterprlses,
I an lnadequate legal basls for the development of
lnnovatlon,
I a lack of large lnternatlonal research pro[ects orlented
towards solvlng reglonal problems such as
envlronmental degradatlon, the lnadequate
conservatlon of plant genetlc resources and food
and envlronmental lnsecurlty.
The flve countrles under study should take advantage of
the vast potentlal for lnternatlonal sclentlflc co-operatlon
offered by thelr close polltlcal, hlstorlcal and cultural tles.
|t would be mutually advantageous for the sclentlflc
communltles of these countrles to [oln forces to lmprove
envlronmental and food securlty ln the reglon, conserve
and use natural resources sustalnably and stablllze
natlonal economles. Thls sald, [olnt research programmes
wlll only be effectlve lf they are backed by fundlng levels
sufflclently hlgh to allow the reglon to reallze lts potentlal
and ralse the populatlon's standard of llvlng.
C
e
n
t
r
a
l

A
s
l
a
|||SO S|||| |||O| 2010
||||||||S
8uktukov, N.S. (2006) kelotm|n 5c|ence. Sclence and Hlgher
School of Kazakhstan. Avallable at: www.nauka.kz
Lutfullaev, P, Mukhltdlnova, N, Parplev, O. (2009) lnJ|cotots
ol 5c|ence, 7echnoloy onJ lnnovot|on |n the keuol|c ol
uzoel|ston (2009 Pott l. 5c|ent|l|c Cooc|ty. Statlstlcal
Pevlew. M. Karomov and A. Mukhammadlev (eds).
Sclence and Technology Publlshers, Tashkent.
Mukhammadlev, A. (2009) The organlzatlon of sclentlflc
actlvlty and lnnovatlon ln the Pepubllc of Uzbeklstan.
5c|ence onJ lnnovot|on, No. l. 8aku.
248
(2008) Co-ordlnatlon of the Development of Sclence
and Technology ln the Pepubllc of Uzbeklstan.
Proceedlngs of lnternatlonal conference on Sclence
and Tlme Challenges, volume l. Almaty.
Na[mudlnov, Sh. Z. (2009) Sclentlflc and technlcal capaclty
of the Pepubllc of Ta[lklstan ln 2007. Anolyt|col tev|ew,
|ssue 3. Dushanbe.
Nazakov, T. (2009o) Creatlon of the Academy of Sclences
of Turkmenlstan. Neuttol 7utlmen|ston No.l55,
l3 1une. Ashkhabad.
(2009o) Sclence - the maln tool of progress. Neuttol
7utlmen|ston, No. l57, l5 1une, 2009. Ashkhabad.
Box 2: A blue dye to the rescue of the Aral Sea 8asln
bct| |...k|st.r .rJ |.bok|st.r
bc.Jo. t|o A..| So.. |o |.bok p..t c|
t|o A..| So. s|..rk by 80 bot.oor
2006 .rJ 2009, .ccc.J|r tc s.to|||to
|n.o.y p.cv|JoJ by t|o |J.cpo.r
Sp.co Aorcy. |o ..to. s|tJ.t|cr |r
|.bok|st.r |.s boccno c.|t|c.|.
|rtors|vo |..|.t|cr .rJ J..|r.o c|
|.rJs |c. ..|cJ|tJ.o cvo. t|o p.st
40 yo..s |.vo tJ.roJ .|.t ..s crco
t|o |cJ.t||..ost |.ko |r t|o .c.|J
|rtc . s.|ty, tcx|c Joso.t .|o.o ||tt|o
.||| .c.. |vor tcJ.y, |..no.s st|||
JoporJ Jpcr ccttcr |c. t|o|.
||vo|||ccJ, ovor t|cJ| t||s t||.sty
c.cp |s |||.J.ptoJ tc t|o .o|crs
occsyston.
Indigofera tinctoria |s . r.tJ..|
b|Jo Jyo. A|t|cJ| t|o p|.rt |.s
rovo. bo|c.o boor .c.r |r ort..|
As|., |t pcssossos p.cpo.t|os t|.t n.ko
|t . ||ko|y c.rJ|J.to |c. .o|.b|||t.t|r
t|o .o|crs s.|t.|JJor sc||s. |r 2006, .
to.n |oJ by |||SO Sc|orco AJv|sc.
|.c|ossc. AbJJkcJ|. |..s|ov Jov|soJ
. so.|os c| oxpo.|norts .|t||r
|||SOs |.|rJ|c p.coct tc
Joto.n|ro |c. |rJ|c .cJ|J .o.ct tc
s.||ro, |c.y|o|J sc||s. |o t.|.|s .o.o
ccrJJctoJ cr t|o oxpo.|nort.| |..n
c| |.orc| St.to |r|vo.s|ty .rJ |oJ tc
t|o Jovo|cpnort c| . ro. cJ|t|v.. c|
|rJ|c ospoc|.||y .J.ptoJ tc t|o |..s|
|cc.| ccrJ|t|crs, |o.J.1. |o ro.
cJ|t|v.. |s .b|o tc .c. |r oxcooJ|r|y
s.||ro sc||s t|.rks tc t|o ccnb|r.t|cr
c| ||||y Jovo|cpoJ b.cto.|. |r t|o
p|.rts .ccts.
|r 2008, .JJ|t|cr.| ||o|J
oxpo.|norts .o.o c...|oJ cJt |r
cc||.bc..t|cr .|t| .r .sscc|.t|cr c|
|..no.s |r b..t ||st.|ct tc |Jort||y t|o
o||oct c| v..|cJs Jcs.os c| |o.t|||.o.
cr t|o s|.o c| |rJ|c p|.rts. A|t|cJ|
t|o |rJ|c p|.rt ||xos r|t.cor |r t|o
sc||, |t ..s J|sccvo.oJ t|.t t|o p|.rt
.cJ|J .c. ccrs|Jo..b|y t.||o. ||
n|ro..| |o.t|||.o.s .o.o .JJoJ.
|r 2009 .rJ 2010, |||SOs
.s|kort c|||co ..r . so.|os c| t..|r|r
.c.ks|cps |c. |..no.s cr .c.|r
|rJ|c. |o .c.ks|cps .|sc .tt..ctoJ
to.c|o.s .rJ sc|ort|sts o.o. tc |o..r
.bcJt t|o b|ctoc|rc|cy c| r.tJ..|
Jyos .rJ |c. tc |np.cvo sc||
occ|cy. |||SO JsoJ t||s
cppc.tJr|ty tc p.cv|Jo |..no.s .|t|
sooJs c| |o.J.1 tc or.b|o t|on tc
ccrJJct ||o|J tosts cr t|o|. c.r
p.cpo.t|os. |o n.|r cbst.c|o tc
.|Josp.o.J cJ|t|v.t|cr c| I. tinctoria |s
t|o .bsorco c| sooJs |r |.bok|st.r.
Oro cpt|cr .cJ|J bo tc ost.b||s| t|o
ccJrt.ys ||.st |..n spoc|.||.oJ |r sooJ
p.cJJct|cr t|or tc s|..o t||s
toc|rc|cy .|t| |.bok |..no.s.
|.cn t|o cJtsot, |t ..s Joc|JoJ tc
t..ot bct| t|o |cc.| .rJ |rto.r.t|cr.|
n..kots |c. |rJ|c Jyo |.cn t|o .o|cr.
|o |J.cpo.r b.rk |c. |occrst.Jct|cr
.rJ |ovo|cpnort |o|poJ tc |Jort||y
.o||.b|o n..kots |r |J.cpo, .|o.o |t
t..rsp|.oJ t|.t 1 k c| |rJ|c Jyo
ccJ|J |otc| Jp tc -240.
by 2010, r.tJ..| |rJ|c ..s .o||
cr t|o ..y tc bo|r p.cJJcoJ
ccnno.c|.||y |r t|o A..| So. b.s|r.
|..no.s .o.o .|sc bo|r orccJ..oJ
tc Jovo|cp ct|o. .|to.r.t|vo c.s|
c.cps tc ccttcr, sJc| .s noJ|c|r.|
p|.rts, voot.b|os .rJ |.J|t. |o
p.coct |s .|sc p.cnct|r ..to.
s.v|r toc|rc|c|os c| boro||t rct
cr|y tc ..|cJ|tJ.o bJt .|sc tc t|o
Jcnost|c .rJ |rJJst.|.| soctc.s.
5outce: Oslpov (20l0)
ort..| As|.
249
Oslpov, A. (20l0) Can a blue dye help save the Aral Sea!
A wotlJ ol 5c|ence, 8(1. Avallable at:
http://unesdoc.unesco.org/
lmages/00l8/00l865/l865l9L.pdf
Paroda, P. (2004) Ptoolem-solv|n lot the 5usto|noole
0eveloment ol At|cultute |n Centtol As|o. Department of
Programme |mplementatlon for Consultatlve Group on
|nternatlonal Agrlcultural Pesearch (CG|AP) and Peglonal
Programme for Central Aslan countrles of |nternatlonal
Centre of Agrlcultural Pesearch ln Arld Peglons
(|CAPDA). Tashkent. Avallable at: www.lcarda.org/cac
Statlstlcal Offlce (2009) 5c|ence, 7echnoloy onJ lnnovot|on
lnJ|cotots lot the keuol|c ol uzoel|ston, 7oshlent.
Statlstlcs Agency (2008o) 5oc|ol onJ lconom|c 0eveloment
ol the keuol|c ol lozolhston. Almaty.
(2008o) Tralnlng of hlghly skllled professlonals ln the
Pepubllc of Kazakhstan. 5tot|st|col 8ullet|n. Almaty.
Sulelmenov L. Z. (2009) Sclentlflc Development ln the
Pepubllc of Kazakhstan. 5c|ence onJ lnnovot|on,
No. l. 8aku.
Sulelmenov, L.Z. and Kulevskaya, 1.G. (2008) 5toll|n
Ptoolems |n 5c|ence, 7echnoloy onJ lnnovot|on |n the
keuol|c ol lozolhston. Natlonal Centre of Sclentlflc
and Technlcal |nformatlon, Almaty.
Sulelmenov, L.Z, Kulevskaya, 1.G, Kulumbetova, S.K,
Zharkova, G. P. (2008) 5totus onJ 7tenJs |n the
0eveloment ol 5c|ent|l|c onJ 7echn|col Cooc|ty |n
the keuol|c ol lozolhston. Almaty.
Sulelmenov, L.Z, vaslleva, N.v, Galants, L.A. (2008) 7he
0ynom|cs ol the 5c|ent|l|c onJ 7echn|col Cooc|ty ol the
keuol|c ol lozolhston |n 2000-2007. Natlonal Centre
of Sclentlflc and Technlcal |nformatlon, Almaty.
akhyaev, A. (2007) Uzbek sclentlsts created a powerful
solar laser. uzoel|ston 7oJoy. l6 November. Avallable
at: www.ut.uz/eng/today
Zetterllng, Lemkov L. (2009) The Capaclty for Solar Power
and Tralnlng ln Turkmenlstan. Proceedlngs of
lnternatlonal conference on The Sclentlflc 8asls for the
|ntroductlon of New Technologles durlng the Lpoch of
New Pevlval, l2-l4 1une 2009. Ashkhabad.
\|bS||S
All about Sclence ln Kazakhstan: www.nauka.kz/en/
Commlttee for the Co-ordlnatlon of the Development of
Sclence and Technology (Uzbeklstan): www.ftk.cc.uz
Lnglneerlng and Technology Transfer Center (Kazakhstan):
www.cett.kz/en/servlces/deslgnlng/pro[ect/
Natlonal |nnovatlon Pund (Kazakhstan): www.nlf.kz
Ashiraf Mukhammadiev was born ln Uzbeklstan ln
l946. An agrlcultural englneer, he obtalned hls
Doctor of Sclence degree ln l993 from the Tashkent
State Agrarlan Unlverslty. Prom l970 to l99l, he was
Head Pesearcher at the Central Aslan |nstltute of
Mechanlzatlon and Llectrlflcatlon then Dlrector of the
Sclentlflc Pesearch Laboratory at the |nstltute of
Lnglneers of |rrlgatlon and Agrlcultural
Mechanlzatlon ln the Tashkent reglon.
Prom l993 to l996, Dr Mukhammadlev served as
Dlrector of the Small Sclentlflc Productlon Lnterprlse
(|SKPA) ln Ta[lklstan before belng appolnted Head of
the Speclallzed Constructlon 8ureau ln Tashkent.
|n l996, he was nomlnated Deputy Dlrector of
Management at the State Commlttee of Sclence and
Technology of Uzbeklstan, where he comblned the
roles of Head of the Sclentlflc Pesearch Laboratory,
Head of the Speclallzed Constructlon 8ureau and
Professor at Tashkent State Agrarlan Unlverslty.
Prom 2002 to 2006, he was Head of Department at the
Uzbek Centre for Sclence and Technology under the
Cablnet of Mlnlsters. Slnce 2006, he has been Head
of Department for the Uzbek Commlttee of
Co-ordlnatlon and the Development of Sclence
and Technology.
Dr Mukhammadlev has 50 lnventlons to hls name
and ls the author of more than 250 publlshed
sclentlflc works.
C
e
n
t
r
a
l

A
s
l
a
8os|c eJucot|on |s not sull|c|ent to
cteote weolth, to oJJtess concetns ol
looJ, wotet onJ enety secut|ty, to
tov|Je oettet heolth setv|ces onJ
oettet |nltosttuctute. lot thot, sc|ence
|s tequ|teJ.
Adnan 8adran and Moneef Zou'bl
Arab States 14 [P3]:Layout 1 18/10/10 19:10 Page 250
13
.
Arab States
AJr.r b.J..r .rJ Vcroo| |. cJb|
25l
|||O|||O|
The Arab world stretches from the |ndlan Ocean ln the
Last to the Atlantlc Ocean ln the west. Twenty Arab
countrles occupy the southern and eastern shores of the
Medlterranean and border the Ped Sea.
|t ls an area of hlstorlcal lmportance, as lt ls the blrthplace
of the world's three Abrahamlc rellglons. Por centurles, the
reglon was a hub of groundbreaklng sclence. |t ls of
contemporary strateglc lmportance owlng to lts locatlon
and a wealth of subterranean natural resources, essentlally
ln the form of oll and natural gas - 32% of the world's
known natural gas reserves are to be found ln the reglon -
as well as phosphate: Morocco alone possesses more than
half of the world's reserves.
The reglon encompasses remarkable cultural slmllarltles as
well as hlghly dlstlnct polltlcal and economlc systems wlth a
heterogeneous soclal fabrlc. |ts peoples share a commonallty
of language, hlstory and rellglon but thelr socletles are at
varlance ln terms of natural wealth, governance, currency,
tradltlons and soclo-economlc systems.
The perlod slnce the uNl5CO 5c|ence keott 2005
appeared has been one of mlxed fortunes for Arab
countrles. The reglon has wltnessed contlnulng polltlcal
upheaval and mllltary confllct ln the Gaza Strlp and the
west 8ank, |raq, Lebanon and Sudan. The oll-exportlng
Arab states of Kuwalt, the Llbyan Arab 1amahlrlya, Qatar,
Saudl Arabla and the Unlted Arab Lmlrates have en[oyed a
short-llved downpour of revenue resultlng from the hlke
ln lnternatlonal oll prlces to a peak of more than US$ l40 a
barrel ln 1uly 2008. Conversely, oll-lmportlng countrles
such as 1ordan, Tunlsla and Morocco have faced flscal
dlfflcultles due to thelr mountlng natlonal energy bllls, a
sltuatlon compounded by the assoclated rlse ln the cost of
lmported food commodltles.
The subsequent plummet ln oll prlces, whlch fell to about
US$ 40 by the end of 2008 before recoverlng sllghtly ln
2009, has brought thls exceptlonal sltuatlon to an end.
|t has also hlghllghted the volatlllty of oll prlces and the
need for Arab oll-exportlng countrles to dlverslfy thelr
economles ln future.
Notwlthstandlng these dlfflcultles, the same perlod also
wltnessed renewed lnterest on the part of many Arab
countrles ln relnvlgoratlng sclence and technology (S&T)
and hlgher educatlon, wlth the launch of a number of top-
down lnltlatlves to support educatlon and research. Some
of these wlll be hlghllghted ln the present chapter. A
handful of countrles have also approved plans to allocate
more resources to research and development (P&D),
among them Lgypt, Tunlsla and Qatar.
The current global economlc recesslon may not affect
Arab states ln the lmmedlate term, as the banklng sector
ln the ma[orlty of Arab states ls hlghly regulated and only
loosely llnked to lnternatlonal money markets. However,
the economlc fallout wlll ultlmately be felt by all,
negatlvely affectlng forelgn dlrect lnvestment flowlng lnto
Arab countrles and real estate markets. Thls wlll cause a
slowdown ln economlc growth and a rlse ln
unemployment ln the reglon. Arab countrles rellant on
exportlng goods and servlces to the USA and Luropean
Unlon (LU) and those that normally recelve ald from these
quarters may suffer. Lven before the economlc recesslon
emerged ln the last quarter of 2008, unemployment ln the
Arab world was hlgher than ln any other part of the world,
at around l2%. oung [ob-seekers constltute over 40% of
the reglon's unemployed (UNLSCwA, 2007).
Desplte the lnternatlonal economlc uncertalnty, Arab
states wlll have no cholce but to stlmulate sclence,
technology and lnnovatlon (ST|), together wlth the
educatlon sector, lf only to overcome some llngerlng
problems llke food, water and energy lnsecurlty. Arab
countrles can also learn from the remarkable soclo-
economlc progress of countrles such as 8razll, Chlna,
|ndla, Malaysla and Mexlco, due ln part to S&T.
|| SO|O|O|OV| S||A|O|
Demography and economics
Arabs are young. Over 30% of the populatlon of Arab
countrles ls less than l5 years of age (UNLSCwA, 2007).
Thls ls a double-edged sword for Arab declslon-makers.
oung populatlons can stlmulate growth and create
dynamlc socletles, partlcularly lf they are well-tralned and
well-educated. However, the lnablllty of Arab
governments to provlde the young wlth schoollng or a
unlverslty educatlon or to expand the productlve capaclty
to create a reposltory of [obs may well result ln soclal
upheaval (UN/LAS, 2007). The world 8ank estlmates that
the reglon wlll have to create over l00 mllllon [obs by
2020 to employ the young men and women [olnlng the
A
r
a
b

s
t
a
t
e
s
Professor Llhadh
Al-Gazall
examlnlng a
young patlent ln
the Unlted Arab
Lmlrates
Photo: V|chelle
Pellet|et/lOteol
employment market. Whereas the problem of
unemployment may prove to be insurmountable in some
of the poorer Arab countries like Yemen, it will be
manageable for those which count among the richest in
the world: Qatar, Kuwait and the United Arab Emirates.
Countries of the Arab region may be grouped into three
categories in terms of per capita income. The first category
is characterized by almost total economic dependence on
oil: the Gulf States of Bahrain, Kuwait, Oman, Qatar, Saudi
Arabia and the United Arab Emirates, with GDP per capita
income being highest in Qatar (PPP US$ 65 182 in 2007)
and lowest in Oman (PPP US$ 22 695). Some 37 million
people belong to this group of countries, representing
around 11% of the Arab population (Figure 1). The STI and
higher education systems in these countries are new but
developing rapidly thanks to sizeable investments by their
heads of state and governments.
The second group encompasses Algeria, Egypt, Iraq,
Jordan, Lebanon, the Libyan Arab Jamahiriya, Morocco, the
252
Palestinian Autonomous Territories, Syria and Tunisia. Here,
GDP per capita is highest in the Libyan Arab Jamahiriya at
US$ 7 773 and lowest in Egypt at US$ 1 505. Although the
countries in this category have modest oil reserves with
the notable exception of Iraq and the Libyan Arab
Jamahiriya they boast relatively mature higher education
infrastructure. This includes some of the oldest universities
in the Arab world, including Cairo University, the American
University of Beirut, Ezzitouna University in Tunisia and the
University of Al-Karaouine in Morocco. The population of
this group amounts to around 219 million, constituting
70% of the population in the Arab world.
There is a distinct dichotomy between these two groups,
as countries belonging to the former have the material
and financial resources to carry out R&D but lack the solid
S&T and higher education systems to generate
knowledge. In the second group of countries, the
situation is reversed. Egypt, for example, is not wealthy
but is nevertheless considered a regional leader in terms
of S&T human resources and scientific publications.
Source: data from World Bank, World Development Indicators, June 2010
Morocco
31.6
Mauritania
3.2
Algeria
34.4
Tunisia
10.3
Libyan Arab
Jamahiriya
6.3
Jordan
5.9
Lebanon
4.2
Syria
20.6
Iraq
30.7
Kuwait
2.7
Bahrain
0.8
Djibouti
0.8
Qatar
1.3
UAE
4.5 Saudi Arabia
24.6
Oman
2.8
Yemen
22.9
Palestinian
Autonomous
Territories
3.9
Egypt
81.5
Sudan
41.4
Figure 1: Population growth in the Arab region, 20022008
Population in millions in 2008 and growth since 2002 (%)
0 0.9% 1 1.9% 2 2.9% 3 3.9% 4 4.9% 5 6.5%
Arab States [3] [Ed 2]:Layout 1 27/1/11 10:20 Page 252
Arab States
253
The third group of countries is characterized by limited or
underdeveloped natural resources and an equally meagre
supply of trained human resources. Countries in this
category also possess some of the lowest GDP per capita
in the world, which classifies them as least developed
countries (LDCs). They are Comoros, Djibouti, Mauritania,
Sudan and Yemen. This group of countries represents
around 19% of the total population of the Arab world. The
proportion of those living below the national poverty line
rose by almost 10% in the Arab LDCs between 19901995
and 20002004, from 37% to 47% (UN/LAS, 2007). The
problems faced by Arab LDCs have been compounded by
internal political strife over the past 20 years.
As Figure 2 demonstrates, the level of human
development varies widely across the Arab world. Seven
countries Bahrain, Kuwait, Libyan Arab Jamahiriya,
Oman, Qatar, Saudi Arabia and the United Arab Emirates
have achieved high human development. GDP per capita
has risen steeply in all seven in recent years.
Between 2002 and 2007, the Arab region enjoyed average
economic growth of around 4% per annum. The bulk of
this growth was due to the hike in oil prices, although
other factors also contributed, such as economic
diversification, international free trade agreements and
the rapid development of the financial sector and other
services sectors, especially in the Gulf.
A key impediment to the regions economic
development has been the lingering political conflicts in
Iraq, Lebanon, the Palestinian Autonomous Territories
and Sudan. These conflicts have erupted into violence
since the turn of the century. Acts of terrorism in Algeria,
Egypt, Jordan and Saudi Arabia have exacerbated the
situation, causing many Arab countries to divert
resources towards security, military and defence budgets
at the expense of resources earmarked for development.
Figure 3 shows military expenditure in Arab countries as
a percentage of GDP, the highest ratio in the world, even
if it has declined in relative terms. Much of this spending
goes on the purchase of expensive armaments from
industrialized countries. The worlds top seven military
spenders per capita all come from the Middle East: Iraq,
Israel, Jordan, Oman, Qatar, Saudi Arabia and Yemen
(CIA, 2009).
This phenomenon calls for serious review. Surely, the
introduction of security arrangements by the countries of
the region and the resolution of political problems would
pave the way for a drop in defence spending, thereby
freeing up resources for development.
Governance
Governance in the majority of Arab countries is in a state
of turmoil. Arab regimes are torn between upholding
national security as they perceive it and maintaining
social order on the one hand, and generally adopting
good governance practices, on the other; these practices
include promoting democracy and the rule of law,
promulgating accountability and combating corruption.
Notwithstanding the security issue, Arab governments
can help knowledge and knowledge-based industries to
flourish by creating an environment conducive to
enlightening young minds, nurturing creativity and
scientific enquiry and generally encouraging people to
work harder. By allowing citizens to enjoy the basic
freedoms of expression and association, in other words,
by allowing citizens to participate in their own
governance, governments can contribute to mitigating
the brain drain of scientists and intellectuals.
By applying laws fairly and equally, governments support
businesses and attract investment to their societies.
Without good governance, achieving a knowledge society
that simultaneously advances human development,
innovation and economic growth will be difficult, if not
impossible.
Universities, in particular, can only produce quality higher
education and R&D that responds better to national socio-
economic needs if freedom, democracy and tolerance are
allowed to prosper within their walls.
For the purposes of the present report, two governance
indicators will be examined to gauge where Arab countries
stand: the rule of law and voice and accountability.
Rule of law
The rule of law has been described as a yardstick as
important as the Millennium Development Goals (see
Annex II) and as being the key to achieving all of these
goals. Strengthening the rule of law lays the foundations
for safer societies that are able to offer their citizens
security, justice and development. The Arab Human
Development Report (UNDP, 2003) called for a fair and
predictable rule of law.
A
r
a
b

s
t
a
t
e
s
Recent research has shown that the performance of Arab
countries is a mixed bag. Kaufmann et al. (2008) measured
the rule of law in 1998 and 2007 as the outcome of
governance in Arab countries. Even if the standard error
estimate is taken into account, Qatar emerges from their
survey as the only Arab country to rank above the 75
th
percentile on a global scale in 2007. Four Arab countries
rank around the 65
th
percentile: Oman, Kuwait, United
Arab Emirates and Bahrain. These are followed by Jordan,
Tunisia and Saudi Arabia around the 60
th
percentile. A
further two Arab countries rank around the 50
th
percentile
mark: Egypt and Morocco. The remaining countries rank
254
below the 40
th
percentile, with Iraq recording the lowest
score. Noteworthy is that the rule of law has actually
receded since 1998 in Iraq, Lebanon, Morocco, Saudi Arabia,
Syria and in the West Bank and Gaza.
Voice and accountability
An independent knowledge sphere, in which knowledge
can be produced and shared without political interference,
must be an objective of all Arab governments in their
quest to achieve sustainable development. The foundation
of this knowledge sphere lies in providing and sustaining
an environment conducive to creativity and R&D
0 10 20 30 40 50 60 70
Qatar
United Arab Emirates
Kuwait
Bahrain
Saudi Arabia
Oman
Libyan Arab Jamahiriya
Lebanon
Algeria
Tunisia
Jordan
Egypt
Syria
Morocco
Yemen
Sudan
Djibouti
Mauritania
33
35
31
39
59
56
55
83
104
98
96
123
107
130
140
150
155
154
57 151 / 65 182
-2
38 716 / 56 584
-1
30 490 / 48 268
-1
22 588 / 34 899
17 527 / 23 991
17 440 / 22 695
-1
10 322 / 16 208
8 203 / 11 777
5 853 / 8 036
5 233 / 7 956
3 521 / 5 474
3 754 / 5 425
3 555 / 4 583
2 910 / 4 263
1 951 / 2 416
1 310 / 2 155
1 626 / 2 138
1 427 / 1 918
-1
Country
HDI
rank
(2007)
PPP US$ thousands*
Figure 2: GDP per capita in the Arab region, 2002 and 2008
*in current international purchasing power parity dollars
Source: UNDP (2009) Human Development Report; World Bank, World Development Indicators, June 2010
A..b St.tos
255
entrepreneurshlp, where freedom of oplnlon, speech and
assembly prevall to stlmulate ST|.
Although the Cold war of the 20
th
century and other recent
hlstory have shown that progress ln S&T ls posslble under
totalltarlan reglmes, any progress has rarely beneflted the
populatlon under such reglmes. Cuttlng-edge lnnovatlon ls
more llkely to thrlve - and endure - ln open socletles. Most
lmportantly, galns ln knowledge productlon ln such
socletles are more llkely to permeate soclety as a whole.
Here agaln, the reglon's showlng for the 'volce and
accountablllty' lndlcator over the past decade has been
dlsappolntlng. Accordlng to the study by Kaufmann et ol.
(2008), the top flve Arab countrles for thls lndlcator are
Lebanon, Kuwalt, Morocco, Qatar and 1ordan. However,
even for these countrles, the scores are low by lnternatlonal
standards, as all flve rank between the 35
th
and 30
th
percentlles.
A further four countrles have shown a marked lmprovement:
8ahraln, Algerla, D[lboutl and |raq. Overall, l2 out of l8 Arab
countrles and terrltorles reglstered a decllne ln 'volce and
accountablllty' between l998 and 2007, lncludlng four of the
top flve countrles for thls lndlcator: Lgypt, 1ordan, Kuwalt,
Lebanon, Llbyan Arab 1amahlrlya, Morocco, Oman, Syrla,
Tunlsla, Unlted Arab Lmlrates, the west 8ank and Gaza and
emen.
|| S |A||SA||
Innovation not yet part of S&T parlance
|nterest ln S&T was klndled ln the ma[orlty of Arab
countrles after the Second world war, when most galned
lndependence. Unlversltles and research centres were
founded prlnclpally by central governments from the
l960s onwards. Natlonal S&T pollcles would come much
later. 1ordan, for example, founded lts maln natlonal
unlverslty, the Unlverslty of 1ordan, ln l962 and lts maln
lndustrlal research centre, the Poyal Sclentlflc Soclety, ln
l970, yet adopted a Natlonal Sclence and Technology
A
r
a
b

s
t
a
t
e
s
0
3
6
9
12
15
(%)
O
m
a
n
S
a
u
d
i

A
r
a
b
i
a
J
o
r
d
a
n
Y
e
m
e
n
L
e
b
a
n
o
n
S
u
d
a
n
D
j
i
b
o
u
t
i
M
a
u
r
i
t
a
n
i
a
S
y
r
i
a
M
o
r
o
c
c
o
K
u
w
a
i
t
A
l
g
e
r
i
a
B
a
h
r
a
i
n
E
g
y
p
t
U
n
i
t
e
d

A
r
a
b

E
m
i
r
a
t
e
s
T
u
n
i
s
i
a
L
i
b
y
a
n

A
r
a
b

J
a
m
a
h
i
r
i
y
a
12.4 / 10.4
-1

5.4 / 5.9
4.7 / 4.4
9.8 / 8.2

5.2 / 3.4
3.2 / 4.2
-2
5.6 / 4.1
7.5 / 4.5

3.6 / 3.3 3.7 / 3.1

3.2 / 3.8
3.4 / 2.3

4.7 / 2.7
7.4 / 3.2
1.6 / 1.3
2.3 / 1.2
3.3 / -
5outce: world 8ank, world Develpment |ndlcators, 1une 20l0
Figure 3: Mllltary expendlture ln selected Arab countrles, 2002 and 2008
As o etcentoe ol C0P
|||SO S|||| |||O| 2010
Pollcy only ln l995. Saudl Arabla adopted lts own natlonal
pollcy for S&T as recently as 2003 (Al-Athel, 2003).
Today, many Arab countrles stlll possess no natlonal pollcles
or strategles for S&T. However, they are ln the process of
taklng thls lmportant flrst step. where S&T pollcles do exlst,
they are elther too ambltlous or amblguous. All Arab
countrles nevertheless have sectoral pollcles, such as those
for agrlculture, water resources and the envlronment.
|nnovatlon ls not yet part of S&T parlance ln the reglon.
Thls may be attrlbuted to the weak llnkages overall
between prlvate and publlc P&D, as evldenced by the
low output of patents. |n 2003, Tunlsla carrled out an
lnnovatlon survey as a flrst step towards remedylng thls
sltuatlon. The Unlted Arab Lmlrates ls the hlghest-ranklng
Arab country ln terms of lts capaclty for lnnovatlon. |t
comes 27
nd
out of the l33 economles covered by the
Global Competltlveness |ndex 2009/20l0, followed by
Saudl Arabla (32
nd
), Qatar (36
th
), Tunlsla (38
th
), Oman (55
th
)
and 1ordan (59
th
) |wLP, 2009|.
Among recent developments, a Luropean Unlon-Lgypt
|nnovatlon Pund has been establlshed at the Lgyptlan
Mlnlstry of Sclentlflc Pesearch as part of a [olnt research,
development and lnnovatlon programme. Set up ln 2008,
the fund wlll support pro[ects for applled research on a
competltlve basls, wlth speclal emphasls on lnnovatlon
(Mohamed, 2008).
The establlshment of sclence parks ln 8ahraln, Morocco,
Qatar, Saudl Arabla, Tunlsla and the Unlted Arab Lmlrates
represents a move towards partnershlps ln lnnovatlon
between prlvate and publlc P&D. |n 2009, 1ordan was ln the
process of launchlng Ll-Hassan Sclence Park as part of a
ma[or sclence pro[ect ln Amman and Lgypt was settlng up
lts own Mubarak Sclence Park.
Politics and policies
8ut why should any Arab country have an S&T pollcy ln the
flrst place! what would the ob[ectlve be of such a pollcy! |n
answer to these questlons, we can clte two examples from
beyond the Arab world: Malaysla and the USA. Malaysla ls
often clted by Arab declslon-makers as a developlng
country that has achleved economlc success thanks, ln part,
to the contrlbutlon of S&T. As for the USA, thls world leader
ln sclence ls developlng bllateral sclentlflc relatlons wlth a
number of Arab countrles, lncludlng Algerla and the Llbyan
Arab 1amahlrlya.
256
The former prlme mlnlster of Malaysla, Dr Mahathlr
Muhammad, declared back ln l992 that the baslc ob[ectlve
of Malayslan S&T pollcy was to help Malaysla become fully
developed by the year 2020. Three decades earller, ln l96l,
1ohn Pltzgerald Kennedy had sald ln a presldentlal address
that the ob[ectlve of the US space programme wlthln US
S&T pollcy was to put a man on the Moon before the end
of the decade. Thls became a reallty on 20 1uly l969, nearly
slx years after the presldent's death.
At the Unlted Natlons' world Summlt on Sustalnable
Development ln 2002, former Secretary-General Kofl
Annan outllned flve key prlorlty areas for sustalnable
development. Known collectlvely by the acronym of
wLHA8, these areas are water, energy, health, agrlculture
and blodlverslty. Por Arab countrles, key targets wlll need
to be met ln all flve prlorlty areas. Other prlorltles they
need to address lnclude wealth creatlon and the Arab
reglon's contrlbutlon to world clvlllzatlon.
Natlonal S&T capaclty ls requlred to address the prlorltles
symbollzed by wLHA8. The authorltles can also draw
upon thls capaclty ln an emergency, such as ln the event
of a natural dlsaster or pandemlc along the llnes of the
Severe Acute Pesplratory Syndrome pandemlc scare ln
late 2002 and the advent of avlan lnfluenza (blrd flu) ln
2003 and the HlNl lnfluenza vlrus ln early 2009. |n Lgypt,
the emergence on the global scene of HlNl, mlsnamed
'swlne flu', caused mass confuslon and the culllng of all
250 000 of Lgypt's plgs, even though the vlrus dld not
orlglnate from plgs but rather was transmltted from one
human belng to another. These drastlc measures wlll have
no lmpact on the spread of the HlNl vlrus ln Lgypt.
Pather, they are a knee-[erk reactlon to the wlde crltlclsm
levelled at the authorltles after they were slow to respond
to the blrd flu epldemlc - thought to have resulted ln the
dlsease becomlng endemlc ln the country - coupled wlth
fears of the blrd flu vlrus mutatlng ln Lgypt's plgs to form a
new and more dangerous lnfluenza vlrus (Ll-Awady, 2009).
|t ls regrettable that the medla mlssed a golden
opportunlty here to lnform the publlc dlspasslonately of
the facts and thereby avold wldespread panlc.
Towards an Arab plan for S&T
Durlng the Arab Summlt of March 20l0, the Heads of
State adopted a resolutlon mandatlng the General
Secretarlat of the League of Arab States to develop an S&T
strategy for the entlre Arab reglon, ln co-ordlnatlon wlth
speclallzed Arab and lnternatlonal bodles. Thls strategy ls
A..b St.tos
257
due to be submltted to the upcomlng Arab summlt ln
20ll for adoptlon. |t ls expected to address the lmportant
lssue of facllltatlng the moblllty of sclentlsts wlthln the
reglon and to enhance collaboratlve research wlth the
slzeable communlty of expatrlate Arab sclentlsts.
8oth the strategy and the subsequent Atoo 5c|ence onJ
7echnoloy Plon ol Act|on (ASTPA) wlll be drawn up by a
panel of experts from the reglon wlth the lnstltutlonal
support of the Arab League Lducatlonal, Cultural and
Sclentlflc Organlzatlon (ALLCSO), the Unlon of Arab
Sclentlflc Pesearch Counclls and UNLSCO, among others.
ASTPA wlll envlsage both natlonal and pan-Arab lnltlatlves
ln about l4 prlorlty areas, lncludlng water, food,
agrlculture and energy. |t ls also expected to recommend
the launch of an onllne Arab S&T observatory to monltor
the S&T scene ln Arab states and hlghllght any
shortcomlngs ln lmplementatlon. One of the keys to
lmplementlng measures at the country level wlll lle ln flrst
ldentlfylng some of the natlonal challenges that Arab
countrles face.
One example from the Arab world ls Kuwalt, whlch for
some tlme was a leadlng reglonal hub for S&T untll the
Second Gulf war of l990-l99l. |n 2008, Kuwalt adopted a
plan to reform lts S&T sector by faclng up to a number of
challenges that hlndered development. Accordlng to the
[ournal Alto| (2008), these lnclude:
I the absence of an S&T governance mechanlsm at state
level,
I low gross domestlc expendlture on P&D (GLPD),
I a lack of co-operatlon between sclentlflc organlzatlons
and productlve sectors,
I a low technology component, leadlng to few
manufactured exports and a llmlted number of
hlgh-tech exports,
I a poor capaclty to lnnovate accordlng to soclety's
needs,
I a lack of databases provldlng lnformatlon on S&T,
I challenges faclng organlzatlons lnvolved ln
sclence.
The above challenges are as true for Kuwalt as for other
Arab states. To address them, polltlcal support for S&T at
the hlghest level ls requlred, coupled wlth afflrmatlve
government actlon, an upgrade of exlstlng ST|
lnfrastructure and an lncrease ln GLPD.
Needless to say, for any country's S&T pollcy to be
lmplemented successfully wlth publlc backlng, lt ls crltlcal
for lts ob[ectlves to be clearly stated. These must also be
understood by the executlve branch of government. Por
lnstance, ls the ob[ectlve for a glven Arab country to
mould soclety lnto a fully lndustrlallzed, export-orlented
economy! |n the agrlculture sector, ls the ob[ectlve to
achleve food securlty! |t would clearly be beneflclal lf
reasonable targets were set at the outset, as thls would
provlde the lmplementlng agencles wlth a benchmark for
measurlng progress. Through regular appralsals, they
could then make any necessary ad[ustments to lmprove
the rate of lmplementatlon.
R&D governance
Pesearch has shown that the bulk of S&T research ln the
Arab world ls carrled out wlthln the hlgher educatlon
system, even ln Lgypt where thls represents 65% of P&D
(|DSC, 2007). Table l shows that, ln elght Arab countrles, lt
ls the mlnlstrles of hlgher educatlon and sclentlflc
research that are responslble for P&D. |n another flve
countrles, counclls and government academles assume
thls role. Thls functlon falls to unlversltles and research
centres ln four Arab countrles, to mlnlstrles of educatlon
ln three and to the mlnlstry of plannlng ln one (Saleh,
2008).
Only seven Arab countrles or terrltorles out of 22 have a
natlonal academy of sclences or play host to a
supranatlonal academy (Table 2). Thls ls an astoundlng
fact, as academles of sclences, belng strong advocates of
sclence and lmpartlal advlsory bodles, have been at the
vanguard of sclentlflc endeavour ln advanced countrles
such as the USA, UK and Prance for centurles. They are also
part of the landscape ln economlcally emerglng
economles such as 8razll, Chlna, |ndla, Malaysla and
Mexlco (see also 8ox l).
The organlzatlon of sclence at the lnstltutlonal level ls
cruclal for the effectlveness of P&D. |n Arab countrles, the
lndlfference shown by declslon-makers to S&T ls a ma[or
contrlbutor to the current vegetatlve state of S&T.
Purthermore, the kaleldoscope of lnstltutlonal models
renders lt qulte dlfflcult for Arab states to move forward
collectlvely. |f meanlngful reglonal collaboratlon ln S&T ls
to develop beyond lndlvldual sclentlsts worklng together
on small research pro[ects and publlshlng [olnt research
work, some unlformlty needs to be establlshed among the
lnstltutlons responslble for sclence ln the Arab reglon.
A
r
a
b

s
t
a
t
e
s
|||SO S|||| |||O| 2010
|| ||||
GLPD as a percentage of GDP has been conslstently low
ln the ma[orlty of Arab countrles for over four de cades
(Plgure 4). |t ls much lower than the world average.
|t varles from 0.l to l.0% of GDP, whereas advanced
countrles spend over 2.5% of GDP on P&D.
Countrles such as Lgypt, Qatar and Tunlsla have set
themselves ambltlous targets for GLPD. |n November
2006, Qatar announced that lt was llftlng GLPD to 2.8%
of GDP over flve years (Shobakky, 2007). Slnce then, Qatar
has launched a number of lnltlatlves ln S&T and educatlon
and ls approachlng thls flgure for GLPD, accordlng to
welngarten (2009). The flgure for Lgypt remalned stable at
0.23% of GDP ln 2007, although there are plans to ralse lt
to l% of GDP over the next flve years. Meanwhlle, Tunlsla's
spendlng on P&D has been cllmblng steadlly slnce 2000.
|n 2005, lt was the leadlng Arab country ln terms of lts
P&D effort, whlch stood at sllghtly more than l% of GDP.
The government's ob[ectlve ls to reach a GLPD/GDP ratlo
of l.25% by 2009, of whlch l9% would be funded by the
buslness sector (Arvanltls and Mhennl, 2007).
|n 2005, 1ordan lntroduced a law whereby l% of the net
proflt of publlc shareholdlng companles was transferred to
a speclal P&D fund to flnance research. Another law has
slnce been lntroduced that compels publlc and prlvate
unlversltles to allocate 5% of thelr budgets annually to P&D.
Together wlth the fundlng made avallable by the Mlddle
258
Table 1: Government bodles responslble for P&D pollcles
and co-ordlnatlon ln the Arab world, 2006
Algerla Mlnlstry of Hlgher Lducatlon and Sclentlflc
Pesearch
8ahraln 8ahraln Centre for Studles and Pesearch
Lgypt Mlnlstry of State for Sclentlflc Pesearch
|raq Mlnlstry of Hlgher Lducatlon and Sclentlflc
Pesearch
1ordan Mlnlstry of Hlgher Lducatlon and Sclentlflc
Pesearch
Hlgher Councll for Sclence and Technology
Kuwalt Kuwalt Poundatlon for the Advancement of
Sclences
Kuwalt |nstltute for Sclentlflc Pesearch
Kuwalt Unlverslty/ Pesearch Center
Lebanon Natlonal Councll for Sclentlflc Pesearch
Llbyan Arab Hlgher Lducatlon and Pesearch Secretary
1amahlrlya General Plannlng Councll
Natlonal Authorlty for Sclentlflc Pesearch
Maurltanla Mlnlstry of Natlonal Lducatlon
Morocco Hassan || Academy of Sclences and
Technologles
Mlnlstry of Natlonal Lducatlon, Hlgher
Lducatlon, Staff-Tralnlng and Sclentlflc
Pesearch
Permanent |ntermlnlstrlal Commlsslon of
Sclentlflc Pesearch and Technologlcal
Development
Natlonal Centre for Sclentlflc and Technlcal
Pesearch
Co-ordlnatlon Councll of Hlgher Lducatlon
|nstltutlons outslde Unlversltles
Oman Pesearch Councll
Palestlnlan Mlnlstry of Hlgher Lducatlon
Autonomous P&D Unlt at Mlnlstry of Plannlng
Terrltorles
Qatar Secretarlat General, Councll of Mlnlsters
Saudl Arabla Klng Abdul Azlz Clty for Sclence and
Technology
Somalla Mlnlstry of Agrlculture
Mlnlstry of Lducatlon
Sudan Mlnlstry of Lducatlon and Sclentlflc Pesearch
Syrla Hlgher Councll for Sclences
Mlnlstry of Hlgher Lducatlon
Tunlsla Mlnlstry of Hlgher Lducatlon, Pesearch and
Technology
Unlted Arab Unlverslty of Unlted Arab Lmlrates
Lmlrates Mlnlstry of Agrlculture
emen Mlnlstry of Hlgher Lducatlon and Sclentlflc
Pesearch
5outce: Saleh (2008) 587 lnJ|cotots |n the Atoo 5totes
Table 2: Arab countrles hostlng a natlonal or
supranatlonal academy of sclence, 2009
Founded
Lgypt Academy of Sclentlflc Pesearch and l948
Technology
Lgyptlan Academy of Sclences l944
|raq |raq Academy of Sclences l944
1ordan |slamlc world Academy of Sclences l986
Lebanon Arab Academy of Sclences 2002
Morocco Hassan || Academy of Sclences 2006
and Technology
Palestlnlan Palestlne Academy of Sclences and l997
Autonomous Technology
Terrltorles
Sudan Sudan Natlonal Academy of Sclence 2006
5outce: Complled by A. 8adran, and M.P. Zou'bl from personal contacts
and lntervlews
A..b St.tos
259
A
r
a
b

s
t
a
t
e
s
Box 1: The |slamlc world Academy of Sclences
|.Jrc|oJ |r 1986, t|o |AS ..s t|o
b..|rc|||J c| . |.rJ|J| c| sc|ort|sts
.|c po.sJ.JoJ t|o O..r|s.t|cr c|
t|o |s|.n|c cr|o.orco (O|) tc
ost.b||s| t|o .c.Jony tc so.vo t|o
S ccnnJr|ty |r O| ccJrt.|os .rJ
ct|o.s |r t|o Jovo|cp|r .c.|J. |t ..s
c.o.toJ |r Ann.r ('c.J.r) .s .r
|rJoporJort rcrpc||t|c.|,
rcrcvo.rnort.| c..r|..t|cr.
|o |AS ccnb|ros t|.oo J|||o.ort
|Jrct|crs. Firstly, |t |s . |o..roJ scc|oty
Thirdly, t|o |AS |o.Js t|o sc|ort|||c
ccnnJr|ty c| t|o O| |r |ts .o|.t|crs
.|t| cvo.rnorts, sc|ort|||c scc|ot|os
.rJ .c.Jon|os c| sc|orcos
.c.|J.|Jo.
|o |AS .oco|vos sooJ |JrJ|r
|.cn 'c.J.r .rJ ..|sos |ts bJJot |c.
.ct|v|t|os |.cn t|o O| .rJ ct|o.
|rto.r.t|cr.| bcJ|os, |rc|JJ|r ||
.orc|os.
Por detalls: www.las-worldwlde.org
t|.t p.cnctos t|o v.|Jos c| ncJo.r
sc|orco. |o |AS |Jort|||os .rJ
|crcJ.s ||| .c||ovonort .rJ
J|sson|r.tos t|o |.tost sc|ort|||c
.c||ovonorts |rto.r.t|cr.||y t|.cJ|
noot|rs .rJ pJb||c.t|crs.
A second |Jrct|cr c| t|o |AS t|.t
|s yot tc bo |J||y .o.||.oJ |s t|.t c|
.ct|r .s . |JrJ|r .orcy tc
sJppc.t cJtst.rJ|r sc|ort|sts |r
JrJo.t.k|r |n.|r.t|vo .rJ
|...o.c||r .oso..c|.
Figure 4: GLPD/GDP ratlo for Arab countrles, 2007 or latest year avallable (%)
0 0.5 1 1.5 2
GERD as a percentage of GDP
United Kingdom
EU-27
Tunisia
Turkey
-2
Morocco
-1

Jordan
-5
Qatar
-1

Lebanon
-1

Sudan
-2

Egypt
Oman
-1
Algeria
-3
Syria
-3

Kuwait
Saudi Arabia
Bahrain
-3

0.16
0.09
0.12
0.05
0.04
0.29
0.23
0.34
0.33
0.17
0.30
0.64
1.78
1.82
1.02
0.72
Note: Por Tunlsla, Turkey and Sudan, the data are an estlmatlon, for Lgypt, Kuwalt, Algerla and Saudl Arabla, the data are elther underestlmated or
partlal, for Maurltanla, Qatar, Lebanon and Oman, the data are for gross natlonal expendlture on P&D as a percentage of GDP.
5outce: for Lgypt: UNLSCO |nstltute for Statlstlcs database, 1uly 20l0, for Maurltanla, Lebanon, Oman and Maurltanla: Saleh (2008) 587 |nJ|cotots |n
the Atoo 5totes, for 8ahraln and Syrla: waast et ol. (2008) 0tolt ke|onol keott on Atoo Countt|es: 5tuJy ol Not|onol keseotch 5ystems
|||SO S|||| |||O| 2010
Last Sclence Pund, these measures wlll conslderably ralse
1ordan's GLPD, startlng from 2008.
|n 2008, Kuwalt endorsed a flve-year plan to reform the
country's S&T sector, partly by lncreaslng the budget from
0.2% of GDP ln 2008 to l% of GDP ln 20l4 (Alral, 2008).
Turnlng now to the Arab prlvate sector, by all accounts,
spendlng here ls mlnlmal. Out of l3l countrles studled,
Tunlsla ranked 36
th
ln terms of prlvate companles'
expendlture on P&D. Qatar and the Unlted Arab Lmlrates
both ranked 42
nd
, 1ordan 96
th
, Lgypt 99
th
, Syrla l08
th
and
8ahraln ll9
th
(waast, 2008).
Two promlslng new lnltlatlves have been launched recently
ln the Unlted Arab Lmlrates and 1ordan whlch wlll make
more funds avallable ln future for sclentlflc actlvltles. The
flrst ls the Mohammed bln Pashld Al Maktoum Poundatlon
(8ox 2) and the second, the Mlddle Last Sclence Pund
(8ox 3). 8oth lnltlatlves offer grant programmes for reglonal
research pro[ects ln prlorlty areas for Arab countrles.
Researchers in the Arab world
Arab countrles have not produced a crltlcal mass of full-
tlme equlvalent (PTL) researchers ln the ma[orlty of
dlsclpllnes. Moreover, llnks between unlversltles and
research centres remaln weak. Thls leads to llttle or no co-
ordlnatlon at the natlonal level between research
communltles. Also, even when fresh graduates are ready to
become engaged ln research, there ls often no capaclty
wlthln the P&D system to absorb them, or even any
wllllngness on the part of senlor researchers to mentor
young mlnds.
260
To make matters worse, unemployment wlthln the P&D
communlty ls hlgh, especlally among women researchers,
who constltute around 35% of the total researcher
communlty ln Arab countrles, accordlng to estlmates by the
UNLSCO |nstltute for Statlstlcs (U|S).
Lstlmatlng P&D personnel ls a dlfflcult task, as countlng
only lndlvlduals whose prlmary functlon ls to perform
P&D would result ln underestlmatlng the natlonal effort.
On the other hand, to do a headcount of everyone
spendlng some tlme on P&D would lead to an
overestlmate. The number of lndlvlduals engaged ln P&D
must, therefore, be expressed ln full-tlme equlvalents of
the tlme spent on P&D, both ln the government and
prlvate sectors.
The survey carrled out ln 2006 by UNLSCO, ALLCSO and the
Arab Academy of Sclences covered both the numbers of
PTL researchers and support staff ln Arab states (Saleh,
2008). The flgures for PTL researchers only are presented ln
Plgure 5. |t can be concluded from thls study that the
numbers of PTL researchers ln the ma[orlty of Arab
countrles are small ln comparlson to a country llke
Argentlna, for example, wlth lts 980 PTL researchers per
mllllon populatlon ln 2007, or Spaln (2 784), or Plnland
(7 382), accordlng to the U|S.
Only a handful of Arab researchers have been
lnternatlonally recognlzed. The annual L'Oreal-UNLSCO
Awards for women ln Sclence bestow US$ l00 000 each on
flve women, one from each contlnent. Of the l3 reclplents
of thls award for the Afrlca and Arab States reglon between
l998 and 20l0, flve came from Arab countrles: Lgyptlan
Box 2: The Mohammed bln Pashld Al Maktoum Poundatlon
|r 200, Vc|.nnoJ b|r |.s||J, t|o
.J|o. c| |Jb.| .rJ |.|no V|r|sto. c|
t|o |r|toJ A..b |n|..tos, |.Jrc|oJ
. |cJrJ.t|cr tc |o|p bJ||J .
krc.|oJob.soJ scc|oty |r t|o
.o|cr. \|t| .r |r|t|.| orJc.nort c|
,10 b||||cr, t|o |cJrJ.t|cr .||| |rvost
|r krc.|oJo c.o.t|cr .rJ |r
t..rs|.t|r krc.|oJo |rtc ccJs
.rJ so.v|cos, .s .o|| .s |r |Jn.r
Jovo|cpnort. |t .||| |ccJs cr
Jovo|cp|r .rJ rJ.tJ.|r .
cccpo..t|cr .|t| t|o |r|toJ |.t|crs
|ovo|cpnort |.c..nno,
. sc|c|..s||p p.c..nno .rJ . ..rts
p.c..nno tc sJppc.t A..b .Jt|c.s
.|s||r tc pJb||s| bccks |r A..b|c.
|JtJ.o p.cocts .||| |rc|JJo
to.c|o. t..|r|r p.c..nnos, cr||ro
oJJc.t|cr |c. .cnor .rJ |r|t|.t|vos
|c. t..rs|.t|r .cc|.|noJ sc|c|..|y .rJ
sc|ort|||c .c.ks |rtc, .rJ |.cn, A..b|c.
5outce: authors
Por detalls: www.mbrfoundatlon.ae
oro..t|cr c| |JtJ.o |o.Jo.s .rJ cr
o|ov.t|r .oso..c|, krc.|oJo
c.o.t|cr .rJ |||o. oJJc.t|cr
|r|..st.JctJ.o tc |rto.r.t|cr.|
st.rJ..Js. |t .||| .|sc st|nJ|.to
ort.op.oroJ.s||p .rJ |rrcv.t|cr
.rJ p.y spoc|.| .ttort|cr tc cJ|tJ.o,
|o.|t.o .rJ c.csscJ|tJ..|
JrJo.st.rJ|r |r t|o .o|cr.
|o |cJrJ.t|crs p.c..nnos
|rc|JJo pJb||s||r .r .rrJ.| Arab
Knowledge Report |ssJoJ |r
A..b St.tos
26l
lmmunologlst Pashlka Ll Pldl (20l0) and Lgyptlan physlclst
Karlmat Ll-Sayed (2004), Tunlslan physlclsts Zohra 8en
Lakhdar (2005) and Hablba 8ouhamed Chaabounl (2007),
and Llhadh Al-Gazall from the Unlted Arab Lmlrates, who
won the prlze ln 2008 for her work on genetlc dlsorders (see
hoto, oe 250).
More surprlslng ls the fact that only one of the world's top
l00 hlghly clted sclentlsts comes from the Arab world:
Professor 8oud[ema Samraoul, a blologlst at the Unlverslty of
Annaba ln Algerla (|S|, 2009).
The only Nobel laureate ln a sclentlflc dlsclpllne to come
from the Arab world ls Lgyptlan-born Ahmed Zewall, who
recelved the dlstlnctlon for chemlstry ln l999 whlle worklng
at the Callfornla |nstltute of Technology ln the USA.
|| |||O||||S
Arab countrles speak almost ln unlson when lt comes to
thelr deslgnated S&T prlorltles: water and energy. The
tradltlonal sector of agrlculture also features ln the S&T
pollcles of some Arab countrles. The relatlvely new flelds of
lnformatlon and communlcatlon technologles (|CTs),
nanotechnology and blotechnology are also vlewed as
prlorlty research areas (Arab League, 2008).
Water security
wlth the exceptlon of Sudan and |raq, all Arab countrles
are water-poor, meanlng that water ls unavallable ln
sufflclent quantltles for household use, lndustry or
agrlculture. |n agrlculture, modern water-savlng
technologles have been adopted ln many Arab countrles
and some reglonal lnltlatlves have been launched.
A
r
a
b

s
t
a
t
e
s
Box 3: The Mlddle Last Sclence Pund
|o V|JJ|o |.st Sc|orco |JrJ ..s
|.Jrc|oJ |r 'c.J.r |r 2009 tc
sJppc.t .o|cr.| .oso..c| p.cocts
.rJ p.cncto sc|ort|||c cccpo..t|cr
.rJ Jovo|cpnort. |t sJppc.ts
.o|cr.| sc|ort|||c .ct|v|t|os |r t|o
..o.s c| noJ|c|ro, p|ys|cs, c|on|st.y
.rJ occrcn|cs. |o |JrJ .|sc
p.cnctos sc|ort|||c orJo.vcJ. |r v|t.|
..o.s t|.t |rc|JJo oro.y .rJ
V|JJ|o |.st Sc|orco |JrJ cr pc||cy
.rJ .ov|o.s o|||b|o p.cpcs.|s. |oy
.|sc .Jv|so cr sc|ort|||c p.cocts
Joso.v|r c| |JrJ|r .rJ cr pc||cy
n.tto.s .o|.toJ tc sc|ort|||c .oso..c|
|r t|o V|JJ|o |.st.
5outce: authors
Por detalls: www.mesfund.org
.oro..b|o oro.y scJ.cos, ..to.
n.r.onort, t|o orv|.crnort .rJ
toc|rc|cy.
|o |r|t|.| c.p|t.||..t|cr c| t|o
V|JJ|o |.st Sc|orco |JrJ |s
|S,10 n||||cr .|t| . sooJ
ccrt.|bJt|cr Jcr.toJ by ||r
AbJJ||.| || |br A| |Jsso|r.
Ar |rto.r.t|cr.| AJv|sc.y cJrc||
c| |cbo| |.J.o.tos .Jv|sos t|o
Figure 5: Pesearchers per mllllon populatlon ln the
Arab world, 2007
5electeJ countt|es
Jordan
Tunisia
Morocco
Egypt
Algeria
Kuwait
Sudan
Libyan Arab
Jamahiriya
Saudi
Arabia
0 500 1 000 1 500 2 000
1 952
1 588
647
617
170
166
290
61
42
Note: Por Tunlsla, the data are overestlmated, for Lgypt, Morocco,
Algerla, Kuwalt, Llbyan Arab 1amahlrlya and Saudl Arabla, the data
are underestlmated or partlal.
5outce: UNLSCO |nstltute for Statlstlcs database, 1uly 20l0, for
Maurltanla, Oman, Qatar and emen: Saleh (2008) 587 |nJ|cotots
|n the Atoo 5totes
leoJcount
|||SO S|||| |||O| 2010
One such lnltlatlve ls the |nternatlonal Centre for 8losallne
Agrlculture, based ln Dubal (8ox 4).
The shortage of water for agrlculture has led some Arab
states to lease large plots of arable land ln countrles llke
Sudan to grow food. These countrles lnclude Saudl Arabla
and Kuwalt. Porelgn dlrect lnvestment ln Sudan's
agrlculture sector ln the form of land leaslng amounted to
US$279 mllllon ln 2007. The Sudanese government alms to
secure US$l bllllon ln from Arab and Aslan lnvestment
groups ln 2009-20l0. Thls amount has already been
deslgnated for l7 lead pro[ects, coverlng a land area of
880 000 ha ln northern Sudan (5uJon 7t|oune, 2008).
The Unlted Natlons Lnvlronment Programme (UNLP) ls
lncreaslngly sceptlcal about the wlsdom of such lnvestments,
however, and has polnted to fallures of prevlous mechanlzed
farmlng schemes to observe fallow perlods, lmprove land
use and respect prlor tenure relatlons (UNLP, 2007). Although
such pro[ects seem to be commerclally vlable from the
lnvestor vlewpolnt, dependlng on the scale and types of crop
grown, they cannot be a real alternatlve to attemptlng to
achleve natlonal, or at least reglonal, food securlty.
Energy security
Lnergy lnsecurlty ls another strateglc quandary that many
Arab countrles face. |n thelr quest to dlverslfy energy
sources, many Arab states have embarked on P&D
programmes to develop alternatlve energy sources,
such as solar and wlnd energles.
262
1ordan embarked on a solar energy research programme ln
l972. 1ordan's Natlonal Agenda, a government pollcy
adopted ln 2005, stlpulated that the pro[ected share of
solar energy ln the country's total energy mlx should rlse to
3% by 20l5, by whlch tlme 80% of households ought to be
uslng solar energy water collectors (8adran, 2006). Thls ls
an achlevable target for 1ordan whlch would reduce the
natlonal energy blll of lmported oll by about the same
percentage. Purthermore, lt ls an envlronment-frlendly
technology that ls relatlvely cheap to lnstall and malntaln.
Morocco ls also lncreaslng lnvestment ln renewable
energles. The country alms to ralse the share of renewable
energy sources from 4% of the total to l2% by 20l2.
A unlt wlthln the Natlonal Centre for Sclentlflc and
Technologlcal Pesearch ls devoted to the Penewable
Lnergy Lconomy and Technologles and the Moroccan
Natlonal Llectrlclty Offlce has put together a
US$3.2 bllllon renewable energy lnvestment plan for
2009-20l4. The plan provldes for the development of
local wlnd energy technologles and farms, solar energy
demonstratlon pro[ects and greater lnvestment ln P&D.
wlthln the plan, a 'knowledge campus' ls to be deslgned
to strengthen research and tralnlng ln clean technology.
An lndustrlal park for clean energy ls also under
constructlon ln Ou[da near Morocco's border wlth Algerla.
At a cost of US$2l9 mllllon, the park ls expected to open
lts doors ln 20l0. |t wlll be supportlng prlvate lnvestment
and companles speclallzlng ln renewable energy
(Sawahel, 2008o).
Box 4: The |nternatlonal Centre for 8losallne Agrlculture
|o |rto.r.t|cr.| ort.o |c. b|cs.||ro
A.|cJ|tJ.o (|bA) |s . cort.o |c.
.pp||oJ || b.soJ |r |Jb.| |r t|o
|r|toJ A..b |n|..tos. |o cort.o ..s
ost.b||s|oJ |r 1999 .|t| st.cr
sJppc.t |.cn t|o |s|.n|c |ovo|cpnort
b.rk .rJ t|o cvo.rnort c| t|o
|r|toJ A..b |n|..tos. |t |s Jovo|cp|r
.rJ p.cnct|r t|o Jso c| sJst.|r.b|o
..|cJ|tJ..| systons t|.t Jso s.||ro
..to. tc .c. c.cps.
|o cort.o |r|t|.||y |ccJsoJ cr
|c..o p.cJJct|cr systons .rJ
c.r.nort.| p|.rts |r ccJrt.|os c| t|o
so.v|cos .rJ ccnnJr|t|os |r t|o
|s|.n|c .c.|J .rJ o|so.|o.o.
|bA .||| |o|p ..to.sc..co
ccJrt.|os |np.cvo t|o p.cJJct|v|ty,
scc|.| o,J|ty .rJ orv|.crnort.|
sJst.|r.b|||ty c| ..to. Jso t|.cJ| .r
|rto..toJ ..to. .oscJ.co systons
.pp.c.c|, .|t| spoc|.| onp|.s|s cr
s.||ro ..to. .rJ ..to. c| n..|r.|
,J.||ty.
5outce: authors
Por detalls: www.blosallne.org
J|| ccpo..t|cr cJrc|| .rJ ct|o.
p..ts c| t|o |s|.n|c .c.|J. |o
toc|rc|c|os Jovo|cpoJ by |bA ..o,
|c.ovo., c| |cb.| v.|Jo .rJ
|npc.t.rco. \|o.ovo. |..no.s |.co
t|o p.cb|on c| s.||ro sc||s c.
|..|.t|r .|t| s.|ty ..to., |bA c.r
|o|p.
|bA .|sc orJo.vcJ.s tc
Joncrst..to t|o v.|Jo c| s.||ro ..to.
.oscJ.cos |c. t|o p.cJJct|cr c|
orv|.crnort.||y .rJ occrcn|c.||y
Jso|J| p|.rts. |t p|.rs tc t..rs|o. |ts
.oso..c| .osJ|ts tc r.t|cr.| .oso..c|
A..b St.tos
263
1ordan and Morocco are two of the ten foundlng
members of a thlnk tank set up ln 2008, the Peglonal
Centre for Penewable Lnergy and Lnergy Lfflclency
(8ox 5).
Nanotechnology
Plans are underway to boost nanotechnology P&D ln
Lgypt and Saudl Arabla. |n Lgypt, a North Afrlcan
Nanotechnology Pesearch Centre was set up ln 2009.
Located at the 'Smart vlllage' near Calro, thls ls a [olnt
lnltlatlve of |8M and the Lgyptlan government for research
ln such nanotechnology-related flelds as: Thln Pllm Slllcon
Photovoltalcs, Spln-On Carbon-8ased Llectrodes for Thln
Pllm, Photovoltalcs, and Lnergy Pecovery from
Concentrated Photovoltalc for Desallnatlon.
|n Saudl Arabla, the natlonal P&D organlzatlon ls the Klng
Abdulazlz Clty for Sclence and Technology (KACST) based
ln Plyadh. |n Pebruary 2008, KACST and |8M agreed to
establlsh the Nanotechnology Centre of Lxcellence at
KACST. The centre wlll conduct research lnto
nanomaterlals for solar energy and nanomembranes for
water desallnatlon, comblned wlth lnvestlgatlng new
methods for recycllng plastlcs (Sawahel, 2008o).
|| O|||
Patents and publications
Prom the foregolng, we can see that the P&D landscape ln
the Arab reglon ls changlng. However, lt wlll take some
tlme before the results of current lnltlatlves start to
emerge. Purthermore, the success of such lnltlatlves wlll
depend largely on sustalned natlonal lnterest and
support, hard work and reglonal co-operatlon. Another
key factor wlll be whether or not researchers and research
lnstltutlons have the capaclty to pool the know-how that
each has acqulred so that thls can be relnvested to
develop related new technologles and products that are
economlcally vlable.
Notwlthstandlng the fact that the number of publlshed
[ournal artlcles ls but one measure of the research lnterest
of a country, research carrled out by Thomson Peuters
and clted by Nalm and Pahman (2009) reveals a certaln
heterogenelty ln research strengths ln the reglon. The
research strength of Lgypt, Morocco and Algerla lles ln
chemlstry, whereas lt ls cllnlcal medlclne for 1ordan,
Kuwalt, Lebanon, Oman, Saudl Arabla, Tunlsla and the
Unlted Arab Lmlrates. Syrla's strength lles ln plant and
anlmal sclence, whereas Qatar makes lts mark ln
englneerlng.
Glven the meagre resources allocated to P&D ln Arab
countrles, lt ls lmperatlve that an attempt be made to
synchronlze research strengths, P&D lnltlatlves and
natlonal S&T prlorltles. Lach country wlll have to optlmlze
resources carefully between lnvestment ln baslc sclences
- the backbone of S&T capaclty - and lnvestment ln
demand-drlven research that can address natlonal S&T
prlorltles and/or lncrease natlonal wealth. One ma[or
lnterdlsclpllnary pro[ect that can stlmulate reglonal
co-operatlon ln S&T and thereby drlve output ls the
SLSAML pro[ect belng launched ln 1ordan (8ox 6).
A
r
a
b

s
t
a
t
e
s
Box 5: The Peglonal Centre for Penewable Lnergy and Lnergy Lfflclency
|o |o|cr.| ort.o |c. |oro..b|o
|ro.y .rJ |ro.y ||||c|orcy
(|||||) c.no |rtc ox|storco |r .|.c
|r 'Jro 2008. |t .cts .s . p|.t|c.n |c.
.o|cr.| oxc|.ros cr pc||cy |ssJos
.rJ toc|rc|c|c.| ,Jost|crs. |r
.JJ|t|cr, ||||| orccJ..os t|o
p..t|c|p.t|cr c| t|o p.|v.to soctc. |r
c.Jo. tc p.cncto t|o .c.t| c|
.o|cr.| |rJJst.y.
||||| |.s tor |cJrJ|r
nonbo.s. A|o.|., |ypt, 'c.J.r,
|oso t|.oo Jovo|cpnort p..tro.s
|.vo p|oJoJ tc p.cv|Jo ||r.rc|.| .rJ
toc|r|c.| .ss|st.rco tc ||||| .c.t|
.r ..o.to v.|Jo c| 15 n||||cr -
cvo. t|o |r|t|.| ||vo yo..s |.cn 2008 tc
2012. |r t|o |JtJ.o, ||||| .||| bo
|JrJoJ t|.cJ| ccrt.|bJt|crs |.cn
t|o nonbo. st.tos .rJ |rccno
oro..toJ |.cn .oso..c| .rJ
ccrsJ|t.rcy .c.k.
5outce: authors
Por detalls: www.rcreee.org
|ob.rcr, ||by.r A..b '.n.||.|y.,
Vc.cccc, |.|ost|r|.r AJtcrcncJs
o..|tc.|os, Sy.|., Jr|s|. .rJ +onor.
|ypt |s so.v|r .s |cst ccJrt.y |c.
t|o cort.o.
|J.|r t|o |.Jrc| p|.so, |||||
|s bo|r spcrsc.oJ by |ypt t|.cJ|
t|o V|r|st.y c| ||oct.|c|ty .rJ |ro.y.
|o |J.cpo.r |r|cr, o.n.r Aorcy
|c. oc|r|c.| ccpo..t|cr .rJ
|.r|s| |rto.r.t|cr.| |ovo|cpnort
Aorcy ..o |ts Jovo|cpnort p..tro.s.
|||SO S|||| |||O| 2010
Arab countrles produce fewer books and fewer S&T
artlcles than many other reglons of the world. Accordlng
to the Mohammed bln Pashld Al Maktoum Poundatlon,
20 Arab countrles produce 6 000 books per year,
compared to l02 000 ln North Amerlca (Lord, 2008).
Accordlng to Thomson Peuters |nc., the total number of
sclentlflc research artlcles orlglnatlng from Arab countrles
stood at l3 574 ln 2008, up from 7 446 ln 2000. |n terms of
artlcles per mllllon populatlon, lt ls Kuwalt whlch ranks
flrst, followed by Tunlsla (Plgure 6). Por thls lndlcator, the
average for Arab countrles ls only 4l, compared to a world
average of l47. Over the 2002-2008 perlod, all but
Maurltanla showed an lncrease ln the number of authored
sclentlflc artlcles (Plgure 7). wlth 2 026 publlshed artlcles,
Tunlsla came close to quadrupllng lts output. Lgypt,
however, contlnues to lead the reglon for thls lndlcator.
264
Prom 2000 to 2008, there was a steady lncrease ln the
number of Arab sclentlsts collaboratlng wlth the dlaspora.
Thls ls evldent from the number of sclentlflc publlcatlons
ln lnternatlonal collaboratlon. The notable exceptlon ls
Morocco. Of the 3 963 publlcatlons publlshed by
Lgyptlan sclentlsts ln 2008, one-thlrd (l 057) were
co-authored by sclentlsts outslde Lgypt (Plgure 8).
As for patents, Plgure 9 shows that thelr number lncreased
ln most Arab countrles from 2004 to 2008. However, Arab
countrles stlll lag a long way behlnd ln comparlson wlth
relatlvely small countrles such as Chlle (l9 patents ln
2008) and Plnland (894 ln 2008). The Pepubllc of Korea,
whlch back ln the l960s was on a par wlth Lgypt ln terms
of S&T output, acqulred an astonlshlng 84 ll0 patents ln
2008, compared to a total of [ust 7l patents for the entlre
Arab reglon.
Box 6: The SLSAML story
|t ..s |.k|st.r| |cbo| |.J.o.to AbJJs
S.|.n .|c ||.st .occr|.oJ t|o rooJ
|c. .r |rto.r.t|cr.| syrc|.ct.cr |||t
scJ.co |r t|o V|JJ|o |.st nc.o t|.r
25 yo..s .c. Ar cppc.tJr|ty ..cso
.|or |t ..s .rrcJrcoJ t|.t t|o
bossy | syrc|.ct.cr scJ.co |r bo.||r,
o.n.ry, ..s .bcJt tc bo
Joccnn|ss|croJ. |o |.|. c| t|o
V|JJ|o |.st Sc|ort|||c ccpo..t|cr
.cJp, So.|c |Jb|r|, .rJ |o..|
Sc|cppo., |c.no. ||.octc.oro..| c|
t|o |J.cpo.r O..r|..t|cr |c.
|Jc|o.. |oso..c| (|||), |rv|toJ t|o
o.n.r cvo.rnort tc Jcr.to t|o
bossy | ccnpcrorts tc . p.coct |c. .r
|rto.r.t|cr.| syrc|.ct.cr |||t scJ.co
|r t|o V|JJ|o |.st (t|o |JtJ.o S|SAV|).
|o cvo.rnort ..ooJ.
At . noot|r ccrvoroJ by
|||SO |r 1999, ccJrt.|os |.cn t|o
.o|cr sot Jp .r |rto.|n cJrc|| |c.
S|SAV| JrJo. t|o c|.|.n.rs||p c|
|o..| Sc|cppo.. |r 2002, |||SOs
|xocJt|vo bc..J .pp.cvoJ t|o .o,Jost
tc p|.co t|o S|SAV| cort.o JrJo.
|||SOs .Jsp|cos.
sc|orco .rJ ct|o. ||o|Js, .s .o|| .s cr
.cco|o..toJ toc|rc|cy. App.cx|n.to|y
65 c| t|oso nor .rJ .cnor |.vo
sport po.|cJs c| Jp tc t.c yo..s
.c.k|r .t syrc|.ct.cr ..J|.t|cr
|.c|||t|os |r |J.cpo, t|o |SA, As|. .rJ
|.t|r Ano.|c.. |o n.c.|ty c| t|oso
|.c|||t|os ..o s|tJ.toJ |r cbso.vo.
ccJrt.|os, scno c| .||c| |.vo boor
Jcr.t|r bo.n||ro ccnpcrorts. |o
12 cbso.vo. ccJrt.|os |rc|JJo |..rco,
'.p.r, |J..|t, t|o || .rJ |SA.
S|SAV| .||| or.b|o sc|ort|sts tc
.c.k tcot|o. .c.css ccJrt.|os .rJ
cJ|tJ.os .|t||r t|o s.no .oso..c|
|.c|||ty. |||SO c.||s |t . ncJo| p.coct
|c. ct|o. .o|crs, .s |t |.s b.cJ|t
tcot|o. pocp|o |.cn r|ro ccJrt.|os
.rJ to..|tc.|os .|c Jc rct .|| soo oyo
tc oyo pc||t|c.||y. |r 2009, t|o nonbo.s
c| S|SAV| .o.o b.|..|r, yp.Js, |ypt,
|..r, |s..o|, 'c.J.r, |.k|st.r, t|o
|.|ost|r|.r AJt|c.|ty .rJ J.koy.
5outce: UNLSCO
Por detalls: www.sesame.org.[o
crst.Jct|cr c| t|o cort.o ..s
ccnp|otoJ |r A||.r, 'c.J.r, |r 2008.
Orco |J||y cpo..t|cr.| |r 2014 .|t|
t|.oo |r|t|.| bo.n||ros, S|SAV| .|||
c||o. t|o V|JJ|o |.st . .c.|Jc|.ss
|.bc..tc.y |c. b.s|c .oso..c| .rJ
rJno.cJs .pp||c.t|crs |r b|c|cy,
noJ|c.| sc|orcos, n.to.|.| sc|orcos,
p|ys|cs, c|on|st.y .rJ ..c|.oc|cy.
Syrc|.ct.cr ..J|.t|cr |s p.cJJcoJ
by .r o|oct.cr bo.n .cco|o..toJ |r .
.|r .t .|ncst t|o spooJ c| |||t. |o
.o|J.b|s|oJ n|c.ct.cr (bossy |) |rst.||oJ
.t S|SAV| sJccoss|J||y p.cJJcoJ .r
o|oct.cr bo.n cr 14 'J|y 2009. |o
bccsto. syrc|.ct.cr (.|sc |.cn bossy |)
..s bo|r Jp..JoJ .rJ |rst.||oJ |r
2010. c noot t|o Jso.s Jon.rJs, .
ccnp|oto|y ro. 2.5 o\ stc..o .|r
.|t| . c|.cJn|o.orco c| 133 n |.s
boor Jos|roJ by t|o S|SAV| st.||
.rJ .||| bo bJ||t by 2014.
by 2010, nc.o t|.r 400 sc|ort|sts
.rJ or|roo.s |.J p..t|c|p.toJ |r
1 .c.ks|cps .rJ sc|cc|s |r t|o
V|JJ|o |.st .rJ o|so.|o.o cr
.pp||c.t|crs |r b|c|cy, n.to.|.|s
A..b St.tos
265
O\A||S || ||O\||||
|O|OV+
ICTs
The development of |CTs and thelr prlmary manlfestatlon,
the |nternet, has offered socletles - and the ST|
communltles wlthln - a new means of knowledge
accumulatlon, asslmllatlon and productlon, a new means of
teachlng, learnlng and communlcatlng. |CTs have
undoubtedly helped research communltles to access a
greater volume of lnformatlon than before at a faster pace,
to undertake more complex research, achleve better results
and communlcate wlth much more ease. Lven lf P&D ln
lnformatlcs and computer sclence can be a complex and
expenslve buslness, lt necessltates relatlvely baslc tools.
wrltlng complex software, for lnstance, does not requlre
elaborate laboratory equlpment.
The ma[orlty of Arab states have successfully rldden the |T
wave, as the flgures for |nternet penetratlon ln Table 3
demonstrate. Thls ls due to the fact that |CTs are pervaslve
and general-purpose technologles. Lven before the
current global economlc recesslon, telecommunlcatlons
the world over were undergolng a transformatlon towards
advanced Next Generatlon Networks and converged
servlces. Thls ls revolutlonlzlng the roles of telephone
companles, |nternet servlce provlders and medla and
content dellvery companles (GA|D, 2009).
The leadlng Arab country ln terms of |nternet use ls the
Unlted Arab Lmlrates, whlch has a penetratlon rate of
almost 50%. Saudl Arabla and Morocco have both
overcome thelr late start ln lntroduclng |nternet access
and have caught up wlth other countrles ln the reglon,
wlth |nternet penetratlon rates of 22% and 2l%
respectlvely. Syrla, Algerla and to a lesser extent |raq seem
to be trylng to catch up, although language ln the case of
the former two countrles may represent a barrler, as the
second spoken language ln both ls Prench rather than
Lngllsh.
A
r
a
b

s
t
a
t
e
s
A
r
a
b

S
t
a
t
e
s
Figure 6: Sclentlflc publlcatlons per mllllon populatlon ln the Arab world, 2002 and 2008
Kuwait
Tunisia
Jordan
Qatar
Lebanon
Bahrain
Oman
Saudi Arabia
Egypt
Algeria
Morocco
Syria
Iraq
Comoros
Mauritania
Sudan
Yemen
Djibouti
191.9 / 222.5
76.4 /196.2
101.4 / 157.1
68.7 / 152.2
91.1 / 147.2
80.0 / 140.9
63.2 / 126.4
95.4 / 113.1
61.6 / 70.8
35.2 / 48.6
15.4 / 37.5
36.3 / 36.9
7.5 / 15.9
5.8 / 9.6
2.4 / 6.0
1.8 / 4.7
5.1 / 4.0
2.5 / 3.5
1.6 / 2.4
1.3 / 2.4
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence. Sclence Cltatlon |ndex Lxpanded, complled for UNLSCO by the Canadlan
Observatolre des sclences et des technologles, for populatlon data: world 8ank, world Development |ndlcators, 1une 20l0
|||SO S|||| |||O| 2010
266
Figure 7: Sclentlflc artlcles publlshed ln the Arab world, 2000 and 2008
Egypt
Tunisia
Saudi Arabia
Morocco
Algeria
Jordan
Kuwait
Lebanon
Oman
Syria
Qatar
Iraq
Sudan
Bahrain
Yemen
Mauritania
Djibouti
2 304 / 3 963
540 / 2 026
1 321 / 1 745
1 041 / 1 167
410 / 1 289
459 / 928
270 / 660
256 / 591
469 / 607
185 / 315
106 / 198
55 / 184
38 / 195
49 / 98
76 / 146
41 / 100
35 / 56
16 / 13
0 / 2
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence, Sclence Cltatlon |ndex Lxpanded, complled for UNLSCO by the Canadlan Observatolre des
The |CT sector ln 1ordan planned to reduce |nternet access
tarlffs ln 2009, ln order to ralse the |nternet penetratlon
rate to around 24% by the end of the same year.
One reglonal organlzatlon that was 'born dlgltal',
however, ls the 8lbllotheca Alexandrlna (8ox 7).
High-tech exports
Hlgh-tech exports are products wlth hlgh P&D lntenslty,
such as ln aerospace, computers, pharmaceutlcals,
sclentlflc lnstruments and electrlcal machlnery. Some
Arab countrles have a relatlvely advanced
pharmaceutlcal lndustry that can contrlbute to hlgh-tech
exports.
Hlgh technology contrlbutes to rapld growth and ls a
ma[or source of wealth generatlon. |t contrasts wlth the
resource-based lndustrles that domlnated the 20
th
century. Hlgh-tech exports are a functlon of a country's
level of lnward forelgn dlrect lnvestment, consumer
demand at home and technologlcal lnfrastructure.
Seyom (2005) has shown that the state of a natlon's
technologlcal lnfrastructure ls dependent on two
varlables: GLPD per caplta and the number of sclentlsts
and englneers engaged ln P&D. He has concluded that
good technologlcal lnfrastructure has a posltlve,
slgnlflcant lnfluence on hlgh-tech exports.
Plgure l0 shows the share of hlgh-tech exports as a
percentage of total exports for selected Arab countrles.
wlth hlgh-tech exports constltutlng around l0% of all
natlonal exports, Morocco ls the leadlng Arab country for
thls lndlcator. However, the hlgh-tech exports of a country
llke Malaysla constltute as much as 55% of total exports.
Thls ls due ln part to the country's developlng
technologlcal lnfrastructure but also to the multltude of
multlnatlonal companles that have set up manufacturlng
hubs ln Malaysla, unllke ln the ma[orlty of Arab countrles.
Plgure ll shows the Knowledge Lconomy |ndex (KL|)
for the ma[orlty of Arab countrles. Among non-oll
economles, 1ordan achleves the hlghest score for thls
Arab States
267
A
r
a
b

s
t
a
t
e
s
Figure 8: Scientific co-publications in the Arab world, 2000 and 2008
Egypt
Tunisia
Saudi Arabia
Algeria
Morocco
Jordan
Lebanon
Kuwait
Oman
Qatar
Syria
Sudan
Iraq
Bahrain
Yemen
Mauritania
Djibouti
605 / 688
304 / 720
264 / 967
256 / 711
153 / 420
149 / 248
144 / 434
108 / 329
78/ 184
55 / 144
46 / 97
25 / 40
19 / 74
15 / 82
15 / 12
13 / 152
10 / 53
0 / 2
683 / 1 421
Source: Thomson Reuters (Scientific) Inc. Web of Science, Science Citation Index Expanded, compiled for UNESCO by the Canadian Observatoire des
sciences et des technologies
15
19
30
1
0 0
2 2
0
2
1
1
6
0 0
7
5
4
5
9
2
1
E
g
y
p
t
I
r
a
q
J
o
r
d
a
n
K
u
w
a
i
t
L
e
b
a
n
o
n
M
o
r
o
c
c
o
O
m
a
n
Q
a
t
a
r
S
a
u
d
i

A
r
a
b
i
a
T
u
n
i
s
i
a
U
n
i
t
e
d

A
r
a
b

E
m
i
r
a
t
e
s
Note: The country of origin is determined by the residence of the first-named inventor. No patents were granted to residents of Algeria, Bahrain,
Libyan Arab Jamahiriya, Mauritania, Sudan and Yemen in 2003 and 2008.
Source: United States Patents and Trademark Office
Figure 9: USPTO patents granted to residents of Arab countries, 2003 and 2008
|||SO S|||| |||O| 2010
268
lndex, closely followed by Oman and Lebanon. Morocco,
on the other hand, has some way to go for the
educatlon and lnnovatlon parameters used to calculate
the KL|, even though lt boasts a hlgh rate of |nternet
penetratlon.
.
Higher education: forming the S&T labour force
|n the Arab world, the number of students ln hlgher
educatlon has lncreased conslderably, from 5.4 mllllon
ln 2000 to 7.3 mllllon ln 2008. |n 2000, there were
l 907 students for l00 000 lnhabltants. 8y 2008, thls
number had lncreased to 2l85, accordlng to the U|S.
These lncreases have not been unlform across Arab
countrles. Thls ls due not only to the lack of flnanclal
resources ln some countrles but also to factors related
to pollcles, soclal values and so on. The lssue of equal
access to hlgher educatlon, on the other hand, can be
attrlbuted to wealth dlvldes between communltles
wlthln socletles, geographlcal areas and soclal
categorles, as well as to dlsparltles ln gender and age.
|n 20 Arab countrles, there are over 300 publlc and
prlvate unlversltles (Saleh, 2008). Thls corresponds to
one unlverslty per mllllon populatlon. Thls ls less than
the world average, as there are around l0 000 unlversltles
worldwlde for a global populatlon of about 6.7 bllllon.
How do Arab universities compare with others?
The ma[orlty of unlversltles ln Arab countrles are new.
The older ones have not been able to keep up and have
seen thelr standlng fall by lnternatlonal yardstlcks.
Panklngs of unlversltles, although controverslal, have
become lncreaslngly popular. Two publlcatlons have
attracted wlde attentlon from pollcy-makers, sclentlflc
communltles and the medla slnce they began publlshlng
thelr own ranklngs: the [ournal of 5honho| 1|oo 7on
un|vets|ty ln Chlna (517u, slnce 2003) and the 7|mes
l|het lJucot|on 5ulement ln the UK (7ll5, slnce
2004). |n 2007, Calro Unlverslty was the only Arab
unlverslty to rank among 517u's top 500 unlversltles ln the
world. No Arab unlverslty has ever appeared ln the 7ll5
ranklng.
Pesearch by the statlstlcal agency of the O|C placed only
nlne Arab unlversltles ln the top 50 of the O|C member
countrles (Table 4). Arab unlversltles do not seem to
compare favourably wlth thelr O|C counterparts ln |ran,
Malaysla or Turkey, ln partlcular (SLSPTC|C, 2007).
Figure 10: Share of Arab hlgh-tech exports ln total manufactured exports, 2002 and 2007 (%)
11.1 / 8.8
3.7 / 5.3
1.9
-1
/ 1.2
4.0 / 1.1
2.2 / 0.5
2.4 / 0.3
0.8 / 0.2
1.1 / 0.7
8.8 / 0.6
-1
0.3 / 0.6
0.2 / 0.4
0.1
0.0 / 0.1
Algeria
Egypt
Iraq
Jordan
Kuwait
Lebanon
Morocco
Oman
Qatar
Saudi Arabia
Sudan
Syria
Tunisia
Yemen
0.6 / 1.3
0.2 / 0.5
Note: The relatlvely hlgh share of hlgh-tech exports for Sudan ln 2002 can be explalned by the fact that overall export flgures for Sudan are very low,
so a slngle large order ln a glven year may represent a large share of the total.
5outce: world 8ank, world Development |ndlcators, 1une 20l0
A..b St.tos
269
A
r
a
b

s
t
a
t
e
s
Table 3: |nternet penetratlon ln the Arab reglon,
2002 and 2009
Country/ Internet users Growth
territory per 100 population 20022009
2002 2009 (%)
Unlted Arab Lmlrates 28.3 82.2 272
8ahraln l8.l 82.0 429
Oman 6.9 43.5 624
Saudl Arabla 6.4 38.l 600
Kuwalt l0.3 36.9 340
Tunlsla 5.3 34.l 592
Morocco 2.4 32.2 l 37l
Qatar l0.2 28.3 470
1ordan 6.0 27.6 466
Lebanon l0.3 23.7 l50
Lgypt 2.7 20.0 739
Syrla 2.l l8.0 978
Algerla l.6 l3.5 840
Sudan 0.4 9.9 2 525
Palestlnlan Autonomous
Terrltorles 3.l 8.3 239
Llbyan Arab 1amahlrlya 2.2 5.5 l83
Comoros 0.6 3.6 659
D[lboutl 0.5 3.0 600
Maurltanla 0.4 2.3 650
emen 0.5 l.8 320
|raq 0.l l.l l 200
world l0.7 26.8 l40
Source: |nternatlonal Telecommunlcatlons Unlon, world
Telecommunlcatlons/|CT |ndlcators, 1uly 20l0
Box 7: The 8lbllotheca Alexandrlna
|r.JJ..toJ |r 2002, t|o b|b||ct|oc.
A|ox.rJ.|r. |r |ypt sooks tc
.oc.ptJ.o t|o |o.cy c| t|o c.||r.|
A|ox.rJ.|. ||b...y .||c| bJ.rt Jc.r
2000 yo..s .c, by J|sson|r.t|r
krc.|oJo .rJ boccn|r . |c.Jn |c.
J|.|cJo, |o..r|r .rJ JrJo.st.rJ|r
bot.oor cJ|tJ.os .rJ pocp|os.
|o b|b||ct|oc. A|ox.rJ.|r. |.s
c.p|t.||.oJ cr cppc.tJr|t|os
|o b|b||ct|oc. A|ox.rJ.|r.
.o.c|os cJt tc t|o oro..| pJb||c,
ospoc|.||y t|o ycJr. |o ||b...y
|rc|JJos spoc|.| cc||oct|crs |c. ycJt|,
.s .o|| .s cJ|tJ..| po.|c.n.rcos .rJ
p.c..nnos Jos|roJ |c. ycJr
.JJ|orcos.
Source: authors
Por detalls: www.blbalex.org
p.osortoJ by |s. ||b...y p.t.crs c.r
.ccoss 21 cc.o J.t.b.sos .rJ 19 584
sc|c|..|y o|oct.cr|c cJ.r.|s, obcck
J.t.b.sos .rJ ct|o. |rto.rot
.oscJ.cos. |o ||b...y |.s ono.oJ .s
. |o.Jo. |r t|o J||t|..t|cr c| A..b|c
n.rJsc.|pts, n.ps, bccks .rJ
p|ctJ.os. |t |s .|sc .r .ct|vo p..t|c|p.rt
|r |cb.| c.np.|rs tc n.ko
krc.|oJo Jr|vo.s.||y .ccoss|b|o.
Figure 11: Knowledge Lconomy |ndex for selected
Arab countrles, 2008
0 1 2 3 4 5 6
5.54
5.85
6.04
6.73
6.73
5.36
5.31
4.81
4.42
4.08
3.54
3.22
3.09
2.36
2.20
1.78
1.47
Qatar
United Arab
Emirates
Bahrain
Kuwait
Jordan
Oman
Saudi Arabia
Lebanon
Tunisia
Egypt
Morocco
Algeria
Syria
Mauritania
Yemen
Sudan
Djibouti
Note: Data are welghted by populatlon
ranges from a low of 0 to a hlgh of l0.
5outce: world 8ank http://lnfo.worldbank.org/
etools/kam2/KAM_page5.asp
|||SO S|||| |||O| 2010
270
we can deduce from the afore-mentloned studles that
hlgher educatlon across the Arab reglon ls ln need of
serlous reform. |n the ma[orlty of countrles, hlgher
educatlon ls succeedlng only ln produclng bureaucrats
wlth llttle lnnovatlve capaclty to meet the needs of the
prlvate sector. There ls a dlre mlsmatch between the skllls
companles are seeklng and what most unlversltles ln the
reglon are produclng. The result ls mllllons of young
people wlth hlgh expectatlons and no hope of fulfllllng
thelr dreams.
Investment trends in higher education
varlous governance models for hlgher educatlon exlst ln
Arab countrles. |n the ma[orlty, a Mlnlstry of Hlgher
Lducatlon ls ln charge of management, plannlng, pollcles
and strategles. |n some countrles, such a mlnlstry ls also
responslble for sclentlflc research. Desplte such an
elaborate set-up, lt ls almost lmposslble to estlmate, for
example, how much Arab countrles lnvest ln hlgher
educatlon.
Pesearch publlshed by the Lconomlc Pesearch Porum
(Kanaan et ol., 2009) reveals that government expendlture
on hlgher educatlon amounted to l.4% of GDP on
average for the countrles of the Organlsatlon for
Lconomlc Co-operatlon and Development (OLCD) ln
2007. Thls compares wlth l.7% ln Tunlsla, l.5% ln Saudl
Arabla, l.3% ln Lgypt, l.2% ln emen and Lgypt, 0.8% ln
1ordan and 0.5% ln Syrla. 1ordan spends no less than 4.3%
of GDP on hlgher educatlon but most of thls comes from
the prlvate sector (Kanaan et ol., 2009).
Tunlsla's publlc spendlng on hlgher educatlon constltuted
around 25% of total publlc expendlture on educatlon ln
2007 (Abdessalem, 2009). Lgypt made a slmllar commlt -
ment ln 2004 (28%) but lnvestment was lower ln 1ordan
(l8%) and Morocco (l5%) for the same year.
Table 5 compares average annual expendlture on
educatlon ln Arab states for 200l and 2006. Por many
Arab countrles, there has been llttle change, even though
government expendlture on educatlon has shown a
marked lncrease ln Oman, the Unlted Arab Lmlrates
and, to a lesser extent, ln Morocco.
The stampede towards higher education
The percentage of young men and women enrolled ln
hlgher educatlon ln Arab countrles ls lncreaslng overall.
|n Lebanon and the Palestlnlan Autonomous Terrltorles,
Table 4: Arab unlversltles ln top 50 for |slamlc countrles
Comos|te |nJex lot numoet ol c|tot|ons 2001-2006
University Country Ranking
Amerlcan Unlverslty ln 8elrut Lebanon 8
Unlted Arab Lmlrates Unlted Arab Lmlrates 9
Suez Canal Unlverslty Lgypt l0
Kuwalt Unlverslty Kuwalt ll
Calro Unlverslty Lgypt 25
Klng Pahd Unlverslty of Petrol
and Mlnerals Saudl Arabla 34
Tanta Unlverslty Lgypt 43
1ordan Unlverslty of Sclence
and Technology 1ordan 44
Sultan Qaboos Unlverslty Oman 50
5outce: SLSPTC|C (2007) AcoJem|c konl|ns ol un|vets|t|es |n the OlC
Countt|es: o Ptel|m|noty keott: www.sesrtclc.org/flles/artlcle/232.pdf
about 50% of the age cohort ls on the student rolls.
|n Algerla, 1ordan, Lebanon, Oman, the Palestlnlan
Autonomous Terrltorles, Qatar, Saudl Arabla, Tunlsla and
the Unlted Arab Lmlrates, more women than men opt for
hlgher educatlon.
|f we compare the flgures ln Table 6, we flnd that the
total number of students enrolled ln tertlary educatlon
has lncreased slgnlflcantly ln Algerla, 1ordan, Lebanon,
Oman, the Palestlnlan Autonomous Terrltorles, Saudl
Arabla and Tunlsla. The sltuatlon ln Qatar has
deterlorated.
Arab countrles fare well ln terms of student gender
balance ln hlgher educatlon. At the bachelor degree level
however, the percentage of female students enrolled ln
soclal sclences and humanltles ls around l0% hlgher
than for S&T dlsclpllnes (Table 7). |t ls lnterestlng to note
that, although there were no female PhD students ln S&T
streams ln 8ahraln, Oman or 1ordan ln 2006, women
accounted for more than 4l% of PhD students ln S&T
streams ln Algerla, 38% ln Lgypt, 3l% ln Morocco and a
slzeable 29% ln Saudl Arabla.
More than l25 000 unlverslty faculty members ln Arab
countrles are MSc and PhD holders, 30% of them women.
Some researchers have put thls flgure at over l70 000
(waast et ol., 2008) but thls could be due to the lncluslon
of faculty teachlng at more than one unlverslty, meanlng
they would be counted more than once.
A..b St.tos
27l
A
r
a
b

s
t
a
t
e
s
Table 5: Publlc expendlture on educatlon ln the Arab
world, 2002 and 2008
5electeJ countt|es
Country Public expenditure on education
as % as % of total
of GDP government
expenditure
2002 2008 2002 2008
Algerla - 4.3 - 20.3
8ahraln - 2.9 - ll.7
D[lboutl 8.4 - - -
Lgypt - 3.8 - ll.9
Kuwalt 6.6 - l4.8 -
Lebanon 2.6 2.0 l2.3 8.l
Maurltanla 3.5 4.4 - l5.6
Morocco 5.8 5.7 26.4 25.7
Oman 4.3 - 22.6 -
Saudl Arabla 7.7 5.7 26.9 l9.3
Tunlsla 6.4 - l6.5 -
Unlted Arab 2.0 0.9 23.5 27.2
Lmlrates
emen - 5.2 - l6.0
Note: Por Maurltanla, the 2008 data are an estlmate by the UNLSCO
|nstltute for Statlstlcs, for the UAL, the 2002 data are a natlonal estlmate.
5outce: UNLSCO |nstltute for Statlstlcs database, 1uly 20l0
2 500 Palestlnlans. Sclentlsts from Morocco and Tunlsla
tend to head for Lurope (waast et ol., 2008).
The causes of low academic standards in higher
education
A number of features ln the Arab reglon contrlbute to low
academlc standards. Some are outllned below.
I Although extenslve and well-establlshed, the hlgher
educatlon system ln the Arab reglon has not
malntalned the dlstlnctlon lt once had. Desplte belng
confronted wlth globallzatlon and the ascendance of
prlvate educatlon, new knowledge and knowledge
dellvery modes, lt remalns essentlally supply-drlven
rather than demand-drlven.
I Arab unlversltles are under pressure to fulfll many
complementary yet confllctlng roles: knowledge
transmlsslon (teachlng), knowledge generatlon
(research) and knowledge preservatlon and dlffuslon.
Unlverslty governance ln the ma[orlty of Arab countrles
remalns unsteady, unable to assume one or more of
these roles successfully. Thls ls further compllcated by
governments exertlng undue lnfluence over
unlversltles, malnly out of polltlcal conslderatlons.
I The archalc hlerarchlcal system of promotlon and
lncentlves at unlversltles remalns a ma[or hurdle. As
knowledge transmltters, unlversltles ln Arab countrles
must alm to form hlghly productlve work-ready
professlonals, not bureaucrats, wlth the approprlate
skllls to address economlc needs and opportunltles, as
well as those of the economy's component lndustrles
and sectors. Thls requlres student admlsslon pollcles
and faculty recrultment pollcles that are essentlally
merlt-based and transparent.
I Arab unlversltles and research centres have been unable
to develop a smart P&D envlronment over the past four
decades. There ls a certaln lmprovlsatlon ln the way P&D ls
rewarded. As clear long-term research pollcles are
generally lacklng, researchers are never certaln that they
wlll obtaln requlslte fundlng. Often educated and tralned
ln the west, faculty could lmplement the best research
practlces they plcked up durlng thelr studles. |nstead,
they are frequently forced to take on heavy teachlng
loads to supplement thelr lncome, leavlng llttle tlme for
sclentlflc research. Lven sabbatlcal leave ls rarely used for
research. As knowledge generators, unlversltles are the
Desplte a slzeable teachlng communlty, ln the ma[orlty of
Arab countrles, the student/teacher ratlo falls short of the
OLCD average of l4 students per faculty member or even
the world average of l6 students. Statlstlcs datlng from
2004 reveal that, ln Lgypt for example, the ratlo was l:30
and l:27 ln 1ordan. Only ln Lebanon does the ratlo surpass
the OLCD and world ratlos by an lmpresslve margln, at l:8
(waast et ol., 2008).
Three reglonal lnltlatlves exempllfy recent top-down
lnltlatlves ln hlgher educatlon: Qatar's Lducatlon Clty,
the Masdar |nstltute ln Abu Dhabl, and the Klng Abdullah
Unlverslty of Sclences and Technology ln Saudl Arabla
(8oxes 8, 9 and l0). These lnltlatlves are llkely to staunch
braln draln ln Arab countrles llke Algerla and Lgypt whlch
have been hlt by an exodus of talent.
Plgures released by the Natlonal Sclence Poundatlon ln
2000 reveal that there are thousands of Arab sclentlsts
and englneers llvlng ln the USA: l2 500 Lgyptlans,
ll 500 Lebanese, 5 000 Syrlans, 4 000 1ordanlans and
|||SO S|||| |||O| 2010
Arab world's englne room for dlscovery and lnventlon,
the prlnclpal creators and dlssemlnators of new
knowledge. Pesearch ls consldered the most sallent
example of a country's lntellectual resources,
economlc strength and global competltlveness.
Unlversltles should be producers of research, not
lnvestors. They currently spend too much tlme
looklng for fundlng for research pro[ects.
I The present system ls eatlng away at preclous
resources from teachlng programmes, ln order to
malntaln research performance. Heavy teachlng loads
may be relleved by a long-term faculty development
programme, the lntroductlon of lnnovatlve unlverslty
management practlces and by facllltatlng further the
movement of faculty between countrles.
I 8llateral and trllateral exchanges of faculty and [olnt
research pro[ects are rare among Arab unlversltles
compared to the co-operatlon programmes concluded
wlth partles beyond the Arab world. Arab countrles
should each attempt to have at least one model
unlverslty that excels ln one role: teachlng, research or
knowledge dlffuslon. Thls wlll make networklng
between Arab unlversltles of slmllar outlook easler.
272
Table 6: Tertlary student enrollment ln the Arab reglon, 2002 and 2008
As o etcentoe ol the oe cohott
2002 2008
Country Male Female Total student Male Female Total student
(%) (%) enrollment (%) (%) (%) enrollment (%)
Algerla - - l7.8 25.3 36.4 30.7
D[lboutl l.l 0.9 l.0 - - -
Lgypt - - - - - 28.5
|raq l6.0 8.7 l2.4 - - -
1ordan 29.5 30.6 30.0 38.5 42.9 40.7
Kuwalt l5.l 29.2 2l.8 - - -
Lebanon 38.9 42.8 40.9 48.0 57.l 52.5
Llbyan Arab 1amahlrlya 5l.8 56.7 54.2 - - -
Maurltanla 4.6 l.3 3.0 - - -
Morocco ll.7 8.9 l0.3 l3.0 ll.6 l2.3
Oman l5.9 l2.4 l4.3 27.2 32.0 29.5
Palestlnlan Autonomous Terrltorles 30.4 29.7 30.0 42.5 52.2 47.2
Qatar 7.6 3l.l l6.8 5.l 3l.l ll.0
Saudl Arabla l7.3 28.0 22.3 22.6 37.4 29.9
Tunlsla 2l.0 25.7 23.3 27.2 40.5 33.7
Unlted Arab Lmlrates l2.9 36.9 22.8 l7.4 35.7 25.2
Note: Por Algerla, |raq, Morocco, Oman, Saudl Arabla and the Unlted Arab Lmlrates, the data for 2002 are an estlmate by the UNLSCO |nstltute for Statlstlcs.
5outce: UNLSCO |nstltute for Statlstlcs database, 1uly 20l0
I An Arab 8ologna Process ls requlred to create an Arab
Hlgher Lducatlon Area along the llnes of the Luropean
model (see oe l50). There ls a need for Arab mlnlstrles
and other bodles responslble for hlgher educatlon to co-
operate ln areas such as the recognltlon of dlplomas and
the exchange of lnformatlon and expertlse ln hlgher
educatlon. An Arab 8ologna Process could make Arab
hlgher educatlon more comparable, more competltlve
and more attractlve.
O|||S|O|
Arab countrles have been aware of the lmportance of ST|
for soclo-economlc development for at least four decades.
Many Arab countrles have had a core ST| system for as
long. However, llttle has changed ln terms of the lmpact of
sclence and the sclentlflc enterprlse on achlevlng soclo-
economlc development, or generatlng new knowledge.
The challenges faclng Arab countrles ln S&T ls enormous.
However, they can be overcome wlth vlslon, commltment
and hard work. The huge strldes made by countrles that two
or three decades ago were at the same level of development
as Arab states, lncludlng 8razll, Chlna, |ndla, |reland, Mexlco
and the Pepubllc of Korea, show that lt ls posslble.
A..b St.tos
273
A
r
a
b

s
t
a
t
e
s
Table 7: Postgraduate students at Arab unlversltles, 2006
Science and technology Total social sciences and humanities Total
plus science and technology headcount
Country MSc PhD MSc PhD
M F Total M F Total M F Total M F Total
Algerla 8 l04 7 204 l5 308 4 503 3 l86 7 689 l3 l76 l2 006 25 l8l 7 689 4 9l7 l2 606 37 787
8ahraln 30 53 83 l 0 l 273 278 55l l 0 l 552
Lgypt 28 8ll 2l 476 50 287 9 080 5 529 l4 609 4l 204 37 528 78 732 l4 590 9 22l 23 8ll l02 543
1ordan 434 345 779 30 0 30 88l 697 l 578 36 0 36 l 6l4
Morocco 4 005 2 ll2 6 ll7 3 59l 2 lll 6 702 8 20l 4 4l6 l2 6l7 8 565 4 078 l0 849 23 466
Oman l72 9l 263 l 0 l 353 2l2 565 l 0 l 566
Saudl
Arabla
-l
2 249 l l54 3 403 239 99 338 5 25l 3 884 9 l36 l l89 l 0ll 2 200 ll 336
Tunlsla 3 4l5 3 439 6 854 - - - 7 l46 ll 438 l8 584 - - -
emen 34l l55 496 - - - l 444 546 l 990 - - -
Note: Data cover both natlonal and forelgn-born students. Sclence and technology lnclude natural sclences, englneerlng and technology, medlclne, health
sclences and agrlcultural sclences.
5outce:5oleh (2008 587 |nJ|cotots |n the Atoo 5totes
Box 8: Lducatlon Clty, Qatar
|o .t.. |cJrJ.t|cr |cJrJoJ
|JJc.t|cr |ty |r 2001 .s . |Jb |c.
c.p.c|tybJ||J|r .rJ c|...cto.
Jovo|cpnort. At t|o |o..t c|
|JJc.t|cr |ty ..o s|x |rto.r.t|cr.|
Jr|vo.s|t|os. |r 200 .rJ 2008, t|oso
ost.b||s|oJ b..rc|os .|t| t|o
c.npJsos c| p.ost||cJs |rst|tJt|crs
|r t|o |SA. ..ro|o Vo||cr
|r|vo.s|ty, oc.otc.r |r|vo.s|tys
120 .t..| stJJorts .t t|o ..ro|o
Vo||cr s.to|||to c.npJs ..o |on.|o.
Or oc.otc.rs s.to|||to c.npJs, 68
c| t|o 10 stJJorts ..o |on.|o.
|JJc.t|cr |ty |rc|JJos .r Ac.Jon|c
b.|Jo |.c..nno .||c| p.op..os
stJJorts |c. stJJy |r .c.|Jc|.ss
Jr|vo.s|t|os.
Por detalls: www.qf.org.qa
Sc|cc| c| |c.o|r So.v|co, \|.|r|.
cnncr.o.|t| |r|vo.s|ty, \o|||
VoJ|c.| c||oo c| c.ro|| |r|vo.s|ty
.rJ t|o ox.s A.|cJ|tJ..| .rJ
Voc|.r|c.| |r|vo.s|ty (ox.s AV).
A s|r|||c.rt po.cort.o c| t|o
.t..| stJJorts or.c||oJ |r t|oso
b..rc| c.npJsos ..o |.|s sook|r tc
pJ.sJo |||o. oJJc.t|cr c|cso tc
|cno. |c. |rst.rco, 5 c| t|o
Box 9: The Masdar |nstltute of Sclence and Technology
AbJ ||.b| |r t|o |r|toJ A..b |n|..tos
|.Jrc|oJ t|o V.sJ.. |r|t|.t|vo |r 2006
.s . |cb.| cccpo..t|vo sc|ort|||c
p|.t|c.n tc .JJ.oss p.oss|r |ssJos,
sJc| .s oro.y socJ.|ty, c||n.to
c|.ro .rJ t|o Jovo|cpnort c|
|Jn.r oxpo.t|so |r sJst.|r.b|||ty
sc|orco. V.sJ.. .|ns tc pcs|t|cr AbJ
||.b| .s . .c.|Jc|.ss || |Jb |c.
ro. oro.y toc|rc|c|os .rJ tc J.|vo
t|o ccnno.c|.||..t|cr .rJ .Jcpt|cr
.rJ sJst.|r.b|o toc|rc|c|os. V| |s
.c.k|r .|t| V.sJ.. tc ost.b||s| .
sJst.|r.b|o, |cno.c.r .c.Jon|c
.rJ sc|ort|||c .oso..c| |rst|tJto. |o
V.sJ.. |rst|tJto .sp|.os tc boccno .
cort.o c| |||c.||b.o .oro..b|o
oro.y .rJ sJst.|r.b|||ty .oso..c|
c.p.b|o c| .tt..ct|r |o.J|r
sc|ort|sts |.cn ..cJrJ t|o .c.|J.
Por detalls: www.masdaruae.com
c| t|oso .rJ ct|o. toc|rc|c|os |r
sJst.|r.b|o oro.y, c..bcr
n.r.onort .rJ ..to. ccrso.v.t|cr.
|ovo|cpoJ |r cccpo..t|cr .|t|
t|o V.ss.c|Jsotts |rst|tJto c|
oc|rc|cy (V|), t|o V.sJ..
|rst|tJto c| Sc|orco .rJ oc|rc|cy
onJ|.tos V|s ||| st.rJ..Js
.rJ c||o.s V.sto.s .rJ |||
p.c..nnos |ccJsoJ cr t|o sc|orco
.rJ or|roo.|r c| .Jv.rcoJ oro.y
|||SO S|||| |||O| 2010
Although Arab declslon-makers have been lncreaslng
expendlture on educatlon, there ls stlll llttle polltlcal
patronage of sclence and the sclentlflc endeavour,
desplte a legacy of creatlvlty and lnnovatlon. Lack of
expendlture on P&D ls a ma[or cause of the poor output
of the Arab ST| system but lt ls not the only quandary.
The lack of a sclence culture ln turn leads to a lack of
appreclatlon for sclence. So why do Arab declslon-
makers seem more concerned wlth educatlon than ST|!
Can lt be that educatlon ls vlewed as a necesslty,
whereas ST| ls consldered a luxury! 8aslc educatlon
empowers cltlzens to read, comprehend baslc
mathematlcs and make a llvlng. However, baslc
educatlon ls not sufflclent to create wealth, to address
concerns of food, water and energy securlty, to provlde
better health servlces and better lnfrastructure. Por that,
sclence ls requlred.
The ma[or contemporary problems Arab countrles face
whlch requlre sclentlflc or technologlcal solutlons are
well known. Desplte thls, the purpose of sclentlflc
research remalns unclear. Pesearch undertaken by the
hlgher educatlon sector, although lmportant, often
serves purely academlc purposes.
Appreclatlon for S&T ls also an almost allen concept ln
the mlndset of the Arab prlvate sector, whlch has always
been strong ln tradlng goods and servlces rather than
manufacturlng. Lven ln lnstances where fundlng has
been no ob[ect, the prlvate sector has been unable to
produce a crltlcal mass of knowledge workers to utlllze
these resources to meet natlonal ob[ectlves, add to the
natlonal and global pool of knowledge or produce
patents leadlng to products and servlces.
274
Another factor stalllng change ln Arab countrles has
hlstorlcally been the top-down approach to governance.
Thls places polltlcal leaders ln a posltlon where they
have to assume the role of champlonlng sclence for the
sclentlflc enterprlse to blossom.
Arab countrles today are natlon states, a partlcularly
Luropean lnventlon that became obsolete wlth the
slgnlng of the Treaty of Pome ln l959. Slnce then,
Luropean countrles have set about harmonlzlng thelr
economlc and sclentlflc pollcles.
|t ls true that, ln the Arab world, there are reglonal
umbrella organlzatlons that do the [ob of the Luropean
Unlon. There ls the Arab League, whlch has been ln
exlstence for over slx decades. |ts prlmary concern has
been to deal wlth polltlcal problems, however, causlng
lssues ln S&T and hlgher educatlon to be neglected by
thls body. There ls also the Organlsatlon of the |slamlc
Conference. Thls umbrella organlzatlon embraclng
both Arab and non-Arab |slamlc countrles has made
some bold attempts to address S&T lssues. However,
due to a chronlc shortage of funds, lt too has been
unable to lmplement lts programmes fully.
Oll wealth has been a double-edged sword. On the one
hand, lt has helped Arab countrles to consolldate thelr
lnfrastructure, lnvest ln servlce lndustrles and promote
trade. On the down slde, 'easy money' has meant that
ST|-based development and lndustrles took a back seat
untll very recently. The slump ln oll prlces slnce 2008 has
glven oll states a gllmpse lnto the future when they wlll
no longer be able to count on oll for thelr ma[or source
of lncome.
Box 10: Klng Abdullah Unlverslty of Sclence and Technology
||r AbJJ||.| |r|vo.s|ty c| Sc|orco
.rJ oc|rc|cy (|A|S) |.s boor
bJ||t |r S.JJ| A..b|. .s .r
|rto.r.t|cr.|, ..JJ.to|ovo| .oso..c|
Jr|vo.s|ty JoJ|c.toJ tc |rsp|.|r .
ro. .o c| sc|ort|||c .c||ovonort |r
S.JJ| A..b|., t|o .o|cr .rJ t|o
.c.|J. |t |s sJppc.toJ by . nJ|t|
b||||cr Jc||.. orJc.nort t|.t |s
cvo.roJ by .r |rJoporJort,
.orJ. |r |cJ. st..to|c ..o.s. oro.y
.rJ t|o orv|.crnort, b|csc|orcos
.rJ b|cor|roo.|r, n.to.|.|s sc|orco
.rJ or|roo.|r, .rJ .pp||oJ
n.t|on.t|cs .rJ ccnpJt.t|cr.|
sc|orco.
5outce: authors
Por detalls: www.kaust.edu.sa
so||po.potJ.t|r bc..J c| .Jstoos.
|A|S |s no.|tb.soJ .rJ cpor tc
nor .rJ .cnor |.cn ..cJrJ t|o
.c.|J.
|A|Ss cc.o c.npJs |s |cc.toJ
cr nc.o t|.r 36 000 kn
2
cr t|o |oJ
So. 80 kn rc.t| c| S.JJ| A..b|.s
soccrJ|..ost c|ty, 'oJJ.|.
S|rco |t cporoJ |r Soptonbo.
2009, A|S |.s pJ.sJoJ . .oso..c|
A..b St.tos
275
Hlgh-tech exports form Arab countrles are negllglble.
The acqulsltlon and appllcatlon of technology ls a
functlon of an enabllng envlronment, yet thls
envlronment ls almost non-exlstent ln many parts of
the Arab world. Por lnstance, although expendlture on
defence ln Arab countrles ls among the hlghest ln the
world, there ls no home-grown defence lndustry.
There ls very llttle llnkage between unlversltles and
lndustry when lt comes to research output and thus
llttle wealth generatlon vla the commerclallzatlon of
P&D. |n the ma[orlty of Arab states, lntellectual
property reglmes are very weak, provldlng llttle
protectlon for the output of sclentlsts. A patent culture
belng almost non-exlstent, researchers often come up
agalnst a blank wall when attemptlng to commerclallze
or otherwlse develop thelr research output.
A number of Arab countrles have a slzeable S&T
potentlal. Thls potentlal ls often dlspersed and
champloned by lndlvlduals rather than lnstltutlons.
S&T output has been growlng unsteadlly over the past
three decades. Today, exploltlng thls output stlll relles
on a handful of dedlcated knowledge workers based at
a few unlversltles and research centres ln the Arab
world.
Some countrles have begun to streamllne P&D lnto
baslc research, applled research and technologlcal
development. They have also started asslmllatlng
market parlance, not only when lt comes to produclng
papers and patents but also prototypes and products.
There are also those whlch are attemptlng to leapfrog
the development cycle by lmportlng ready-made
models of research centres and unlversltles, thls may
yleld success but only at the local level unless an lnter-
reglonal component ls added.
Last but not least, the stablllty and securlty of Arab
countrles cannot slmply be a functlon of mllltary
expendlture and expendlture devoted to upholdlng
law and order. Long-term securlty and prosperlty for all
countrles ln the reglon can only be achleved by
assurlng the trlple hellx of food, water and energy
securlty, comblned wlth sustalnable and equltable
soclo-economlc development ln tolerant socletles
where accountablllty and rule of law prevall. S&T can
achleve some of these goals, lf not all.
A
r
a
b

s
t
a
t
e
s
b|b||O|A||+
Abdessalem, Tahar (2009) l|nonc|n l|het lJucot|on |n
7un|s|o. Presentatlon to the Lconomlc Pesearch Porum
workshop on Access and Lqulty ln Plnanclng Hlgher
Lducatlon ln Slx Arab Countrles. Calro, l3 Pebruary.
Avallable at: www.erf.org.eg
APLSD et ol. (2007) 7he un|l|eJ Atoo lconom|c keott, 2007.
Publlshed [olntly by the Arab Pund for Lconomlc and
Soclal Development, the Arab Monetary Pund, the
Organlzatlon of Arab Petroleum Lxportlng Countrles
and the League of Arab States.
(2003) 7he un|l|eJ Atoo lconom|c keott, 2003.
Publlshed [olntly by the Arab Pund for Lconomlc and
Soclal Development (APLSD), the Arab Monetary
Pund, the Organlzatlon of Arab Petroleum Lxportlng
Countrles and the league of Arab States.
Al-Athel, S. (2003) Sclence and Technology ln Saudl Arabla.
Proceedlngs of the l4
th
Conference of the |slamlc
world Academy of Sclences. Kuala Lumpur.
Al-Hassan, A. . et ol. (eds) |2007| loctots oeh|nJ the 0ecl|ne
ol lslom|c 5c|ence oltet the 5|xteenth Centuty. Part ||.
UNLSCO, Parls.
Alral (2008) The State's Plfth Development Plan. Alto|,
8 October, Kuwalt Clty.
Arvanltls, P. and Mhennl, H. (2007) |nnovatlon Pollcles ln
the Context of North Afrlca: new Trends ln Morocco
and Tunlsla. Paper presented at workshop on P&D and
|nnovatlon Statlstlcs 23-25 Aprll, 2007, Amman,
1ordan. Avallable at: www.uls.unesco.org/
template/pdf/S&T/workshops/1ordan/l.pdf
8adran, All (2006) Present and future Status of Solar
Lnergy ln 1ordan. PowerPolnt presentatlon avallable
at: www.lnp.[o/en/home.html
C|A (2009) 7he wotlJ loctoool. Central |ntelllgence
Agency, washlngton, DC.
Ll-Awady, Nadla (2009) Medla and government to blame
for Lgypt swlne flu chaos. 5c|0ev.net.
Lrgln, M. and Zou'bl, M.P. (2007) 5c|ence, 7echnoloy onJ
lnnovot|on lot 5oc|o-econom|c 0eveloment: 7owotJs
v|s|on 1441. |slamlc world Academy of Sclences, Amman.
|||SO S|||| |||O| 2010
276
Pahlm, asmlne and Saml, Noha (2009) l|nonc|n l|het
lJucot|on |n lyt. Lconomlc Pollcy Porum. Lgypt.
Avallable at: www.erf.org.eg
Plorlna, Carly (200l) Technology, 8uslness and our way of
Llfe: what's next! Speech dellvered on 26 September ln
Mlnneapolls, USA. Avallable at: www.hp.com/hplnfo/
execteam/speeches/florlna/mlnnesota0l.html
|DSC (2007) lyts 0esct|t|on oy lnlotmot|on. Seventh
edltlon. |nformatlon and Declslon Support Centre of
the Lgyptlan Cablnet, Calro.
Kanaan, T., Al-Salamat, M., Hananla, M. (2009) Plnanclng
Hlgher Lducatlon ln 1ordan. Presentatlon to the
Lconomlc Pesearch Porum workshop on Access and
Lqulty ln Plnanclng Hlgher Lducatlon ln Slx Arab
Countrles. Calro, l3 Pebruary 2009. Avallable at:
www.erf.org.eg
Kaufmann, D., A. Kraay, A., Mastruzzl, M. (2008) Covetnonce
Vottets vll: Covetnonce lnJ|cotots lot 1996-2007.
Governance lndlcators aggregated from data collected
from survey lnstltutes, thlnk tanks, NGOs and |GOs.
world 8ank, washlngton DC.
League of Arab States (2008) Ptel|m|noty keott ol the
lxetts on the Atoo 5c|ence onJ 7echnoloy Plon ol
Act|on. Calro.
Lord, Krlstln (2008) A New V|llenn|um ol lnowleJe:
7he Atoo lumon 0eveloment keott on 8u|lJ|n o
lnowleJe 5oc|ety, l|ve eots on. Saban Centre at
8rooklngs, washlngton DC.
Mohamed, 1. O. (2008) 7he lutoeon un|on onJ lyt:
o ltomewotl lot 5c|ent|l|c Co-oetot|on. Avallable at:
www.eu-delegatlon.org.eg/en/
Nalm, S. Tanveer and Pahman, Atta-ur (2008) Vo|n
5c|ent|l|c keseotch |n OlC Countt|es. Secretarlat of the
Standlng Commlttee on Sclentlflc and Technologlcal
Co-operatlon (COMSTLCH) of the Organlsatlon of the
|slamlc Conference, |slamabad.
Qasem, Abdoh (l990) whot ote the CtusoJet wots/ (ln
Arablc, Alam ll-Ma'rlffah), No. l49. Publlshed by the
Natlonal Councll of Culture, Arts and Llterature, Kuwalt.
Saleh, Nablel (2008) 587 lnJ|cotots |n the Atoo 5totes, 2006.
1olnt study by UNLSCO, Arab Academy of Sclences and
Arab League Lducatlonal, Cultural and Sclentlflc
Organlzatlon, Calro.
Sallba, George (2007) lslom|c 5c|ence onJ the Vol|n ol the
lutoeon keno|ssonce, M|T Press, Massachusetts
|nstltute of Technology, Cambrldge Massachusetts,
USA.
Sawahel, wagdy (2008o) Morocco lnvests US$3.2 bllllon ln
renewable energy. 5c|0ev.net, 30 October.
(2008o) Saudl Arabla boosts nanotech research.
5c|0ev.net, 6 March.
SLSPTC|C (2009) keseotch onJ 5c|ent|l|c 0eveloment |n OlC
Countt|es. Statlstlcal, Lconomlc and Soclal Pesearch
and Tralnlng Centre for |slamlc Countrles, Ankara.
Avallable at: www.sesrtclc.org/lmgs/news/|mage/
OutlookPesearch.pdf
(2007) AcoJem|c konl|ns ol un|vets|t|es |n the OlC
Countt|es: o Ptel|m|noty keott. Statlstlcal, Lconomlc
and Soclal Pesearch and Tralnlng Centre for |slamlc
Countrles, Ankara. Avallable at
www.sesrtclc.org/flles/artlcle/232.pdf
Seyoum, 8elay (2005) Determlnants of levels of hlgh
technology exports an emplrlcal lnvestlgatlon.
All8us|ness. Advances ln Competltlveness Pesearch.
Avallable at: www.allbuslness.com/sales/lnternatlonal-
trade/847l72-l.html
Shobakky, al-waleed (2007) Qatar's sclence revolutlon.
5c|0ev.Net, l4 March.
5uJon 7t|oune (2008) Sudan seeks to attract $lbn for
agrlculture pro[ects. 5uJon 7t|oune. Avallable at:
www.sudantrlbune.com/splp.php!artlcle28300
UNDP (2009) lumon 0eveloment keott 2007/2009.
Ovetcom|n 8ott|ets. Unlted Natlons Development
Programme, New ork.
(2003) Atoo lumon 0eveloment keott. UNDP
Peglonal Peport. Unlted Natlons Development
Programme, New ork.
UNLP (2007) 5uJon Post-Conll|ct lnv|tonmentol
Assessment. Unlted Natlons Lnvlronment Programme,
Nalrobl. Avallable at: www.unep.org/sudan/
UNLSCO (2005) uNl5CO 5c|ence keott 2005. UNLSCO
Publlshlng, Parls.
A..b St.tos
277
A
r
a
b

s
t
a
t
e
s
UNLSCwA (2007) 7he V|llenn|um 0eveloment Cools |n the
Atoo ke|on 2007: o outh lens. Unlted Natlons
Lconomlc and Soclal Commlsslon for western Asla,
8elrut. Avallable at: www.escwa.un.org/lnformatlon/
publlcatlons/edlt/upload/ead-07-3-e.pdf
UN/LAS (2007) 7he V|llenn|um 0eveloment Cools |n the
Atoo ke|on 2007: o outh lens. Unlted Natlons and
League of Arab States.
waast, Poland et ol. (2008) Draft Peglonal Peport on
Arab Countrles: Study on Natlonal Pesearch Systems.
A Meta-Pevlew presented to the Symposlum on
Comparatlve Analysls of Natlonal Pesearch
Systems,l6-l8 1anuary 2008, UNLSCO, Parls.
welngarten, H.P. (2009) Message from the Presldent,
Unlverslty of Calgary-Qatar. Dellvered durlng hls vlslt
to the Doha campus on l7 March. Avallable at:
www.ucalgary.ca/presldent/
wLP (2009) 7he Cloool Comet|t|veness keott (2009-
20l0). world Lconomlc Porum, Geneva, Swltzerland.
(2007) 7he Atoo wotlJ Comet|t|veness keott 2007.
world Lconomlc Porum. Avallable at:
www.weforum.org
\|bS||S
4 |nternatlonal Colleges & Unlversltles: www.4lcu.org
Global Alllance for |CT and Development (GA|D):
www.un-gald.org
Thomson Peuter's |S| web of Knowledge (2009):
http://lslhlghlyclted.com
North Afrlcan Nanotechnology Pesearch Centre:
www.egnc.gov.eg
Sclence and Development Network: www.scldev.net
UNLSCO |nstltute for Statlstlcs Data Centre:
http://stats.uls.unesco.org/unesco
Unlted Natlons world Summlt on Sustalnable
Development (2002): www.un.org/[summlt/html/
documents/wehab_papers.html
world 8ank Knowledge for Development Scoreboard:
http://lnfo.worldbank.org/
Adnan Badranls a former Prlme Mlnlster of 1ordan
(2005) and former Mlnlster of Agrlculture and of
Lducatlon. He [olned UNLSCO ln l990 as Asslstant
Dlrector-General for Natural Sclences before servlng as
Deputy Dlrector-General of UNLSCO from l996 to l998.
8orn ln 1erash, 1ordan, ln l935, Dr 8adran recelved hls
PhD from Mlchlgan State Unlverslty ln l963. After
conductlng baslc research ln plant physlology ln the
USA, he became a Professor of 8lology at the
Unlverslty of 1ordan. He was later appolnted Dean of
the Paculty of Sclences at the same unlverslty then
foundlng Presldent of armouk Unlverslty and of
1ordan Unlverslty of Sclence and Technology,
where he served from l976 to l986.
Currently, he ls Presldent of Petra Unlverslty, Senator and
Chalr of the Senate Commlttee on Sclence, Lducatlon
and Culture, and Presldent of the Natlonal Centre of
Human Plghts of 1ordan. He ls a Pellow of the Academy
of Sclences for the Developlng world (TwAS) and of the
|slamlc world Academy of Sclences and Presldent of the
Arab Academy of Sclences.
Moneef R. Zoubi has been a researcher for 20 years.
8orn ln Amman, 1ordan, ln l963, he studled for hls
undergraduate and postgraduate degrees ln Clvll
Lnglneerlng at 8rlghton and Loughborough
Unlversltles ln the Unlted Klngdom between l980 and
l987. He then worked wlth a number of consultlng
flrms ln the Unlted Klngdom.
|n l990, he [olned the |slamlc world Academy of Sclences
(|AS), embarklng on a career ln lnternatlonal
collaboratlon lnvolvlng 50 countrles. As Dlrector-General
of the |AS slnce l998, he has worked to promote the
academy's role ln brldglng dlvldes ln S&T development
and even polltlcal dlvldes between countrles.
Over the course of hls career, he has publlshed over
45 papers on lssues related to S&T pollcy and has edlted
or co-edlted l0 books on hlgher educatlon, the
envlronment and water resources. He has also been
lnvolved ln varlous studles lmplemented by the |slamlc
Development 8ank and the General Secretarlat of the
Organlsatlon of the |slamlc Conference.
7hete ote cuttently ovet 40 m|n|stt|es tesons|ole
lot not|onol 587 ol|c|es |n the te|on.
Nevettheless, o numoet ol ct|t|col toolems hove
to oe tesolveJ oelote these ooJ|es con tenJet the
setv|ces execteJ ol them. 7hese toolems ote
lotely couseJ oy o shottoe ol lunJs onJ
|nell|c|ent monoement onJ oton|zot|on ol 587.
Kevln Chlka Urama, Nlcholas Ozor, Ousmane Kane and Mohamed Hassan
Africa [16] [P3]:Layout 1 18/10/10 19:14 Page 278
14
.
Sub-Saharan Africa
Kevin Chika Urama, Nicholas Ozor, Ousmane Kane and Mohamed Hassan
279
INTRODUCTION
The Millennium Declaration set 2015 as the target date for
achieving the eight Millennium Development Goals.
These goals established quantitative benchmarks for
halving extreme poverty in all its forms (see Annex II).
As the date approaches, the world finds itself mired in an
unprecedented economic recession. In sub-Saharan Africa
and Southern Asia, both the number of poor and the
poverty rate increased in some of the least-growth
economies in 2009, a factor exacerbated by the growing
burden of catastrophes caused by climate change and
natural disasters. Current projections suggest that overall
poverty rates in the developing world fell in 2009 but at a
much slower pace than before the downturn (UNDESA,
2009). For some countries, this may mean the difference
between reaching, or not, their poverty reduction target.
Replete with natural resources, intellectual capital,
indigenous knowledge and culture, Africa is nevertheless
at a comparative disadvantage when it comes to overall
development because of its low investment in science and
technology (S&T). This results in poor infrastructure
development, a small pool of researchers and minimal
scientific output. The situation is exacerbated by
population growth, conflicts, poor governance and
political instability, food insecurity, poverty and disease,
among other factors.
The continent has made several bold attempts to turn
around its development fortunes through treaties that
include the Monrovia Strategy (1979), the Lagos Plan of
Action (1980), the Abuja Treaty (1991) establishing the
African Economic Community and, most recently, the
adoption of Africas Science and Technology Consolidated
Plan of Action (CPA) by the African Union
1
in January 2007.
Despite these efforts, Africa remains the poorest and most
economically marginalized continent in the world
(Figure 1). The continent has often adopted a short-term
view of human development, persisting in a reliance on
S
u
b
-
S
a
h
a
r
a
n

A
f
r
i
c
a
1. Although the African Union embraces the entire continent, we shall be
focusing in the present chapter on countries south of the Sahara, since
North Africa is covered in Chapter 13.
Note: Proportion of people living on less than US$ 1.25 a day
Source: UNDESA (2009) The Millennium Development Goals Report
Figure 1: Poverty levels in sub-Saharan Africa, 1990, 1999 and 2005 (%)
Sub-Saharan Africa
Southeast Asia
Eastern Asia
Latin America & the Caribbean
Western Asia
Commonwealth of Independent States
Northern Africa
Southern Asia
1990
57
60
36
16
11
11
8
2
4
6
3
8
5
5
3
3
58
51
49
42
39
39
35
19
1999
2005
2015 target
The Southern
African Large
Telescope was
inaugurated in
2005. It is the
largest in the
southern
hemisphere.
Photo: Wikipedia
Commons
Africa [2] [Ed2]:Layout 1 10/12/10 12:31 Page 279
280
Table 1: Investment in sub-Saharan Africa, 2008 or most recent year available
Selected countries
Expenditure on
Total Public tertiary education
Military expenditiure expenditiure (% of total GERD GERD
expenditure on health on education expenditure on GERD (in PPP$ (per capita
(% of GDP) (% of GDP) (% of GDP) education) (% of GDP) thousands) PPP$)
Angola 2.9 2.7 2.6
-2
8.7
-2

Benin 1.0 5.3 3.6
-1
20.2
-1

Botswana 3.5 7.2 8.1
-1
27.5
-1
0.5
-2
111 714
-2
60.7
-2
Burkina Faso 1.8 6.4 4.6
-1
15.2
-1
0.1
a
18 392
a
1.2
Burundi 3.8 3.0 7.2 21.2
Cameroon 1.5 5.2 2.9 9.0
Cape Verde 0.5 5.6 5.7 11.3
Central African Rep. 1.6 3.9 1.3
-1
21.3
-1

Chad 1.0 3.6 1.9
-3
18.7
-3

Comoros 3.2 7.6** 14.6**
Congo 1.3 2.1 1.8
-3
25.9
-3
** 0.1
-4
*
Cte dIvoire 1.5 3.8 4.6 25.1
-8
**
Dem. Rep. of Congo 0.0 4.3 0.5
-2, v
75 217
-2, v
1.3
-2, v
Equatorial Guinea 1.5 0.6
-5,
** 31.4
-6

Eritrea 23.6
-5
4.5 2.0
-2
19.4
-2

Ethiopia 1.5 4.9 5.5
-1
39.0
-1
0.2
a
106 753
a
1.4
a
Gabon 1.1
-1
3.7
Gambia 0.7
-1
4.3 2.0
-4,
** 12.2
-4,
**
Ghana 0.7 6.2 5.4
-3
20.8
-3

Guinea 2.0
-4
5.7 1.7 34.4
Guinea-Bissau 4.0
-3
6.2
Kenya 1.7 4.6 7.0
-2
15.4
-2

Lesotho 2.6 6.7 12.4 36.4 0.1
-3, a
1 563
-3, a
0.8
-3, a
Liberia 0.5
-1
5.6 2.7 _
Madagascar 1.1 3.2 2.9 15.4 0.1
a
25 753
a
1.4
a
Malawi 1.2
-1
12.3 4.2
-5
_
Mali 2.0 6.0 3.8 16.1
Mauritius 0.2
-1
4.3 3.4
+1
11.0
+1
0.4
-2, v
47 014
-2, v
37.5
-2, v
Mozambique 0.9 4.7 5.0
-2
12.1
-2
0.5
-1
83 105
-1
3.9
-1
Namibia 3.1 4.9 6.5 9.9
Niger 0.0
-3
4.0 3.7 9.4
Nigeria 0.0 4.1
Rwanda 1.5 10.4 4.1 25.4 _
Senegal 1.6 5.4 5.1** 24.5** 0.1
-2, a, *
16 252
-2, a,
* 1.4
-2, a,
*
Seychelles 1.0 6.8 5.0
-2
17.9
-2
0.3
-2
4 519
-2
54.5
-2
Sierra Leone 2.3 3.5 3.8
-3,
** _
South Africa 1.4 8.6 5.4
+1
12.5
+1
0.9
-1
4 100 875
-1
84.3
-1
Swaziland 2.1
-1
5.9 7.9 21.3
-2

Togo 2.0 5.5 3.7
-1
21.4
-1
_
Uganda 2.3
-1
7.2 3.3
+1
13.3
+1
0.4 128 012 4.2
United Rep. of Tanzania 0.9 5.5 6.8
Zambia 1.8 5.2 1.4 25.8
-3
0.0
-2, a
3 840
-2, a
0.3
-2, a
Zimbabwe 3.8
-3
8.4 4.6
-8
** 16.6
-8
**
-n/+n = data refer to n years before or after reference year
* national estimate; ** UNESCO Institute for Statistics estimation; a = partial data; v = overestimated or based on overestimated data
Source: for expenditure on education and GERD: UNESCO Institute for Statistics; for military expenditure: World Bank, World Development Indicators, June 2010;
for health expenditure: WHO (2009) World Health Statistics
SJbS.|...r A|.|c.
28l
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
rellance on external flnanclal support, whlch often targets
short-term goals. As a result, the contlnent has falled to
lnvest ln sclence, technology and lnnovatlon (ST|) as
drlvers of economlc growth and long-term sustalnable
development (Mugabe and Amball, 2006). Thls ls evldent
ln Afrlca's low publlc expendlture on research and
development (GLPD) |Table l|. Countrles wlll need to
deslgn and lmplement pollcles, as well as create
lnstltutlonal arrangements, whlch promote the
development and appllcatlon of S&T to solvlng speclflc
problems related to each of the Mlllennlum Goals.
The need for change was acknowledged by the Malawl
Presldent 8lngu wa Mutharlka ln 1anuary 2007, at the
Afrlcan Unlon summlt ln Addls Ababa, Lthlopla. He
afflrmed that bulldlng S&T capaclty was the only sure way
to break the long-standlng cycle of extreme poverty that
has grlpped the Afrlcan contlnent for decades. 'we have
depended on donor countrles for sclentlflc development
for so long,' he noted. '|t ls tlme we commltted more
resources ln our natlonal budget to advance S&T.'
|n the past decade, a number of Afrlcan countrles have been
progresslvely enhanclng thelr S&T capaclty as a strategy for
extrlcatlng themselves from the grlps of poverty, hunger
and dlsease, and as a means of achlevlng lndustrlal
development and soclal transformatlon. Attempts have
been made by many Afrlcan governments to develop
natlonal ST| pollcles for thelr respectlve countrles. |n 2008
alone, l4 countrles formally requested UNLSCO's asslstance
wlth sclence pollcy revlews: 8enln, 8otswana, 8urundl,
Central Afrlcan Pepubllc, Cte d'|volre, Democratlc Pepubllc
of Congo, Madagascar, Malawl, Morocco, Senegal,
Swazlland, Togo, Zlmbabwe and Zambla.
Afrlcan countrles have begun to recognlze that, wlthout
lnvestment ln S&T, the contlnent wlll stay on the perlphery
of the global knowledge economy. A number of countrles
are taklng steps to establlsh a natlonal lnnovatlon system
ln an approach generally borrowed from the Organlsatlon
for Lconomlc Cooperatlon and Development (OLCD).
These efforts are most vlslble ln South Afrlca, where GLPD
as a percentage of GDP grew from 0.73% ln 200l to 0.94 ln
2006, accordlng to the UNLSCO |nstltute for Statlstlcs.
However, as we shall see ln the pages that follow, sub-
Saharan Afrlca stlll has a long way to go to reach the
eldorado of the knowledge economy, not only ln terms of
lnnovatlon but also as regards the other three plllars of
the knowledge economy: a sound economy and
lnstltutlonal reglme, an educated, creatlve populatlon
capable of utlllzlng knowledge effectlvely, and a dynamlc
lnformatlon lnfrastructure. Although GDP per caplta rose
ln most Afrlcan countrles between 2002 and 2008, lt
remalns low by world standards, wlth the notable
exceptlon of Angola and Lquatorlal Gulnea where a surge
ln oll exploltatlon ln recent years has led to a meteorlc rlse
ln natlonal lncome. Oll productlon and related actlvltles
contrlbute about 85% of GDP ln Angola and fuelled
growth averaglng more than l5% per year from 2004 to
2007, even lf GDP contracted ln 2009 (-0.6%) as a result of
the drop ln oll prlces and the global recesslon. |n
Lquatorlal Gulnea, the dlscovery of large oll reserves
caused GDP to bound by approxlmately 22% ln 2007 and
l2% the followlng year before falllng oll prlces plunged
the economy lnto a negatlve growth of about l.8% ln
2009 (C|A, 20l0). Thls example hlghllghts the need for oll-
rlch Afrlcan countrles to dlverslty thelr economles ln order
to lmprove thelr reslllence to fluctuatlng global oll
markets, a pollcy adopted by Nlgerla ln recent years
(see oe 309).
|n many Afrlcan countrles, subslstence agrlculture
occuples most of the populatlon, even though lt
contrlbutes a much smaller share to GDP. Subslstence
farmlng stlll predomlnates ln Angola, 8urundl, 8urklna
Paso and Lquatorlal Gulnea, for lnstance. Moreover, ln all
Afrlcan countrles south of the Sahara, enormous hurdles
remaln ln achlevlng more equltable access to both
educatlon and lnformatlon and communlcatlon
technologles (|CTs).
A| ||\||O|+ O| S| A|Ab|||||S
|| A|||A
Persistently low investment in STI
As we have seen ln Table l, P&D attracts less publlc
lnvestment ln sub-Saharan Afrlca than the mllltary, health
or educatlon sectors. Only South Afrlca ls approachlng the
target of a l% GLPD/GDP ratlo, the level recommended by
UNLSCO and, more recently, by the Afrlcan Unlon summlt
ln 1anuary 2007. Lven more worrlsome ls that many
countrles elther have no record of the share of GDP they
devote to P&D or slmply allocate no funds at all to P&D.
Thls ls most saddenlng for a contlnent deslrous to develop
ST|. All Afrlcan countrles would do well to take a leaf out
of South Afrlca's book.
education, as can be seen in the drop in the percentage
of girls between the secondary and tertiary levels of
education (Table 2). Empirical studies find a distinct
correlation between university enrollment rates and
growth in national income in many countries (Moyer,
2007, cited in Urama, 2009). Analyses show that attaining
full primary education for all, which has been the main
focus of government policies in many African countries,
may be necessary but is not sufficient in itself to drive
development in most countries. For example, Togo and
Madagascar have attained over 90% primary school
enrollment rates but this has not translated into higher
national income (Urama, 2009). University enrollment
rates in sub-Saharan Africa are among the lowest in the
world. Overall, the contribution of higher education in
Africa to gross national income is very low (Moyer, 2007;
Botman et al., 2009).
A more in-depth analysis provided by Moyer (2007,
cited in Urama, 2009) suggests that the relative cost of
higher education per student as a proportion of gross
national income is higher in Africa than in the developed
countries. This situation leaves African higher education
in a dilemma, as African governments are the primary
source of funding. Therefore, if higher education does not
significantly contribute to growth in national income, it is
most likely that governments will prioritize other
development challenges such as poverty alleviation,
climate change adaptation, water insecurity, peace and
so on (Urama, 2009). However, it should be noted that
investment in higher education has a long-term impact
on national development.
Challenges for higher education
Africa entered the Millennium with severe education
challenges at every level, as underlined in the African
Unions Plan of Action for the Second Decade of Education
for Africa (20062015). To cope with these challenges,
conferences of ministers of education have reiterated the
need to broaden access to education, improve quality and
relevance, and ensure equity. Specific challenges for
African higher education systems include:
I poorly equipped laboratories and overcrowded lecture
rooms;
I a need to adapt the higher education system to the
bachelorsmastersdoctorate triumvate, which is the
norm around the world;
282
An underexploited pool of human resources
Rising school rolls
At 62%, sub-Saharan Africa holds the unenviable world
record for the lowest adult literacy rate, followed closely
by South and West Asia, at 64%. Despite this low rate,
many countries have achieved steep rises in adult literacy
rates over the past decade, including some with the
farthest way to go; Burkina Faso and Chad, for example,
doubled and almost tripled their literacy rates respectively
between 1999 and 2007. Public expenditure on education
in sub-Saharan Africa rose from 3.5% of GNP in 1999 to
4.5% in 2007, placing it on a par with the mean for
developing countries but still behind the mean for
developed countries (5.3%). Public expenditure on
education as a percentage of total government
expenditure was actually higher in sub-Saharan Africa in
2007 (17.5%) than the mean for the developed world
(12.4%) [UNESCO, 2010a].
The picture is brightest for primary education, where
the sub-continent registered strong progress between
1999 and 2007. During a period in which the size of its
school-age population increased by 20 million, sub-
Saharan Africa reduced its out-of-school population by
almost 13 million, or 28%. The strength of the regions
progress can be gauged by a comparison with the
1990s: had the region progressed at the same pace as in
the 1990s, 18 million more children would be out of
school today. Nevertheless, one-quarter of sub-Saharan
Africas primary school-age children were still out of
school in 2007 and the region accounted for nearly 45%
of the worlds entire out-of-school population. Progress
in the region has been uneven. Some countries with
large out-of-school populations in 1999 have made
great strides, including Ethiopia, Kenya, Mozambique,
Tanzania and Zambia. Countries making only limited
progress include Liberia, Malawi and Nigeria
(UNESCO, 2010a).
Despite commitment to international treaties and
declarations by most countries south of the Sahara,
access to secondary and tertiary education in sub-
Saharan Africa remains limited to a minority, with one-
quarter of countries showing gross enrollment rates of no
more than 26% for secondary education and just under
4% for university enrollment in 2008. Holding many
countries back is the substantial gender gap, with
schooling often remaining the privilege of boys. Gender
disparities in primary education increase with the level of
SJbS.|...r A|.|c.
283
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
Table 2: Lducatlon ln sub-Saharan Afrlca, 2008
5electeJ countt|es
Secondary education Tertiary education
Female students in
Gross Gross Enrollment in S&E fields as a Adult
enrollment Female enrollment Female S&E fields % of total enrollment literacy
Country ratio students (%) ratio (%) students (%) % of total in S&E fields rate (%)``
Angola l7.3``
, -6
45.7``
, -6
2.8
-2
39.9`
, -6
l8.3
-6
- 69.6
8enln 36.3``
, -3
35.4``
, -3
5.8
-2
l9.8``
, -7
- - 40.8
8otswana 80.2
-2
5l.l-2 7.6
-2
53.2
-2
- - 83.3
8urklna Paso l9.8
+l
4l.9
+l
3.4
+l
32.l
+l
l5.3
+l
l2.9
+l
28.7
-l
8urundl l7.9`` 4l.4`` 2.7
+l
30.5``
, -2
9.6
-6
l3.l
-6
65.9
Cameroon 37.3 44.l 9.0
+l
43.9
+l
2l.8
+l
- 75.9
Cape verde 67.7
-4
52.2
-4
ll.9 55.5 l6.2 30.8 84.l
Central Afrlcan Pep. l3.6
+l
36.2
+l
2.5
+l
30.5
+l
l2.3
+l
- 54.6
Chad l9.0
-l
30.8
-l
l.9 l2.7 - - 32.7
Comoros 45.8``
, -3
42.5``
, -3
2.7``
, -4
43.2``
, -4
l0.7
-5
27.3
-5
73.6
Congo 43.l``
, -4
46.0``
, -4
3.9``
, -5
l5.8``
, -5
ll.l
-6
l5.5
-6
-
Cte d'|volre 26.3``
, -6
35.6``
, -6
8.4
-l
33.3
-l
23.9
-l
l6.2
-l
54.6
Dem. Pep. of Congo 34.8` 35.5` 5.0 25.9`
, -l
- - 66.6
Lquatorlal Gulnea 26.2``
, -6
36.4``
, -6
3.3
-8
30.3
-8
- - 93.0
Lrltrea 30.5`` 4l.5`` 2.0
+l
24.5
+l
37.0
+l
l9.7
+l
65.3
Lthlopla 33.4 4l.9 3.6 23.8 l4.4 l8.9 35.9
Gabon 53.l``
, -6
46.3``
, -8
7.l
-9
35.7
-9
- - 87.0
Ghana 55.2 45.9 6.2
-l
34.2
-l
- - 65.8
Gulnea 35.8 36.2 9.2 24.4 28.7 l9.6 38.0
Gulnea-8lssau 35.9
-2
35.4
-8
2.9
-2
l5.6``
, -7
- - 5l.0
Kenya 58.3 47.6 4.l
+l
4l.2
+l
29.l
-7
l8.3
-7
86.5
Lesotho 39.9``
, -l
56.8``
, -l
3.6
-2
55.2
-2
23.9
-3
53.7
-3
89.5
Llberla 3l.6 42.9 l7.4
-8
42.8
-8
ll.2
-8
4l.7
-8
58.l
Madagascar 30.l 48.6 3.4 47.2 l8.9 26.7 70.7
Malawl 29.4 45.6 0.5
-l
33.6
-l
32.7
-9
- 72.8
Mall 38.3
+l
39.0
+l
5.5
+l
28.9
+l
9.9
+l
l3.3
+l
26.2
-2
Maurltlus 87.2``,
+l
49.8``
, +l
25.9`` 53.3`` - - 87.5
Mozamblque 20.6 42.8 l.5
-3
33.l
-3
23.8
-3
l6.l
-3
54.0
Namlbla 65.8 53.8 8.9 56.8 l2.4 43.2 88.2
Nlger ll.6
+l
37.9
+l
l.4
+l
29.0
+l
l0.l l0.2 -
Nlgerla 30.5
-l
43.0
-l
l0.l
-3
40.7
-3
- - 60.l
Pwanda 2l.9 47.8 4.0 39.0``
, -3
- - 70.3
Sao Tome and Prlnclpe 5l.3
+l
52.2
+l
4.l
+l
47.6
+l
- - 88.3
Senegal 30.6 44.3 8.0` 35.3` - - 4l.9
-2
Slerra Leone 34.6
-l
4l.0
-l
2.0``
, -6
28.8``
, -6
7.7
-7
27.l
-7
39.8
Somalla 7.7``
, -l
3l.5``
, -l
- - - - -
South Afrlca 95.l``
, -l
5l.0
``, -l
- - - - 89.0
Swazlland 53.3
-l
47.l
-l
4.4
-2
49.8
-2
8.8
-2
26.7
-2
86.5
Togo 4l.3
-l
34.6``
, -l
5.3
-l
- - - 64.9
Uganda 25.3 45.7 3.7 44.3 l0.5-
4
20.5
-4
74.6
Unlted Pep. Tanzanla 6.l``
, -9
44.8``
, -9
l.5
-l
32.3
-l
24.2``
-3
l9.2``
-3
72.6
Zambla 45.6 45.2 2.4``
, -8
3l.6``
, -8
- - 70.7
Zlmbabwe 4l.0
-2
48.l
-2
3.8``
, -5
38.8``
, -5
- - 9l.4
-n: data refer to n years before reference year ` Natlonal estlmate `ÙNLSCO |nstltute for Statlstlcs estlmatlon
.
5outce: UNLSCO |nstltute for Statlstlcs
|||SO S|||| |||O| 2010
284
I excesslve bureaucracy ln management procedures,
together wlth frequent strlkes by students, teachers,
researchers or admlnlstratlve staff, among others,
whlch conslderably hamper the stablllty and
performance of lnstltutlons,
I a lack of llnkages between academlc research and
lnnovatlon, hamperlng soclo-economlc progress.
A small pool of researchers
Table 3 shows that Nlgerla counted the greatest number
of researchers ln Afrlca ln 2005. However, when the
number of researchers ls assessed per mllllon lnhabltants,
Nlgerla sllps to flfth place behlnd 8otswana, South Afrlca,
Senegal and Gulnea. The percentage of women
researchers across the contlnent remalns low, as does the
number of sclentlsts and technlclans per mllllon
I the fact that women are not only much less represented
than men ln tertlary educatlon but are also often conflned
to so-called 'femlnlne' flelds, such as the soclal sclences,
humanltles, servlces and health-related courses, whlch do
not boost thelr chances of equal [ob opportunltles wlth
men. what men and women choose to study ls a key lssue
ln the debate about gender equallty,
I an lnadequatlon and fragmentatlon of currlcula and
research programmes,
I the lack of a 'culture' of evaluatlon for teachers,
researchers and programmes,
I a lack of co-operatlon and partnershlps wlth other
lnstltutlons at natlonal, sub-reglonal, reglonal and
lnternatlonal levels ,
Table 3: Pesearchers ln sub-Saharan Afrlca, 2007 or most recent year avallable
5electeJ countt|es
Total Share of Researchers Technicians Researchers by sector (FTE)
number of women per million per million
researchers researchers inhabitants inhabitants Business Higher Private
Country (FTE) (%) (FTE) (FTE) enterprises Government education non-profit
8enln l 000` - ll9` - - - - -
8otswana
-2,h
l 732` 30.8 942 222 l59` 692` 859` 22`
8urklna Paso
a,h
l87 l3.4 l3 27 - l65
b
l
b
l5
b
Cameroon
-2,a,h
462 l9.0 26 - - 462 - -
Cape verde
-5
60 52.3 l32 33 - - - -
Central Afrlcan Pep.
a,h
4l 4l.5 l0 - - - 4l -
Congo, Pep.
-5,a
l02 l2.8
P
34 37 - - - -
Cte d'|volre
-2,a
l 269 l6.5 66 - - 29 l 240 -
Dem. Pep. of Congo
-2,h
l0 4ll - l76 26 - 877 9 534 -
Lthlopla
a
l 6l5 7.4 2l l2 - l 36l 254 -
Gabon
-l,a,h
l50 24.7 l07 30 - l50 - -
Gambla
-2,a,h
46 8.7 30 l8 - - - -
Gulnea
-7,a,h
2 ll7 5.8 253 92 - l 096 l 02l -
Lesotho
-3,a
20 55.7 l0 ll - ll 9 -
Madagascar
a
937 35.2 50 l5 - 262 675 -
Mall
-l,a
5l3 l2.l 42 l3 - 227 286 -
Mozamblque
-l,a,h
337 33.5 l6 35 - 337 - -
Nlger
-2,a
l0l - 8 l0 - - - -
Nlgerla
-2,a,h
28 533 l7.0 203 77 - l 05l 27 482 -
Senegal
a
3 277` 9.9` 276` - - 4l8` 2 859` -
Seychelles
-2,a
l3 35.7 l57 640 - 8 - 5
South Afrlca
-l
l8 574 39.7 382 l30 6 lll 2 768 9 49l 204
Togo 2l6 l2.0 34 l7 - 26 l90 -
Uganda
h
89l 4l.0 29 l8 7l 473 32l 26
Zambla
-2,a
792 27.4 67 l06 4 565 l46 77
` natlonal estlmate, a partlal data, b the sum of the breakdown does not add up to the total, h for these countrles, data are only avallable for headcount,
P full-tlme equlvalent (PTL) lnstead of headcount
5outce: UNLSCO |nstltute for Statlstlcs
SJbS.|...r A|.|c.
285
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
lnhabltants. Also worrlsome ls the dearth of researchers
employed ln the buslness and prlvate non-proflt sectors.
Low scientific productivity in all but a handful of
countries
South Africa dominates scientific publishing
Sub-Saharan Afrlca produced [ust ll l42 sclentlflc artlcles ln
2008. |ts share of the world's output has rlsen, however,
slnce 2002 from 0.9% to l.l% (see oe l0). wlthln the sub-
contlnent, South Afrlca produced almost half (46.4%) of the
total, followed by Nlgerla (ll.4%) and Kenya (6.6%)
|Plgure 2|. |n other words, these three countrles alone
produce two-thlrds of the sub-contlnent's sclentlflc artlcles,
a reflectlon of thelr relatlvely sophlstlcated level of P&D.
Most Afrlcan countrles were unable to produce
l00 publlcatlons ln the natural sclences ln 2008.
Accordlng to 8ernardes et ol. (2003), these flgures are well
below the theoretlcal threshold that would trlgger a
vlrtuous lnteractlon between S&T. Thls threshold was ln
the nelghbourhood of l50 papers per mllllon populatlon
ln l998 and has slnce rlsen. Of some comfort ls the
conslstent, lf modest, progresslon across the reglon ln the
number of sclentlflc papers recorded ln Thomson Peuters,
Sclence Cltatlon |ndex. Moreover, the language barrler
may be hamperlng the vlslblllty of sclentlflc research from
Prench- and Portuguese-speaklng Afrlcan countrles ln
lnternatlonal databases, even though many other factors
also come lnto play. See, for example, the case of Mall
(see oe 307).
Afrlcan sclentlsts publlsh mostly ln the flelds of cllnlcal
medlclne, blology and blomedlcal research, followed by
Larth and space sclence (Plgure 3). |n Kenya, the llfe
sclences represented as much as 93% of sclentlflc artlcles
ln 2008, compared to [ust 4% for Larth and space sclences.
|n Nlgerla, 84% of publlshed artlcles concerned the llfe
sclences, compared to 6% for englneerlng and technology
and 5% for Larth and space sclences. South Afrlca, on the
other hand, has a more dlverslfled research system.
Although two-thlrds of South Afrlcan publlcatlons relate
to the llfe sclences, the remalnder of artlcles are falrly
evenly spread among the other ma[or flelds of sclence,
lncludlng chemlstry, mathematlcs and physlcs.
Utility patents dominate intellectual property earnings
Table 4 shows the number of patents awarded to Afrlcan
lnventors by the Unlted States Patents and Trademark
Offlce (USPTO) durlng 2005-2009. The contlnent
produced 706 patents durlng thls perlod, compared to
633 ln 2000-2004 (Pourls and Pourls, 2009). |t ls
lnterestlng to note that, lf the contlnent produces 2.0% of
the world's knowledge, as manlfested ln research
publlcatlons, lt produces less than 0.l% of the world's
lnventlons. 8etween 2005 and 2009, South Afrlca
produced two-thlrds of the contlnent's utlllty patents
(65%) but 87% of USPTO patents, a share comparable to
that for 2000-2004 (88% of the total).
|A|O|A| S|A|||S |O|
||\||O||| |||O|O|A|
||S|O|S|b|||+ || A|||A
Strengthenlng ST| development ln Afrlca wlll requlre a shlft
from the buslness-as-usual approach to a more proactlve
and engaglng culture of technologlcal responslblllty. An
abundance of natural resources and low-cost labour do not
necessarlly constltute ln themselves declslve comparatlve
advantages for the contlnent, as the parameters of
lnternatlonal competltlveness are lncreaslngly S&T- based.
Afrlcan countrles must lmprove thelr competltlveness not
by relylng on low labour costs but rather by lmprovlng thelr
technlcal capaclty. Accordlng to UNLCA (2005) - the source
of lnsplratlon for many of the recommendatlons that follow
-what Afrlca needs ls nothlng less than leadershlp and
democratlzatlon. |f we are golng to moblllze S&T for
sustalnable development, all key stakeholders must be
lnvolved ln both pollcy formulatlon and lmplementatlon.
Thls ls the way to avold academlc and elltlst pollcles and to
deflne and strengthen the role of publlc lnstltutlons,
lnternatlonal partners, unlversltles, non-governmental
organlzatlons (NGOs), women's organlzatlons, clvll soclety
and the prlvate sector. Thls ls also the way to ensure that
pollcles are tallored prlmarlly to meet the speclflc needs of
end-users and cllents.
Improving governance
Today, ln many Afrlcan countrles, there ls a lack of stable
polltlcal leadershlp capable of provldlng a clear vlslon and
ob[ectlves for ST|. The frequency of cablnet reshuffles ln
many countrles results ln lnstablllty among top offlclals ln
the mlnlstrles responslble for S&T, ln turn leadlng to
shlftlng prlorltles and dlsturbances ln programme
executlon. Thls results ln weak strategles for lnnovatlon
and technology transfer, whlch ln turn foster lnadequate
hlgher educatlon and research systems wlth llttle
lnnovatlve or lnventlve potentlal. Thls crltlcal
|||SO S|||| |||O| 2010
286
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre des
sclences et des technologles, May 20l0
0
1 000
2 000
3 000
4 000
5 000
3 241
2000 2001 2002 2003 2004 2005 2006 2007 2008
723
465
208
201
172
142
1 869
763
463
376
364
354
5 248
South Africa
Nigeria
Kenya
Cameroon
Tanzania
Ethiopia
Uganda
2000 2001 2002 2003 2004 2005 2006 2007 2008
Ghana
Senegal
Zimbabwe
Burkina Faso
Cte dIvoire
Malawi
Benin
Madagascar
Botswana
Zambia
100
200
300
188
267
211
194
179
171
161
153
141
138
121
165
153
129
103
92
69
64
61
Figure 2: Sclentlflc publlcatlons ln sub-Saharan Afrlca, 2000-2008
lot those countt|es thot toJuceJ mote thon 100 uol|cot|ons |n 2008
7o 7 countt|es |n tetms ol toJuct|v|ty
Next 10 most tol|l|c countt|es
SJbS.|...r A|.|c.
287
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
phenomenon requlres a clear understandlng by the head
of state and/or prlme mlnlster of the need for a strong,
transparent ST| pollcy owned by all stakeholders and fully
artlculated wlth the natlonal soclo-economlc
development plan. |n thls regard, the ldea of presldentlal
fora put forward by the late Professor Thomas Odhlambo
ls worthy of conslderatlon.
|nstltutlons responslble for pollcy-maklng and
development are weak ln many Afrlcan countrles,
partlcularly the smaller ones. Countrles such as Angola,
Chad, the Democratlc Pepubllc of Congo, D[lboutl, Lrltrea,
Gabon, Gambla, Maurltanla, Llberla, Slerra Leone and
Swazlland, among others, could beneflt from programmes
that bulld lnstltutlonal capaclty ln S&T pollcy formulatlon
and lmplementatlon. ST| pollcy and operatlonal lnstltutlons
created ln the l960s and l970s wlth the ald of the Unlted
Natlons Lconomlc Commlsslon for Afrlca (UNLCA) need to
be revlewed ln llght of the new challenges posed by
globallzatlon and technologlcal lnnovatlon.
Current macro-economlc pollcles and programmes also
tend to allocate too many resources to large publlc
enterprlses concentrated mostly ln urban areas, thereby
dlscrlmlnatlng agalnst small and medlum-slzed
enterprlses. Lven where pollcles deslgned to reallze
development goals are ln place, experlence shows that
most Afrlcan governments flnd lt dlfflcult to lmplement
them for reasons that lnclude lack of flnance, lack of
transparency, lnadequate human resources and an undue
polltlclzatlon of lssues. |n a vlclous clrcle, low lnvestment
ln educatlon and P&D ln both the publlc and prlvate
sectors has led to a penury of quallfled personnel, erodlng
the quallty of sclence and englneerlng educatlon at all
levels. worse stlll, the lnfrastructure for P&D has been
neglected and ls decaylng. Unlversltles and research
lnstltutlons are thus hard-pressed to acqulre state-of-the-
art facllltles to conduct baslc research, forclng them to
depend on forelgn lnstltutlons.
To strengthen Afrlca's technologlcal reglme wlll requlre
strong polltlcal leadershlp and a better lntegratlon of
cross-cuttlng ST| pollcles wlth overall development
pollcles, lncludlng economlc, flnanclal, budgetary, flscal,
labour, agrlcultural, lndustrlal and mlcro-enterprlse
development. Thls has far-reachlng consequences for
pollcy-maklng, as lt lmplles that S&T should move from
the perlphery to the centre of the development pollcy
processes and pervade all relevant pollcy areas, lmpactlng
on the development and utlllzatlon of S&T. Success ln thls
reallgnment and 'recenterlng' requlres strong polltlcal
commltment vls-a-vls S&T and the full engagement of the
S&T communlty. Thls recenterlng may be facllltated by the
settlng-up or strengthenlng of parllamentary commlttees
on S&T. Such commlttees are already ln exlstence ln a
number of Afrlcan countrles, lncludlng Kenya, Nlgerla,
South Afrlca and Uganda. The Afrlcan Mlnlsterlal
Conference on Sclence and Technology (AMCOST) has
also set up lts own parllamentary commlttee. Pecenterlng
S&T may also be facllltated by the appolntment of hlgh-
proflle, credlble and respected S&T advlsors to the
presldent, as ln Nlgerla, for example (see oe 309). The
creatlon of lnterdepartmental S&T fora comprlslng focal
polnts from varlous mlnlstrles and government
lnstltutlons deallng wlth S&T lssues may also be useful ln
'demonopollzlng' S&T responslbllltles and ln brlnglng S&T
lssues to the heart of the development pollcy process.
Ensuring reliable data and indicators
Also hamperlng the elaboratlon of effectlve ST| pollcles ln
Afrlca ls the lack of up-to-date, rellable data and lndlcators
on the current status of S&T, mostly due to the absence of
tralned experts and organlzatlonal dlfflcultles. Afrlcan
lnstltutlons, mlnlstrles and organlzatlons have not yet
adopted a culture of record-keeplng and data banks. Thls
ls a serlous lssue of concern whlch our governments and
lnstltutlons need to address urgently as a key dellverable
ln the process of reallzlng thelr development goals.
One of the ob[ectlves of Alt|cos 5c|ence onJ 7echnoloy
Consol|JoteJ Plon ol Act|on ls to remedy thls sltuatlon (see
oe 297).
Afrlcan economles also need to adopt new lndlcators to
evaluate skllls and competencles acqulred ln tradltlonal
sectors and assess thelr ablllty to promote llnkages
between actors ln the adoptlon and absorptlon of new
technologles.
Grouping STI programmes into a single national system
To ensure the successful lmplementatlon of ST|
programmes and actlvltles ln dlfferent countrles of Afrlca,
there ls a need for proper co-ordlnatlon and lntegratlon of
programmes and actlvltles ln the lnnovatlon system lnto
all natlonal soclo-economlc plannlng lssues. Presently,
co-ordlnatlon of ST| programmes and actlvltles seems to
fall wlthln the purvlew of the sole mlnlstrles of sclence
and technology. whlle lt ls proposed that these mlnlstrles
contlnue to serve as the maln sclentlflc advlsory
|||SO S|||| |||O| 2010
288
0 20 40 60 80 100
153
138
179
463
171
364
267
763
141
161
1 869
211
5 248
354
376
121
194
Total (2008)
45.8 13.7 1.3 25.5 5.9 2.6 5.2
21.0 12.3 14.5 17.4 18.1 7.2 3.6 5.8
25.7 12.1 6.9 23.5 9.7 5.6 4.1 12.3
40.4 14.2 2.1 29.1 6.4 5.0 2.1
42.7 5.8 5.8 2.3 21.1 11.7 8.8
34.3 12.4 4.1 2.5 29.7 12.1 3.0
35.6 11.6 3.0 27.7 18.0 2.2
37.7 4.3 37.7 18.1 1.0
58.4 5.0 1.9 17.4 16.8
37.5 5.1 5.8 19.6 26.3 2.8
37.4 9.0 3.8 5.7 4.3 17.1 16.6 6.2
27.7 9.9 8.9 4.3 6.1 22.2 13.1 7.8
61.6 3.1 12.1 0.8 19.5
51.3 2.9 8.0 26.1 10.9 0.3
72.7 3.3 8.3 13.2
38.1 11.9 13.9 0.5 30.4
41.3 4.5 2.2 14.5 2.8 31.8
Earth & space Engineering & technology Mathematics Physics
Biology Biomedical research Chemistry Clinical medicine
Benin
Botswana
Burkina Faso
Cameroon
Cte d'Ivoire
Ethiopia
Ghana
Kenya
Madagascar
Malawi
Nigeria
Senegal
South Africa
Uganda
United Republic
of Tanzania
Zambia
Zimbabwe
des sclences et des technologles, May 20l0
Figure 3: Publlcatlons ln sub-Saharan Afrlca by ma[or fleld of sclence, 2008 (%)
lot those countt|es wh|ch toJuceJ mote thon 100 uol|cot|ons |n 2008
SJbS.|...r A|.|c.
289
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
commlttee for successful lmplementatlon of ST| pollcy,
there ls an urgent need to begln weavlng all ST|
programmes and actlvltles lnto a slngle natlonal system.
Thls wlll brlng together exlstlng capabllltles and help to
avold wastage of resources and dupllcatlon of effort,
whlle encouraglng lnteractlon and llnkages.
Improving infrastructure and capacity to develop
innovative solutions
Afrlca's sustalnable development wlll depend more and
more on lts capaclty to flnd lnnovatlve solutlons to lts
partlcular problems, lncludlng ln the area of food
productlon, and lts capaclty to produce and market
competltlve, lnnovatlve products and servlces. |n thls regard,
pollcles need to be put ln place to develop natlonal
lnnovatlon systems by fllllng exlstlng gaps and
strengthenlng lnteractlon between crltlcal elements of the
system. Lntrepreneurlal capacltles should be relnforced,
lnter-flrm partnershlps should be encouraged and llnkages
between the publlc and prlvate sectors strengthened. Thls
new technologlcal reglme calls for speclal attentlon to be
pald to such key areas as agrlculture, lndustry, energy and
water. |n these areas, the generatlon of new knowledge, the
development of new technologles and the promotlon of
lnnovatlon are cruclal to achlevlng food securlty, dlverslfylng
manufactured products, reduclng poverty and protectlng
the envlronment and the natural resources base.
|n thls regard, UNLCA and UNLSCO both support the
commltment by the New Partnershlp for Afrlca's
Development (NLPAD) to create sub-reglonal centres and
networks of excellence for hlgher educatlon and research,
wlth a vlew to promotlng S&T ln nlche areas of hlgh
prlorlty for sustalnable development.
Nor should Afrlcan countrles underestlmate the potentlal
of South-South co-operatlon for developlng these nlche
areas. 8razll, Chlna, Lgypt, |ndla and Mexlco have all
developed world-class research lnstltutlons ln recent years
and are lncreaslngly lnvolved ln South-South co-operatlon.
One recent example concerns the development of blofuels
ln Sudan ln co-operatlon wlth 8razll and Lgypt (8ox l).
Table 4: Patents awarded to Afrlcan lnventors by USPTO, 2005-2009
2005 2006 2007 2008 2009 Total
Sub-Saharan Africa:
8enln l l
8urklna Paso l l
Cameroon l l 2
Chad l l
Lthlopla l l
Gabon l l
Ghana l l
Kenya 9 l 3 l 4 7 24 l
Maurltlus l l
Namlbla l l
Seychelles 2 l 3
South Afrlca 87 l6 5 l09 l3 5 82 30 3 9l 32 l 93 39 6 l 462 l30 20 l
Zlmbabwe l l l 4 7
Arab states in Africa:
Algerla l l
Lgypt 7 4 l2 2 3 28
Morocco l 3 l 4 l 2 l0 2
Tunlsla l 2 2 5
Note: The country of orlgln ls determlned by the resldence of the flrst-named lnventor. Utlllty patents are for new lnventlons.
5outce: data from Unlted States Patents and Trademark Offlce
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
U
t
l
l
l
t
y
D
e
s
l
g
n
P
l
a
n
t
P
e
l
s
s
u
e
Strengthening the relationship between academia,
government and industry
|n most Afrlcan countrles, there ls very llttle lnteractlon
between unlversltles and lndustry, and very few unlversltles
ln the reglon conduct research and tralnlng programmes
pertlnent to lndustrlal needs. Thls shortcomlng ls coupled
wlth a mlsmatch between P&D actlvltles and natlonal
strategles and goals for lndustrlal development. As a result,
local lndustrles lack access to research flndlngs from publlc
research lnstltutlons, partlcularly small and medlum-slzed
enterprlses. |t ls common knowledge that the blggest
obstacle to the development of technologlcal enterprlses ln
sub-Saharan Afrlca ls not the lack of resources but thelr
lsolatlon. Current S&T pollcles emphaslze P&D lnput,
forgettlng that lnnovatlon does not sprlng from an
aggregatlon of dlfferent forms of technologlcal
lnfrastructure but rather from the quallty of the
organlzatlon and the clrculatlon of avallable resources.
The Afrlca Commlsslon Peport (2009) concluded that Afrlcan
unlversltles were lnsufflclently geared to meetlng the needs
of lndustry. The report malntalned that graduates often
struggled to flnd employment, whlle many small buslnesses
lacked staff wlth the educatlon and skllls needed to drlve
lnnovatlon. Lssentlally, the relatlonshlp between the
demands of the prlvate sector and what unlversltles teach ls
too weak. The lsolatlon of researchers and P&D lnstltutlons ls
clted by many Afrlcan scholars as belng one reason for the
weak performance ln bulldlng technologlcal capabllltles.
The lack of llnkages between the needs of enterprlses,
communltles and P&D lnstltutlons ls a real problem for the
development of lnnovatlon. Desplte the concentratlon of
P&D ln some flelds llke agrlculture and medlclne,
communlty servlces remaln a perlpheral appendage to the
unlverslty system ln most Afrlcan countrles.
To brldge the gap between sclentlsts, technologlsts and
lndustrlallsts, Afrlcan governments should encourage and
support the establlshment of lnterdlsclpllnary research
and tralnlng centres wlthln unlversltles ln those areas of
S&T most relevant to the development of local lndustry.
|n partlcular, greater lmportance should be glven to the
development of strong llnkages between englneerlng
lnstltutlons, small-scale lndustrles and the agrlculture
sector wlth the prlnclpal alm of produclng slmple, modern
tools and equlpment requlred by farmers to lncrease thelr
productlvlty and efflclency (8ox 2).
Small research and tralnlng unlts should also be formed and
strengthened ln areas of cuttlng-edge technologles relevant
to lndustry, such as lasers, flbre optlcs, composlte materlals,
pharmaceutlcals, flne chemlcals and blotechnology. These
centres should operate as a [olnt venture between unlversltles
and lndustry and should be run by a common board
lnvolvlng hlgh-level lndlgenous lndustrlallsts and academlcs.
Purthermore, to strengthen the llnkages between research
lnstltutlons and lndustry, quallfled staff and postgraduate
students ln these lnstltutlons should be encouraged to
undertake speclflc development pro[ects ln lndustry.
Protecting Africas intellectual and biodiversity capital
Harnesslng S&T for sustalnable development requlres the
protectlon of lntellectual capltal and access to technology,
whlch are governed by a number of complex lnternatlonal
agreements. These lnclude the Conventlon on 8lodlverslty
(l992), whlch, ln Artlcle 8, recognlzes expllcltly the
lmportance of tradltlonal knowledge and creates a
framework for ensurlng that local people share ln the
beneflts arlslng from the approprlatlon and use of such
knowledge and the blologlcal resources of thelr
envlronment. Plant breeder's rlghts and farmer's rlghts are
|||SO S|||| |||O| 2010
290
Box 1: South-South co-operatlon on blofuels: the case of Sudan
|r 'Jro 2009, SJJ.r |r.JJ..toJ |ts
||.st b|c|Jo| p|.rt. |r t|o roxt t.c
yo..s, t|o p|.rt |s oxpoctoJ tc
p.cJJco 200 n||||cr ||t.os c| ot|.rc|
|.cn sJ..c.ro. |o p|.rt ..s bJ||t |r
cccpo..t|cr .|t| t|o b...|||.r
ccnp.ry |oJ|r|, J...|r cr t|o
|crst.rJ|r oxpo.|orco c| b...|| |r
t|o ..o. c| b|c|Jo|s.
|np.ct cr bct| t|o orv|.crnort .rJ
|ccJ socJ.|ty. by J|vo.t|r ..|cJ|tJ..|
..sto tc...Js t|o p.cJJct|cr c|
ot|.rc|, t|o ..sto Jcos rct rooJ tc bo
bJ.roJ, t|o.oby .oJJc|r pc||Jt|cr.
|o Jso c| ..|cJ|tJ..| ..sto .|sc
.vc|Js s.c.|||c|r |ccJ sJpp||os tc
oro.y p.cJJct|cr.
5outce: authors
Arct|o. n.c. p.coct |c. t|o
Jovo|cpnort c| b|c|Jo|s |r SJJ.r |s
bo|r c...|oJ cJt |r cc||.bc..t|cr .|t|
|ypt. At . ccst c| |S, 150 n||||cr, |t |s
p.cJJc|r soccrJoro..t|cr b|c|Jo|s
|.cn rcroJ|b|o c.cps, |rc|JJ|r
..|cJ|tJ..| ..sto sJc| .s .|co st...,
c.cp st.|ks .rJ |o.vos. ||s |s p.cv|r tc
bo . ccJ st..toy, .s |t |.s . pcs|t|vo
SJbS.|...r A|.|c.
29l
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
Box 2: Songhal: an agrlcultural centre of excellence
Scr|.| |s .r oxpo.|nort.| |..n
|cJrJoJ |r |c.tc |cvc |r bor|r |r
1985 by |cn|r|c.r |.t|o. |. cJ|.oy
|..nJc. |o .|n c| t||s |O |s tc
Jovo|cp sJst.|r.b|o, |rto..toJ
..|cJ|tJ.o tc ..|so t|o pcpJ|.t|crs
st.rJ..J c| ||v|r. |r .JJ|t|cr tc
p..ct|c|r .r|n.| |Jsb.rJ.y, c.cp
.c.|r .rJ .,J.cJ|tJ.o, t|o |..n
ccrJJcts ..|cJ|tJ..| .oso..c| .rJ
oxpo.|norts .|t| .oro..b|o oro.|os.
Scr|.| .|sc J|sporsos t..|r|r .rJ
t|o |o|t. St.to c| ||o.|. |r 2002.
|r 2008, Scr|.| ..s Joc|..oJ .
.o|cr.| cort.o c| oxco||orco by t|o
|r|toJ |.t|crs .rJ, t|o |c||c.|r yo..,
by t|o |ccrcn|c cnnJr|ty c| \ost
A|.|c.r St.tos. \|t| t|o sJppc.t c| t|o
|r|toJ |.t|crs, . |o|cr.| |.coct |c.
t|o |ovo|cpnort c| A.|cJ|tJ..|
|rt.op.oroJ.s||p ..s |.Jrc|oJ |r
A|.|c. |r 2008.
5outce: www.songhal.org
p.cv|Jos t|o |cc.| pcpJ|.t|cr .|t|
so.v|cos tc n.ko t|o|. ||vos o.s|o.. |c.
|rst.rco, |t n.rJ|.ctJ.os .rJ n.|rt.|rs
..|cJ|tJ..| n.c||ros t|.t ..o .o||
.J.ptoJ tc |cc.| ccrJ|t|crs .rJ |oss
ccst|y t|.r |npc.toJ ncJo|s. |o |..n
so||s |ts c.r p.cJJco cr s|to tc o..r
.ovorJo .rJ p.cv|Jo t|o |cc.|
pcpJ|.t|cr .|t| |.os| p.cJJco.
A|to. ||o.|.r c|||c|.|s v|s|toJ t|o
oxpo.|nort.| |..n, . cort.o ncJo||oJ
cr Scr|.| ..s c.o.toJ |r AnJkpo |r
equally recognlzed ln the Conventlon. These resources are
of great lmportance for Afrlca's sustalnable development
and they must recelve adequate attentlon. Plant varletles,
whlch are protected by the |nternatlonal Conventlon for
the Protectlon of New varletles of Plants (UPOv) and the
|nternatlonal Undertaklng on Plant Genetlc Pesources
(|UPGP), constltute unlque lnstruments through whlch
Afrlca can strengthen lts capaclty ln S&T (UNLCA, 2005).
|n thls regard, the declslon by the focal polnts of Mlnlsters
of the Afrlcan Agency of 8lotechnology to dlssolve thls
lnstltutlon ln Aprll 2008 ls most unfortunate.
The Model Law adopted by the Afrlcan Unlon ln 2000 for the
Protectlon of the Plghts of Local Communltles, Parmers and
8reeders and for the Pegulatlon of Access to 8lologlcal
Pesources
2
establlshed a framework for natlonal laws to
regulate access to genetlc resources. Although the Model
Law has been severely crltlclzed for puttlng Afrlcan countrles
on the defenslve and for belng too complex and
cumbersome for countrles at an early stage of development,
lt can be a useful resource for reposltlonlng Afrlca ln ST|
development and for protectlng the lndlgenous knowledge,
technologlcal know-how and blologlcal resources of Afrlcan
countrles. Thls ls an lmportant pollcy area for the Afrlcan
Unlon to explore, ln collaboratlon wlth other partners, such
as the world |ntellectual Property Organlzatlon, Afrlcan
Peglonal |ntellectual Property Organlzatlon
3
and the
Oton|sot|on olt|co|ne Je lo tot|ete |ntellectuelle.
4
Of note ls that the Afrlcan heads of state formally adopted
the Pan-Afrlcan |ntellectual Property Organlzatlon ln
1anuary 2007 at the Afrlcan Unlon summlt ln Addls Ababa,
Lthlopla. |t wlll serve as a co-ordlnatlng body rather than as
an offlce for the reglstratlon of lntellectual property. At the
tlme of wrltlng, the Pan-Afrlcan |ntellectual Property
Organlzatlon had not yet materlallsed, although lt was on
the agenda of the AMCOST meetlng ln Calro ln March 20l0.
An urgent need for ICT development
One factor contrlbutlng to the lsolatlon of Afrlcan sclentlsts ls
the communlcatlon barrler caused by the lack of
lnfrastructure ln telecommunlcatlons and the llmlted access
to |CTs. |CTs are now also one of the most lmportant assets for
enterprlses wlshlng to compete ln world markets and,
therefore, one of the maln drlvers of lncluslon ln the 'global
vlllage'. |CTs provlde the maln medlum for the transfer of
lnformatlon and knowledge. Most technologlcally advanced
countrles are maklng masslve lnvestments ln these
technologles. Publlc lnfrastructure can no longer be
concelved only ln the tradltlonal terms of roads, rallways,
power, ports and alrports. The avallablllty of fast, affordable
and rellable connectlons to the |nternet and development of
moblle telephones are some of the new technologlcal
lnfrastructure that Afrlcan countrles need to put ln place ln
order to become competltlve and remaln so. |nvestment ln
these technologles ls cruclal to glve companles a global reach
and enable them to conduct efflclent buslness transactlons.
2. See: www.graln.org/brl_flles/oau-model-law-en.pdf
3. AP|PO ls an lntergovernmental organlzatlon founded ln l976 whlch
counts l6 member states from Lngllsh-speaklng sub-Saharan countrles.
4. OAP| has grouped l6 Prench-, Portuguese and Spanlsh-speaklng
sub-Saharan countrles slnce l977.
292
A number of countries have adopted ICT policies in recent
years, including Nigeria, South Africa and Uganda.
However, Internet connectivity remains extremely low
(Figure 4). In Nigeria, just 6.8% of the population had
access to Internet in 2007. Nevertheless, this represented a
leap from 0.3% in 2002. Progress has been slower in South
Africa, where connectivity grew from 6.7% to 8.2% over the
same period. Progress has also been slow in Uganda,
where just 0.4% of the population had access in 2002 and
2.5% four years later.
The launch of the Nigerian satellite NigComSat-1 in 2007
should offer Africa better telecommunications in future. There
is also a host of international initiatives to help Africa develop
its information infrastructure. Among these, perhaps one of
the most ambitious is the EU-Africa Partnership (Box 3).
The brain drain syndrome
The continents growing sustainability problem will
never be solved by outside experts, despite their good
intentions. How then can sub-Saharan Africa nurture and
sustain the home-grown scientific talents it needs for
problem-solving scientific research? Indubitably, the most
worrying phenomenon for Africa is brain drain, both
internal and external.
A statement on Brain Drain in Africa submitted by the
Network of African Science Academies (Box 4) to the
G8+5 Summit in July 2009 indicates that at least one-
third of African scientists and technologists live and work
in developed countries. Key factors encouraging brain
drain include the paltry funding of education, poor
incentives for research and innovation, political and
Box 3: Science, ICTs and space, an EUAfrica partnership
The European UnionAfrican Union
summit in Lisbon in December 2007
launched an EUAfrica partnership in
eight different areas. One of these
partnerships concerns Science, the
Information Society and Space. A
number of lighthouse projects are
being implemented within this
partnership in line with priorities
identified by Africas Science and
Technology Consolidated Plan of Action
(see page 297) and by the African
Regional Action Plan for the Knowledge
Economy, adopted at the World
Summit on the Information Society in
Tunisia in 2005.
Under the science component of
the partnership, African research grants
are being provided worth 15 million
and a Water and Food Security and
Better Health in Africa project has been
earmarked for 63 million in funding.
The African Union Commission has also
contributed 1 million for the first year
of the Popularization of Science and
Technology and Promotion of Public
Participation project. The first African
Women Scientists award was held
15 October 2006. The initiative aims to
develop infrastructure for a more
coherent exploitation of Earth
observation data, technologies and
services in support of the
environmental policies put in place in
Africa. An Action Plan is due to be
submitted to the next European
UnionAfrican Union Summit in 2010.
It is being prepared by the GMES and
Africa Coordination Group, composed
of seven members from Europe and
seven from Africa. Among the
proposed projects, one known as
Kopernicus-Africa will focus on the use
of remote-sensing satellites for African
Global Monitoring for Environmental
and Security. A second project will
build capacity within the African Union
Commission to use the geospatial
sciences for a range of applications that
include natural resources management,
food security and crisis management.
Source: www.africa-eu-partnership.org/
documents/documents_en.htm
GMES is an EU Joint Technology Initiative,
see page 163
on Africa Day on 9 September 2009.
Concerning ICTs, the AfricaConnect
project will seek to integrate the African
research community at both regional
and international levels by improving
bandwidth. Meanwhile, the African
Internet Exchange System (AXIS) will
support the growth of a continental
African Internet infrastructure. A third
project concerns the African Virtual
Campus. With funding from the
European Commission, AfDB, Spain and
Japan, UNESCO is establishing virtual
campuses at universities in 15 West
African countries. A 10 000 km-long
submarine fibre-optic multipoint cable
system is also under construction. Last
but not least, a project led by the World
Health Organization is lending support
to telemedicine in Africa.
As concerns the exploration of
inner space, Global Monitoring for
Environment and Security (GMES) is a
European initiative for the
establishment of a European capacity
for Earth observation. The GMES and
Africa project was launched by the
Maputo Declaration, signed on
SJbS.|...r A|.|c.
293
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
0 1 2 3 4 5 6 7 8 9 10 11 12 13
Angola
Benin
Botswana
Burkina Faso
Burundi
Cameroon
Cape Verde
Central African Rep.
Chad
Comoros
Congo
Cte d'Ivoire
Dem. Rep. of Congo
Djibouti
Equatorial Guinea
Ethiopia
Gabon
Gambia
Ghana
Guinea
Guinea-Bissau
Kenya
Lesotho
Liberia
Madagascar
Malawi
Mali
Mozambique
Namibia
Niger
Nigeria
Rwanda
Senegal
Sierra Leone
Somalia
South Africa
Sudan
Swaziland
Togo
Uganda
United Rep. of Tanzania
Zambia
Zimbabwe
0.65 / 1.66
3.39 / 5.31
0.21 / 0.59
0.12 / 0.77
0.39 / 2.23
0.13 / 0.32
0.17 / 0.60
0.43 / 2.56
0.14 / 1.70
0.52 / 1.63
0.09 / 0.37
0.60 / 1.36
0.38 / 1.55
0.07 / 0.35
1.89 / 6.16
1.79 / 5.87
0.82 / 3.75
0.40 / 0.52
0.97 / 2.26
1.25 / 7.99
1.17 / 3.49
0.03 / 0.53
0.32 / 0.58
0.22 / 1.00
0.20 / 0.81
0.27 / 0.93
2.55 / 4.87
0.12 / 0.28
0.34 / 6.75
0.29 / 1.08
0.97 / 6.62
0.16 / 0.22
0.10 / 1.13
0.47 / 9.08
1.94 / 4.08
3.52 / 5.07
0.39 / 2.51
0.22 / 0.99
0.47 / 5.03
3.91 / 10.12
6.67 / 8.16
3.39 / 6.98
0.28 / 2.93
2002
2007
Percentage
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
-1
Figure 4: |nternet access per l00 populatlon ln sub-Saharan Afrlca, 2002 and 2007
5electeJ countt|es
-n: data refer to n years before reference year
5outce: Unlted Natlons Statlstlcal Dlvlslon, Mlllennlum Development Goals |ndlcators
religious crises, a lack of adequate regulations to protect
intellectual property and, most importantly, a poor
reward system for researchers, teachers and
technologists working in research institutions and
universities. These are the factors that have pushed
native scientists to migrate to the comfortable zones of
the developed world. The overriding issue should not be
how to lure African expatriates back home but rather
how to transform brain drain into brain gain by
improving conditions at home.
Uganda figures in the top ten among developing
countries for the rate of loss of university-educated
citizens: 36% (ATPS, 2007). Medical doctors and
researchers are leading this exodus. Ugandas national
report on the economy for financial year 2008, released in
July 2009, shows that remittances from Ugandans
working overseas jumped from US$ 546 million in
2007/2008 to US$ 748 million a year later. Poor pay even
by East African standards is inciting many Ugandan
professionals to leave the country in search of greener
pastures. Ugandas health and education sectors have
been badly hit as a result. In presenting the national
budget for 2010/2011 in June 2010, President Yoweri
Kaguta Museveni announced a 30% hike in scientists
salaries, with a budget of 18 billion Ugandan shillings
(US$ 8 million) [Nordling 2010c].
Uganda also faces internal brain drain. A tracer study
carried out in Uganda by UNCHE (2006) targeted
1 000 graduates fresh out of university to determine how
long it would take them to find gainful employment.
The public sector took on only 32% of graduates, the
great majority (53%) finding employment in the private
sector. Among degree-holders, graduates in veterinary
medicine and social sciences waited longest more than
294
Box 4: The Network of African Science Academies
The Network of African Science
Academies was established in
December 2001. It strives to accelerate
the pace at which its member
academies implement best practices, in
order to equip them to advise their
governments on STI policy reform.
Currently, the consortium has 16
national members, plus the African
Academy of Sciences.
Founded in Nairobi in 1986, the
African Academy of Sciences has a dual
mission to honour African achievers in
S&T and mobilize the African S&T
community to promote science-led
development in Africa. Fellows of the
African Academy of Science work
together in a transdisciplinary manner
to tackle many of Africas
developmental problems. Through the
African Academy of Sciences, they
conduct R&D and disseminate the
results, organize training and undertake
public advocacy.
Table: The 16 national African science academies
Year of
creation
2010 Ethiopian Academy of Sciences
2009 Academy of Science of Mozambique
2008 Sudanese National Academy of Science
2007 Mauritius Academy of Science and Technology
2006 Hassan II Academy of Science and Technology, Morocco
2006 Tanzania Academy of Sciences
2005 Zimbabwe Academy of Sciences
2001 Academy of Science of South Africa
2000 Uganda National Academy of Sciences
1999 National Academy of Science and Technology of Senegal
1990 Cameroon Academy of Sciences
1983 Kenya National Academy of Sciences
1977 Nigerian Academy of Sciences
1959 Ghana Academy of Arts and Sciences
1948 Academy of Scientific Research and Technology, Egypt
1902 National Academy of Arts, Letters and Sciences, Madagascar
Source: authors
For details: www.nasaconline.org
SJbS.|...r A|.|c.
295
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
nlne months - for a [ob proposal. The labour market was
observed to have an lnadequate supply of medlcal
doctors, englneers, lnformatlon technology speclallsts
and sclence teachers but was saturated wlth arts
graduates, soclal workers and those wlth backgrounds ln
flnance and accountlng. An analysls of [obs advertlsed ln
the most wldely clrculated newspapers ln Uganda for the
perlod 2002-2004 found a low percentage of sclence-
based opportunltles, the ma[orlty of [obs advertlsed
belng ln the servlce sector.
Uganda ls not the only country to have taken energetlc
steps recently to lmprove lts reward system. |n early
2009, the Government of Cameroon used the
wrltlng-off of part of lts debt to create a permanent fund
of 4.2 bllllon Central Afrlcan francs (CPA, almost
US$ 9.5 mllllon) to boost the salarles of unlverslty
lecturers and researchers. Senlor lecturers saw thelr
monthly salary trlple overnlght to US$l 600. wlthln a
year, the number of academlcs recelvlng the
supplementary allowance had swollen from l 800 to
more than 2 500, suggestlng that the scheme was
already lurlng sclentlsts back home. One spln-off of the
scheme has been a rlse ln the number of sclentlflc
artlcles produced by state unlversltles (Mvondo, 20l0).
|n November 2007, Zambla announced the
relntroductlon of allowances for academlc staff at state
unlversltles to make salarles more competltlve wlth
those of researchers ln other Afrlcan countrles. Other
lncentlves to curb braln draln presented by the Mlnlstry
of Lducatlon lnclude hlgher grants for academlc
research, home loans for academlc staff and a flrst ln
Zambla: fundlng for the [ournals publlshed by the
Unlverslty of Zambla and Copperbelt Unlverslty
(Ngandwe, 2007). |n 2008, Zambla recelved a
US$ 30 mllllon loan from the Afrlcan Development 8ank
(AfD8) to support teachlng and research at the
Unlverslty of Zambla and to provlde postgraduate
fellowshlps to some 300 students ma[orlng ln sclence
and englneerlng. At the Afrlcan Unlon Summlt ln 2007,
Presldent Levy Patrlck Mwanawasa proclalmed that
bulldlng capaclty ln 'sclence and technology ls the only
means to develop the country.'
Another example ls 8otswana. One of the strongest
economles ln Afrlca, 8otswana was spendlng mllllons
of dollars each year to support approxlmately
7 000 8otswanans studylng at unlversltles abroad.
|n order to staunch the haemorrhage of students
leavlng the country, Parllament approved plans for
the 8otswana |nternatlonal Unlverslty of Sclence and
Technology ln 1anuary 2006. Constructlon of the
unlverslty began ln Aprll 2009 on a 250-hectare slte
ln the clty of Palapye, 270 km north of Gaborone.
A publlc-prlvate partnershlp, the unlverslty wlll
focus on englneerlng, mlnlng, geology and baslc
sclences. Due to open ln 20ll, lt wlll lnltlally house
laboratorles and resldences for 250 students.
A research park ls planned for a later stage (Makonl
and Scott, 2009).
Borrowing a model from football
|f lnadequate |CT lnfrastructure and poor sclentlflc
networks and exchanges are a barrler to the clrculatlon
of expertlse wlthln the contlnent - not to mentlon the
language barrler between Prench-, Lngllsh- and
Portuguese-speaklng Afrlcans - Afrlcan sclentlsts and
englneers also face a physlcal barrler, the sheer dlfflculty
ln travelllng freely around the contlnent. The questlon
of Afrlcan countrles easlng lmmlgratlon regulatlons and
procedures ln order to facllltate the moblllty of
lnternatlonal experts, and Afrlcan expatrlates ln
partlcular, has flgured repeatedly on the agenda of
Afrlcan Unlon summlts wlthout ever belng resolved.
A workshop organlzed by the Afrlcan Technology Pollcy
Studles Network ln Nalrobl, Kenya, ln March 20l0 came
up wlth a novel ldea for turnlng braln draln lnto
temporary braln galn. |t suggested that Afrlcan
governments should borrow the model of the
|nternatlonal Pederatlon of Assoclatlon Pootball (P|PA)
for Afrlcan researchers and sclentlsts worklng abroad.
The P|PA model entltles forelgn football clubs to release
thelr players to play for thelr home countrles durlng
ma[or events llke the Afrlcan Natlons Cup.
The 'flfarlzatlon' of Afrlcan sclentlsts and researchers
worklng abroad would entltle them by law to return
to thelr home countrles lf the occaslon presented
ltself and to request permlsslon to partlclpate
occaslonally ln chartlng the way forward for thelr
country's development ln ST|. Once thelr mlsslon was
accompllshed, they would return to thelr home base.
|n thls way, a team of medlcal professlonals worklng ln
the USA and Lurope, for lnstance, could travel to thelr
home country ln Afrlca once ln a whlle to share thelr
knowledge and skllls. Thls ldea has been enthuslastlcally
recelved ln varlous ST| fora ln Afrlca.
A similar approach to tackling brain drain in Africa has been
proposed by the Network of African Science Academies.
In their statement submitted to the G8+5 Summit in July
2009, the academies recognize the opportunities offered by
the African diaspora and call for new policies to harness
their knowledge and expertise to driving scientific and
economic progress in Africa, as Nigeria has been doing
(see page 311). This approach turns the phenomenon long
perceived as a one-way flow out of Africa into a two-way
interaction through joint projects between Africas emigrant
researchers and home-based scientific communities.
Developed countries are asked to contribute by helping to
improve Africas S&T infrastructure, fostering NorthSouth
scientific co-operation and by promoting policies that allow
scientists greater mobility across borders.
The statement proposes five measures for tackling brain
drain:
I Investing in the rebuilding of universities and research
centres in Africa to enable African scientists to engage
in world-class research without having to emigrate;
I Extending financial support to young African scientists
to pursue postgraduate and postdoctoral training at
universities in Africa and in developing countries
elsewhere;
I Launching regional and international centres of
excellence in Africa in areas of study of critical
importance to Africas development, especially with
regard to the Millennium Goals. These centres should
promote international collaboration in solving global
problems relevant to Africa;
I Broadening efforts to encourage Africas diaspora to
participate in initiatives to address critical science-
based issues on the continent and to engage African
scientists in joint projects. To this end, policies may be
devised to encourage short-term visits and
collaborative projects involving Africas scientific
diaspora and scientists who have remained in their
home countries; expanding NorthSouth scientific
exchange; and developing a database of highly
qualified Africans in the diaspora.
I Honouring the commitment made by G8+5 countries
at the 2005 G8 Summit, based on the
recommendations of the Commission for Africas
publication, Our Common Interest, which called on its
members to provide US$ 5 billion to help rebuild
universities and US$ 3 billion to help establish centres
of scientific excellence in Africa.
Socializing science
Last but not least, there is a need to domesticate S&T in
Africa. All key stakeholders must be involved through
national dialogue in the policy formulation and
implementation process, so as to transcend policies that
tend to be too narrowly focused on a handful of isolated,
ill-equipped and underpaid researchers and
academicians. This will contribute to moving away from
elitist policies and to defining and strengthening the
respective role of public institutions, international
partners, universities, NGOs, womens organizations, civil
society and the private sector (UNECA, 2005). It will also
ensure that policies are tailored primarily to meeting the
specific needs of end-users and clients. In this regard, the
fight against illiteracy should aim to give girls and boys
the same chances of being empowered through S&T.
Various means should be employed to promote science
popularization and to ensure that information on S&T
reaches all the relevant stakeholders, via such media as
science centres and museums, radio programmes for
farmers, media-training for scientists, public libraries with
a focus on S&T, booklets and other printed materials,
school science days, inter-school science competitions,
public lectures, science fairs, academies and associations,
adult education, demonstration centres, national merit
awards in science, science quizzes, science newsletters,
exhibitions, science clubs, science festivals, etc.
Kenyas National Council for Science and Technology is
working with the African Technology Policy Studies
Network on a project entitled Science, Ethics and
Technological Responsibility in Developing and Emerging
Countries (SETDEV) in the context of the European
Unions Seventh Framework Programme for Research and
Technological Development. The broad objective of this
project is to help an emerging economy (India) and a
developing country (Kenya) to elaborate their own
perspective on the socialization of research. The National
Council for Science and Technology is involved in the
development of a Handbook on the Socialization of
Science and Technological Research in Kenya, the findings
of which may feed into the implementation plans for the
countrys Kenya Vision 2030 (see page 306).
296
SJbS.|...r A|.|c.
297
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
A |||O|A| S|A|+ |O|
||\||O||| S| || A|||A
Africas Science and Technology Consolidated Plan
of Action
we have seen from the prevlous sectlon that wlde
dlsparltles remaln ln the level of lnvestment ln P&D and
sclentlflc productlvlty between South Afrlca and the rest
of sub-Saharan Afrlca, wlth only a handful of countrles
produclng a meanlngful volume of publlcatlons.
However, there are also wlde dlsparltles ln economlc
terms, wlth a large share of the Afrlcan populatlon belng
excluded from ST| dlvldends. |nequalltles ln lncome
dlstrlbutlon have destroyed lnternal demand for
manufactured goods, ln turn lnhlbltlng the learnlng
process of enterprlses. These factors have also had huge
repercusslons for the braln draln of sclentlsts and other
quallfled personnel.
One of the most ambltlous strategles ln recent years for
strengthenlng ST| ln Afrlca has been the adoptlon of
Alt|cos 5c|ence onJ 7echnoloy Consol|JoteJ Plon ol Act|on
for 2008-20l3 (CPA). The fact that countrles are at
dlfferent stages of developlng a natlonal ST| pollcy makes
lt all the more dlfflcult to establlsh a common pollcy for
Afrlca. |t has been suggested ln many fora that one way to
glve such a process a klck ls to attempt a reglonal ST|
pollcy that wlll eventually key lnto the contlnent-wlde
actlon plan. The CPA ls a framework for channelllng
lnvestment lnto S&T ln Afrlca. |t was adopted ln 2005 by
the contlnent's sclence mlnlsters wlth buy-ln from
development ald agencles and ls overseen by AMCOST.
Apart from provldlng a llst of pro[ects, the CPA outllnes
flagshlp P&D programmes ln four areas: blosclences,
water, materlals sclence and manufacturlng, and |CTs.
|talso co-ordlnates sclence ald and has put a stop to the
tradltlon of donors cherry-plcklng pro[ects to sult thelr
own agenda (Nordllng, 20l0o).
|n 1anuary 2007, heads of state and government lnvlted
UNLSCO to work closely wlth the Afrlcan Unlon and
NLPAD secretarlat to lmplement the CPA, ln the
0eclotot|on adopted at the Afrlcan Unlon summlt ln Addls
Ababa. Later the same year, UNLSCO adopted lts own
Afrlcan Sclence, Technology and |nnovatlon Pollcy
|nltlatlve for 2008-20l3 to accompany thls process.
Thls lnltlatlve lnvolves an assessment of the status of S&T
pollcy formulatlon ln Afrlca, the provlslon of technlcal
advlce and support for natlonal ST| pollcy revlews,
the development of common Afrlcan ST| lndlcators, the
creatlon of an Afrlcan ST| observatory and the launch of a
pllot sclence park ln Afrlca.
Plve years after the CPA's adoptlon, several donor agencles
are dlsappolnted wlth progress, wlth some even golng so
far as to declare lt dead (Nordllng, 20l0o). Development
experts also say that fewer natlonal-level pollcy-makers
support the CPA than when the plan was flrst agreed
upon. |t has been noted that the CPA's proposed
mechanlsm for channelllng donor fundlng, the Afrlcan
Sclence and |nnovatlon Paclllty, has not materlallzed.
That notwlthstandlng, 'the CPA ls stlll the framework for
S&T actlvltles on the contlnent,' observes Aggrey Amball,
advlsor on S&T wlthln NLPAD (Nordllng, 20l0o).
Conslderable progress has effectlvely been made on
several lndlvldual programmes wlthln the CPA,
partlcularly ln blosclences and water research. |n addltlon,
the CPA wlll have met another of lts goals when one of lts
key elements, the Afrlcan Sclence and Technology
|ndlcators |nltlatlve (AST||), dellvers lts flrst set of pan-
Afrlcan P&D statlstlcs ln 1une 20l0. Havlng taken over
the relns of AMCOST ln March 20l0, Lgypt should now
champlon a relntroductlon of the orlglnal expectatlons
ln the CPA.
|t has been suggested that three thlngs are needed to
revlve the CPA: l|tstly, lts lmplementatlon needs to refocus
on results and co-ordlnatlon, seconJly, lt needs the Afrlcan
Unlon and NLPAD to show leadershlp, and th|tJly, lt needs
a polltlcal and flnanclal buy-ln from Afrlcan countrles.
Another lmpedlment to reglonal lntegratlon ls the
lack of dlalogue, collaboratlon, co-ordlnatlon and
harmonlzatlon among varlous lnltlatlves deslgned to
promote S&T across the contlnent. These lnltlatlves lnclude
the Afrlcan Sclence Academy Development |nltlatlve
(8ox 5), UNLSCO's Afrlcan Sclence, Technology and
|nnovatlon Pollcy |nltlatlve, the Knowledge Management
Afrlca pro[ect (8ox 6) and NLPAD's Sclence and Technology
programme.
Also hamperlng reglonal co-operatlon and lntegratlon ls
the prevalence of mlcro-natlonallsm, whlch causes rlvalry.
Lach country ls keen to house every lnstltutlon wlthln lts
own borders rather than creatlng centres of excellence on
the basls of the comparatlve advantages of each. There
are exlstlng lnternatlonal centres ln Afrlca on whlch new
centres could be modelled. The |nternatlonal Centre of
|||SO S|||| |||O| 2010
298
ox 5: The Afrlcan Sclence Academy Development |nltlatlve
|o A|.|c.r Sc|orco Ac.Jony
|ovo|cpnort |r|t|.t|vo (ASA||) |s .
10yo.. orJo.vcJ. tc onpc.o. A|.|c.r
sc|orco .c.Jon|os tc .ct .s o|||c|ort
p..tro.s |r t|o pc||cyJovo|cpnort
p.ccoss. |.Jrc|oJ |r 2004 .|t|
|JrJ|r |.cn t|o b||| .rJ Vo||rJ. .tos
|cJrJ.t|cr, t|o |r|t|.t|vo |s n.r.oJ
by t|o |S |.t|cr.| Ac.Jon|os c|
Sc|orco, t|.cJ| t|o bc..J cr A|.|c.r
Sc|orco Ac.Jony |ovo|cpnort .t t|o
|rst|tJto c| VoJ|c|ro |r \.s||rtcr |.
ASA|| .c.ks .|t| A|.|c.r
.c.Jon|os c| sc|orco tc Jovo|cp .rJ
|np|onort noc|.r|sns |c. p.cv|J|r
|rJoporJort, .pc||t|c.| .rJ ov|Jorco
b.soJ .Jv|co tc t|o|. r.t|cr.|
cvo.rnorts. ASA|| sJppc.ts c.p.c|ty
bJ||J|r .t t|o sc|orco .c.Jon|os c|
||o.|., ScJt| A|.|c. .rJ |.rJ..
|..tro.|r .|t| t|oso .c.Jon|os v|. .
..rts syston |o|ps tc Jovo|cp
|r|..st.JctJ.o, po.scrro|, t|o
.o|.t|crs||p bot.oor o.c| .c.Jony
Jovo|cpnort soctc.s. |r t||s ..y, |t
.|ns tc |csto. . Joopo. .pp.oc|.t|cr cr
t|o p..t c| A|.|c.r cvo.rnorts c| t|o
boro||ts c| Joc|s|crn.k|r b.soJ cr
ov|Jorco .rJ .r.|ys|s.
|vo.y yo.., t|o ASA|| bc..J
c..r|.os .r |rto.r.t|cr.| ccr|o.orco
cr . spoc|||c |ssJo c| .o.t |npc.t.rco
tc A|.|c.. ||s ovort b.|rs tcot|o. |S
.rJ A|.|c.r .op.osort.t|vos c| sc|orco
.c.Jon|os, pc||cyn.ko.s .rJ oxpo.ts
cr t|o spoc|||c tcp|c JrJo. J|scJss|cr.
|oso noot|rs p|.co spoc|.| onp|.s|s
cr .|.t .c.Jon|os |r A|.|c. c.r Jc tc
n.ko .r |np.ct cr pc||cy po.t|rort tc
t|o .o|ov.rt |ssJo. |r p.ov|cJs yo..s, t|o
ccr|o.orcos |.vo |ccJsoJ cr |ccJ
socJ.|ty, ..to., |o.|t| .rJ cr .c||ov|r
t|o V|||orr|Jn |ovo|cpnort c.|s.
5outce: authors
.rJ |ts r.t|cr.| cvo.rnort, .s .o|| .s
.|c.cJs p.ccoJJ.os |c. t|o p.cv|s|cr c|
pc||cy .Jv|co. |o ..rt .|sc p.cv|Jos
scno sJppc.t tc t|o .c.Jon|os c|
.no.ccr, |.r., |ory., Soro.| .rJ
tc t|o .o|cr.| A|.|c.r Ac.Jony c|
Sc|orcos, |r p..t|cJ|.. |c. st..to|c
p|.rr|r. |t |s oxpoctoJ t|.t t|o
|r|t|.t|vo .||| bo oxtorJoJ tc .c.Jon|os
|r ct|o. A|.|c.r ccJrt.|os.
ASA|| |.s .|.o.Jy p.cnctoJ
st.cr cc||.bc..t|cr .ncr A|.|c.r
.c.Jon|os, .oso..c| |rst|tJtos,
Jr|vo.s|t|os .rJ ct|o. S |rst|tJt|crs. |t
|s .|sc |csto.|r cccpo..t|cr bot.oor
t|o A|.|c.r .c.Jon|os .rJ t|o |cy.|
Scc|oty c| .r.J., |cy.| Scc|oty c| t|o
|r|toJ ||rJcn .rJ t|o |cy.|
|ot|o.|.rJs Ac.Jony c| Sc|orco.
|r .JJ|t|cr tc c.p.c|tybJ||J|r, t|o
|r|t|.t|vo st.|vos tc |r|c.n A|.|c.r
cvo.rnort pc||cyn.k|r .rJ pJb||c
J|sccJ.so cr |ssJos .o|.toJ tc t|o
.no||c..t|cr c| |Jn.r |o.|t| .rJ .||
ox 6: Knowledge Management Afrlca
|rc.|oJo V.r.onort A|.|c. (|VA)
|s .r A|.|c.r |r|t|.t|vo |.Jrc|oJ by t|o
|ovo|cpnort b.rk c| ScJt|o.r A|.|c.
|r |ob.J..y 2005. Or t|o p.on|so t|.t
krc.|oJo s|cJ|J bo t|o or|ro t|.t
J.|vos .pp.cp.|.to Jovo|cpnort
sc|Jt|crs |c. A|.|c., |VA sots cJt tc
|np.cvo cvo.r.rco .rJ so.v|co
Jo||vo.y |r A|.|c. t|.cJ| t|o c.o.t|cr,
s|..|r, J|sson|r.t|cr .rJ Jt|||..t|cr c|
krc.|oJo.
|VA |.c|||t.tos .oso..c| by
ncb|||.|r .oscJ.cos .rJ by ||rk|r
b.s|c .rJ .pp||oJ .oso..c| cr t|o
ccrt|rort .rJ boycrJ. |t orccJ..os
cccpo..t|cr bot.oor Jr|vo.s|t|os,
.oso..c| |rst|tJtos .rJ ct|o. spoc|.||.oJ
|rc.|oJo tc |oncb|||.o A|.|c.
(|.|.cb|, 200), .rJ |rc.|oJo tc
|opcs|t|cr A|.|c. |r t|o |cb.|
|ccrcny (|.k.., 2009). At t|o |.tto., |t
..s Joc|JoJ tc c.o.to t|o |rc.|oJo
V.r.onort A|.|c. |cJrJ.t|cr tc
orsJ.o t|o sJst.|r.b|||ty .rJ
ccrsc||J.t|cr c| t|o |r|t|.t|vo.
|o |VA soc.ot..|.t |s |cc.toJ |r
V|J..r, ScJt| A|.|c., bJt t|o.o ..o
p|.rs tc ccrJJct p.c..nnos t|.cJ|
sJb.o|cr.| c|.pto.s.
5outce: authors
Por detalls: www.kmafrlca.com
|rst|tJt|crs, |r c.Jo. tc c.o.to . pcc| c|
A|.|c.r oxpo.t|so cr spoc|||c c|.||oros
|c. Jovo|cpnort.
|vo.y t.c yo..s, |VA |csts .r
|rto.r.t|cr.| ccr|o.orco tc c.o.to .r
orv|.crnort ccrJJc|vo tc t|o c.o.t|cr
.rJ s|..|r c| A|.|c.r krc.|oJo
.ncr pc||cyn.ko.s, soctc.
p.c|oss|cr.|s, .oso..c|o.s, krc.|oJo
n.r.onort oxpo.ts, cvo.rnort .rJ
c|v|| scc|oty |o.Jo.s, c|||c|.|s |.cn
|rto.r.t|cr.| |rst|tJt|crs, bJs|ross
|o.Jo.s .rJ sc cr.
|o t|onos c| t|o ||.st t|.oo
ccr|o.orcos .o.o. |rc.|oJo tc
AJJ.oss A|.|c.s |ovo|cpnort
c|.||oros ('c|.rrosbJ., 2005),
SJbS.|...r A|.|c.
299
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
|nsect Physlology and Lcology and the |nternatlonal
|nstltute for Troplcal Agrlculture, for example, both en[oy
stable fundlng and outstandlng sclentlflc leadershlp and
have, over the years, earned lnternatlonal recognltlon.
5
African STI Indicators Initiative
|n September 2005, AMCOST establlshed an lnter-
governmental commlttee comprlsed of relevant natlonal
authorltles to develop, adopt and use common lndlcators
to survey Afrlca's development ln S&T. Thls system of
lndlcators wlll constltute the malnstay for productlon of
the Alt|con lnnovot|on Outlool, whlch wlll report on
developments ln ST| at the natlonal, reglonal and
contlnental levels. The lndlcators can also be used to
monltor global technologlcal trends, conduct foreslght
exerclses and determlne speclflc areas for lnvestment.
An example ls the target of a GLPD/GDP ratlo of l% for
Afrlcan countrles.
The lntergovernmental commlttee was glven the
followlng mandate:
I Conslder and agree upon common deflnltlons,
lndlcators and methods for conductlng ST| surveys.
|t wlll also determlne the means of lntegratlng ST|
lndlcators lnto the Afrlcan Peer Pevlew Mechanlsm
6
,
I |dentlfy and deslgnate competent natlonal authorltles
for the gatherlng and analysls of ST| lndlcators,
I Deslgn and adopt a work plan for preparlng the Alt|con
lnnovot|on Outlool,
I Promote the sharlng of experlences and lnformatlon
on natlonal ST| surveys,
I Develop, publlsh and wldely dlssemlnate an Alt|con 57l
lnJ|cotots Vonuol,
I Conslder and agree on the means of establlshlng and
runnlng an ST| observatory,
I Partlclpate ln lnternatlonal commlttees and/or
processes on ST| lndlcators. Thls wlll lnvolve
establlshlng formal tles wlth the OLCD and other
reglonal platforms and programmes for ST| lndlcators,
I Pevlew natlonal surveys and propose common
pollcles for promotlng ST|.
The commlttee has been asslsted by an expert worklng
group establlshed by NLPAD. |n 20l0, thls worklng group
was preparlng a document proposlng lndlcators and
guldellnes for the conduct of surveys. Thls document
should form the basls for lnltlatlng an lntergovernmental
process to enable Afrlcan countrles to agree upon
deflnltlons and methods and, where none exlst, to
develop these.
Slnce 2008, sub-reglonal tralnlng semlnars and
workshops on ST| pollcy-relevant lndlcators have been
co-organlzed by UNLSCO and the Afrlcan Unlon for
Lngllsh- and Prench-speaklng Afrlca. The organlzers are
also advlslng on the deslgn of questlonnalres, manuals
and documentatlon for natlonal collectlon of
ST| data.
Towards an African STI observatory
Por lndlcators to be used effectlvely, they must be
embedded ln the pollcy process. Thls requlres lnteractlon
between key stakeholders, lncludlng pollcy-makers and
statlstlclans. Thls process of lnteractlon allows each group
to do what lt does best, pollcy analysls and development
on the one hand, survey and questlonnalre development
on the other. These are qulte dlfferent skllls but they must
be brought together lf the resources avallable for
lndlcator productlon are to be used effectlvely and
efflclently. |n both cases, there may be a need for capaclty-
bulldlng, whlch could be addressed by an Afrlcan
Observatory of Sclence, Technology and |nnovatlon. |n
20l0, UNLSCO and the Afrlcan Unlon were engaged ln
dlscusslons on the road map for transformlng the Afrlcan
ST| |nltlatlve lnto a permanent observatory ln Lquatorlal
Gulnea, whlch had volunteered to host the observatory
and pledged US$ 3.6 mllllon (Nordllng, 20l0o). As part of
the process, UNLSCO was preparlng a feaslblllty study for
the Afrlcan Unlon ln 20l0. However, South Afrlca ls also a
contender for the observatory. |n the tlme that lt has been
hostlng the Afrlcan ST| |ndlcators |nltlatlve ln Mldrand, lt
has gathered P&D and lnnovatlon data from l9 Afrlcan
countrles. The lnterlm observatory ls due to dellver lts flrst
set of data ln 1une 20l0.
5. |n 1une 20l0, the |nternatlonal Centre of |nsect Physlology and Lcology
developed a collar for cattle whlch repels tsetse flles. The collar exudes the
synthetlc equlvalent of the odour of anlmals that tsetse flles avold. The flles
transmlt trypanosomlasls, a dlsease whlch kllls up to three mllllon cattle
each year. The Luropean Unlon has slgned a US$ l.8 mllllon deal wlth the
centre to trlal the collars wlth Maasal pastorallsts ln Last Afrlca over the next
three years (Adhlambo, 20l0).
6. Thls voluntary mechanlsm was lntroduced by the Afrlcan Unlon ln 2005
to help countrles lmprove thelr governance. Countrles develop a self-
assessment report and programme of actlon, whlch ls then submltted to
the secretarlat ln South Afrlca and later publlcly released by the country
revlew team. Countrles' progress ln lmplementlng thelr programme of
actlon ls revlewed ln subsequent years.
|||SO S|||| |||O| 2010
The observatory wlll have a mandate for collectlng,
storlng and dlssemlnatlng data from the Afrlcan Unlon's
53 member states on everythlng from P&D expendlture
to the number of PhD students. |t wlll ensure that ST|
lndlcators and methodologles for lnformatlon-gatherlng
and valldatlon are standardlzed across the contlnent. The
Afrlcan equlvalent of co-ordlnatlng bodles llke Lurostat
or the OLCD Dlrectorate for Sclence, Technology and
|ndustry, lt wlll manage expert commlttees from Afrlcan
countrles and oversee the collectlon of natlonal statlstlcs,
ln addltlon to produclng manuals and the Alt|con
lnnovot|on Outlool. The observatory wlll also bulld
capaclty through the provlslon of tralnlng, sample survey
lnstruments and case study templates, as well as practlcal
advlce on the development of country proflles, lndlcator
reports and the use of lndlcators ln evldence-based pollcy.
O|||+ ||O||||S
|n the followlng sectlon, we take a closer look at the
strategles adopted by l4 Afrlcan countrles ln recent years
to take up the challenges dlscussed above. The followlng
llst ls by no means exhaustlve and ls merely lntended to
lllustrate some of the approaches belng adopted by
Afrlcan countrles and the perslstent obstacles they face.
Benin
After the change of polltlcal reglme ln 8enln ln Aprll 2006,
the new government redeflned strateglc orlentatlons for a
natlonal development pollcy that would fully recognlze
the central role of P&D ln the development process. The
alm ls to lmprove hlgher educatlon and the sclentlflc
research system wlthln a Natlonal Pollcy for Sclentlflc and
Technologlcal Pesearch that takes lnto conslderatlon the
results of a natlonal consultatlon - or ltots enetoux - on
P&D ln 2004. The 8enln Mlnlster for Hlgher Lducatlon and
Sclentlflc Pesearch has consequently requested UNLSCO's
support wlthln lts Afrlcan Sclence, Technology and
|nnovatlon Pollcy |nltlatlve.
Pully aware of the need for credlble, accurate data and
lndlcators to underpln any pollcy, the Natlonal Dlrectorate for
Sclentlflc and Technlcal Pesearch (DNPST) launched a study
ln 2006 to create databases on research conducted ln the
country. The DNPST also lnltlated the creatlon of the 8enln
Agency for the Lnhancement of Pesearch (A8vaP) and a
Natlonal Pund for Sclentlflc and Technlcal Pesearch (PNPST),
together wlth the adoptlon of an ethlcal code for P&D.
300
Llke many other Afrlcan countrles, 8enln devotes very llttle
to P&D, although offlclal flgures are not avallable. The bulk
of flnanclal resources allocated to unlversltles and P&D
lnstltutlons goes to salarles and grants for students, leavlng
llttle for research. |n addltlon to budgetary constralnts and
organlzatlonal problems, P&D ln 8enln faces a thlrd
challenge: the straln on exlstlng facllltles resultlng from the
drastlc lncrease ln the number of unlverslty students. The
student body totalled about 60 000 ln the 2006 academlc
year but the number of students ls expected to rlse to
l60 000 by 20l5 (Galllard, 2008).
Burkina Faso
|n 8urklna Paso, the Mlnlstry of Secondary and Hlgher
Lducatlon and Sclentlflc Pesearch (MLSSPS) ls responslble
for S&T pollcy, wlth the Natlonal Centre for Sclentlflc and
Technologlcal Pesearch (CNPST) actlng as the mlnlstry's
operatlonal arm. The CNPST partlclpates ln the
elaboratlon and lmplementatlon of the natlonal S&T
pollcy and co-ordlnates and assesses research
programmes. |t also supervlses the creatlon and
management of publlc research lnstltutes, promotes
research results and oversees the tralnlng and promotlon
of researchers.
Slnce the agrlculture sector employs more than 90% of
the actlve populatlon and contrlbutes more than 38% of
GDP, the bulk of resources for P&D goes to agrlculture
(Plgure 5). 8urklna Paso has ll agrlcultural research
bodles. Of these, the |nstltute for Lnvlronment and
Agrlcultural Pesearch (|NLPA) employs around 60% of the
country's researchers and absorbs about the same share
of the research budget for agrlculture. 8urklna Paso has
the hlghest level of educatlon ln Afrlca ln the agrlculture
sector, wlth almost half of researchers holdlng a PhD
(Stads and 8oro, 2004).
|n 2006, Parllament passed an lmportant Law on the
Securlty Peglme for 8lotechnology ln 8urklna Paso,
followed by a decree ln 2007 deflnlng the mlsslon and
responslbllltles of the relevant agencles, lncludlng the
Dlrectorate for Studles and Plannlng (DLP) for the
collectlon, processlng and dlffuslon of statlstlcs, among
them those on sclentlflc research. However, the DLP
lacked a speclflc tool for collectlng and processlng S&T
data. To remedy thls, a Memorandum of Understandlng
was slgned between MLSSPS and the UNLSCO |nstltute
for Statlstlcs ln 2007 to establlsh a new sclentlflc
lnformatlon system by 2009.
SJbS.|...r A|.|c.
30l
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
Cameroon
At the tlme of lndependence ln l960, Cameroon lnherlted
an appreclable research lnfrastructure establlshed durlng
colonlal tlmes but only a small pool of tralned Cameroonlan
researchers. The research structure remalned essentlally
agrlcultural wlth a focus on plant breedlng and crop
protectlon. Gradually, attentlon turned from subslstence
crops towards cash crops for export, such as coffee, cocoa,
cotton, rubber and banana. The flrst lnstltute created by the
new state was the lcole not|onole suet|eute Jotonom|e. |n
l974, the new Councll for Hlgher Lducatlon, Sclence and
Technology was entrusted wlth the dual tasks of fundlng
P&D and advlslng the government on pollcy lssues related
to hlgher educatlon and P&D. Thanks to oll revenues and a
genulne polltlcal wlll to traln sclentlflc elltes, Cameroon was
among the flrst Afrlcan countrles to lnvest consequent
amounts ln research, wlth fundlng levels rlslng from l
bllllon CPA ln l976/l977 to almost l0 bllllon CPA a decade
later. Unfortunately, durlng thls euphorlc perlod, research
was carrled out wlthln programmes lncluded ln the
country's flve-year development plans, under whlch each
researcher was slmply asked to execute programmes
deflned beforehand by the lnstltute ln questlon. Under
such condltlons, many researchers partlclpated ln
programmes wlthout actually publlshlng anythlng.
Today, the Mlnlstry of Hlgher Lducatlon, Sclentlflc Pesearch
and |nnovatlon (M|NPLS|) ls charged wlth formulatlng
research pollcy and programmes ln Cameroon. |ts maln
attrlbutlons are to lnltlate, co-ordlnate and assess sclentlflc
research, as well as to promote sclence popularlzatlon and
lnnovatlon through the utlllzatlon of research results, ln
permanent relatlon wlth all natlonal economlc sectors,
others mlnlstrles and lnterested organlzatlons. The mlnlstry
operates the state research lnstltutes, whlch lnclude the
|nstltute of Agronomlc Pesearch for Development (|PAD),
the Geologlcal and Mlneral Pesearch |nstltute (|PGM), the
|nstltute for Medlcal Pesearch and Medlclnal Plant Studles
(|MPM), the Natlonal |nstltute for Mapplng (|NC) and the
Centre for Lnergy Pesearch (NLPCL) supported by the
|nternatlonal Atomlc Lnergy Agency. Other lnstltutlons are
attached to varlous mlnlstrles or are of an lnternatlonal
character wlth offlces ln Cameroon. The latter lnclude the
Prench |nstltute of Pesearch for Development (|PD), the
Centre for |nternatlonal Cooperatlon ln Agronomlc Pesearch
for Development (C|PAD) and the |nternatlonal |nstltute for
Troplcal Agrlculture. Moreover, M|NPLS| launched a Mlsslon
for the Promotlon of Local Materlals (M|PPOMALO) ln the
l990s, comblnlng technology transfer, P&D and the
promotlon of entrepreneurshlp (8ox 7).
The country's seven state-owned unlversltles and four
prlvate unlversltles provlde the natlonal platform for
educatlon and research. There ls a strong demand for
tertlary educatlon, wlth unlverslty enrollment ln S&T flelds
havlng lncreased from 90 000 ln 2000 to l50 000 ln 20l0.
However, the government's agenda of achlevlng educatlon
for all mlght be compromlsed unless proactlve measures
are taken urgently to allgn educatlon expendlture on the
growlng demand for hlgher educatlon. Nor can prlvate
unlversltles make up the dlfference, as the hlgh fees they
charge keep student rolls low.
Cameroon has several speclallzed [ournals: the 1outnol ol
the Cometoon AcoJemy ol 5c|ences, the 1outnol ol leolth
onJ 0|seose, the 1outnol ol Al|eJ 5oc|ol 5c|ences,
Box 7: Technology transfer ln Cameroon
|r t|o 1990s, t|o cvo.rnort c|
.no.ccr sot Jp t|o Mission de
promotion des matriaux locaux
(V|||OVA|O) tc p.cncto t|o Jso c|
|cc.| bJ||J|r n.to.|.|s .rJ t|o.oby
.oJJco t|o ccJrt.ys t..Jo Jo||c|t.
A koy n|ss|cr c| t||s pJb||c bcJy,
.||c| .rs.o.s tc t|o V|r|st.y c|
|||o. |JJc.t|cr, Sc|ort|||c |oso..c|
.rJ |rrcv.t|cr bJt |s ||r.rc|.||y
|rJoporJort, |s tc sot Jp toc|rc|cy
pJb||cp.|v.to p..tro.s||ps.
|t p.cv|Jos t|o |c||c.|r so.v|cos.
I |oso..c| .rJ Jovo|cpnort,
I |r|roo.|r so.v|cos,
I oc|r|c.| .ss|st.rco,
I ..|r|r,
I |.bc..tc.y .r.|ys|s c| n.to.|.|s,
I |.cJJct|cr n.to.|.|s .ort.|,
I bJs|ross |rcJb.tc.s.
5outce: http://mlpromalo.com
t..rs|o. cort.os |r 10 .o|crs .c.css t|o
ccJrt.y.
V|||OVA|O ccrs|sts c| t|.oo n.|r
p.c..nnos. occccrst.Jct|cr .rJ
Jovo|cpnort (sc|.. p.ro|s, otc),
bJs|ross c.o.t|cr .rJ Jovo|cpnort
.rJ orJo. onpc.o.nort, .rJ
oJJc.t|cr .rJ ro. toc|rc|c|os.
V|||OVA|O |.c|||t.tos t|o
|rJJst.|.||..t|cr c| p.cJJct|cr c| |cc.|
n.to.|.|s |r .no.ccr .rJ Jovo|cps
8|oJ|onost|cs onJ 7hetoy, and a quarterly newsletter
publlshed by the organlzatlon responslble for the
survelllance of endemlc dlseases ln Central Afrlca
(OCLAC), the 8ullet|n Je lOClAC. The OCLAC secretarlat ls
located ln aounde and supported by the world Health
Organlzatlon. Sclentlsts would be able to access the
content of these [ournals more easlly lf they were
reglstered ln standard blbllometrlc lndexes.
One lssue of concern ls the low output of Cameroonlan
sclentlsts. |n early 2009, the government showed lts
wllllngness to strengthen unlverslty research by creatlng
a speclal fund to trlple the salarles of academlcs from
US$ 550 to US$ l 850 per month and modernlze research
facllltles. Thls measure has been deslgned to lncrease the
productlvlty of researchers and staunch braln draln.
The development of P&D has become one of the
government's prlorltles, wlth an annual budget of 3 bllllon
CPA and an average budgetary growth rate of
approxlmately l%. To promote excellence ln sclentlflc
research and lnnovatlon, M|NPLS| launched a natlonal
blennlal event ln October 2007 tagged 1outnees
Jexcellence Je lo techetche sc|ent|l|que et Je l|nnovot|on Ju
Cometoun (Days of Lxcellence ln Sclentlflc Pesearch and
|nnovatlon ln Cameroon), whlle worklng ln parallel on a
dlrectory of lsolated or lndependent researchers and a
sclentlflc keseotch 5ectotol 5ttotey Plon. Ma[or barrlers to
the development of ST| perslst, however. These lnclude:
I the lack of a natlonal ST| pollcy,
I a pollcy vacuum on dlstance learnlng,
I poor, expenslve communlcatlon lnfrastructure,
I lnstltutlonal lnertla towards lnnovatlon that fuels a
mlsuse of funds,
I a scarce, expenslve energy supply rellant on fossll fuels
and hydropower that would beneflt from heavy
lnvestment ln P&D to develop renewable sources of
energy such as blomass, wlnd and solar energy.
Central African Republic
Statlstlcs on sclentlsts, researchers, englneers and thelr
programmes are fragmentary ln the Central Afrlcan
Pepubllc, mostly due to latent polltlcal lnstablllty and
repeated crlses. Only the Unlverslty of 8angul produces a
statlstlcal yearbook and then only wlth long delays, ln
splte of support from the UNLSCO |nstltute for Statlstlcs.
what ls certaln ls that the country lacks a crltlcal mass of
researchers and that the research pool ls concentrated at
|||SO S|||| |||O| 2010
302
the Unlverslty of 8angul and the Pasteur |nstltute sltuated
ln the capltal. The small slze of the country's research
body precludes the constltutlon of any assoclatlons of
sclentlsts or englneers.
Pounded ln l970, the Unlverslty of 8angul ls the country's
only unlverslty. The small pool of researchers ls mostly
lnvolved ln teachlng rather than ln research, as the
budget for research ls negllglble. Although a Hlgh
Councll for Pesearch was establlshed ln l987,
lt ls not operatlonal.
To lmprove the sltuatlon, the government lssued a
Decree on the Organlzatlon and Punctlonlng of the
Mlnlstry of Lducatlon, Llteracy, Hlgher Lducatlon and
Pesearch ln 1une 2005. Thls was followed ln May 2006 by
a speclal Decree on the Creatlon and Organlzatlon of the
Pesearchers' Professlon. |n December of the same year,
the mlnlstry was agaln the sub[ect of a decree modlfylng
lts statutes. The Decree on the Organlzatlon and
Punctlonlng of the Mlnlstry of Lducatlon, Llteracy, Hlgher
Lducatlon and Pesearch also flxed the mlnlster's dutles.
|n 20l0, the mlnlstry was lmplementlng an lmportant
pro[ect funded by the Prench cooperatlon agency ln
support of hlgher educatlon. Known as SUPCQ, thls
pro[ect lncludes a number of P&D components.
|n response to the government's request, UNLSCO ls
currently provldlng support for the adoptlon of a natlonal
ST| pollcy under lts Afrlcan Sclence, Technology and
|nnovatlon Pollcy |nltlatlve. To that end, a consultant
vlslted the country ln 1uly 2008 and 1uly 2009. Moreover,
a natlonal forum was organlzed ln March 20l0 to ensure
shared ownershlp of the new pollcy by all relevant
stakeholder groups ln the elaboratlon of a natlonal ST|
pollcy: the research communlty, publlc and prlvate
entrepreneurs, clvll soclety, fundlng agencles and so on.
Republic of Congo
Llke Angola, Lquatorlal Gulnea and Nlgerla, among others,
the Pepubllc of Congo's lndustrlal sector ls largely
dependent on oll. Oll has supplanted forestry as the
malnstay of the economy, provldlng a ma[or share of
government revenues and exports. The country was
serlously handlcapped by two clvll wars ln the l990s and,
more recently, by the fall ln global oll prlces ln 2008. As
a result, lt ls currently experlenclng a severe economlc
crlsls that ls [eopardlzlng the country's P&D
programmes.
SJbS.|...r A|.|c.
303
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
Although agrlculture contrlbutes only about 6% of GDP
and l% of exports, lt ls vltal for the natlonal economy, as lt
employs 40% of the workforce (Plgure 5). Thls makes
agrlcultural P&D a natlonal prlorlty. However, although
the total number of agrlcultural researchers ln Congo has
gradually lncreased ln recent years, expendlture on
agrlcultural P&D has fallen by more than half over the
same perlod. The country's ll agrlcultural research
centres, whlch fall under the Dlrectorate-General for
Sclentlflc and Technologlcal Pesearch, account for about
two-thlrds of expendlture on agrlcultural P&D. The large
number of these relatlvely small agrlcultural research
agencles, however, coupled wlth thelr overlapplng
mandates, weakens the co-ordlnatlon and efflcacy of
agrlcultural research ln Congo.
|n 2004, the Congolese government requested UNLSCO's
asslstance ln strengthenlng natlonal capacltles ln S&T to
revltallze the sclence system after all the lost years of the
Congolese clvll war. UNLSCO has slnce accompanled thls
ongolng effort to reform the country's sclence system step
by step, wlth flnanclal support from the Government of
1apan. |n the pro[ect's flrst stage, a Cenetol keott was
prepared ln 2004 to assess the state of S&T ln Congo, ln
close collaboratlon wlth natlonal stakeholders from the
publlc and prlvate sectors. The Cenetol keott (UNLSCO,
20l0o) found that:
I the sclence governance system was dysfunctlonal. Some
governance structures exlsted only ln theory and, at
0.l3% of GDP, publlc research fundlng was well below
the stated target of l%,
I research lnstltutes, unlversltles and lndustry remalned
lsolated from one another and the entlre system suffered
from a lack of networklng and lntersectoral co-operatlon,
I the sclentlflc communlty had no common representatlve
structure, such as an academy or professlonal
assoclatlons,
I research lnstltutlons suffered from a severe shortage of
facllltles, equlpment, loglstlcs and admlnlstratlve and
technlcal personnel,
I publlc research was placed under the ausplces of the
Mlnlstry of Sclentlflc Pesearch and Technologlcal
|nnovatlon but remalned lsolated from other sectors,
such as agrlculture or lndustry,
I slnce the end of the clvll war, Congolese sclentlsts had
en[oyed llttle lnteractlon and only rare exchanges wlth
forelgn sclentlsts, lncludlng llmlted lnvolvement ln
reglonal and lnternatlonal co-operatlon,
I the capaclty of sclence pollcy-makers and managers
was very low.
Once feedback had been recelved from offlclals on the
dlagnosls made ln the Cenetol keott, a serles of
recommendatlons were made on the formulatlon,
organlzatlon and lmplementatlon of an S&T pollcy.
These were then the ob[ect of extenslve consultatlons
before belng forwarded to the government ln early
2006. The 'dlagnosls' was valldated and enrlched by
nearly 60 Congolese offlclals from varlous stakeholder
groups at a Natlonal Pollcy Porum for Sclentlflc
Pesearch and Technologlcal |nnovatlon organlzed ln
8razzavllle ln May 2007. A serles of semlnars and tralnlng
sesslons on such themes as the governance of S&T and
lnnovatlon pollcles followed ln 8razzavllle (UNLSCO,
20l0o).
Slnce 2005, the pro[ect has resulted ln (UNLSCO, 20l0o):
I the creatlon of a full-fledged mlnlstry responslble for
sclentlflc research and technologlcal lnnovatlon ln
1anuary 2005 to deal wlth an area that had prevlously
come under the responslblllty of the Mlnlstry for
Hlgher Lducatlon,
I the establlshment of a Dlrectorate for Technologlcal
|nnovatlon wlthln the new mlnlstry,
I the development of speclflc statutes for research
workers whlch were ln the flnal stages of adoptlon ln
20l0, under conslderatlon by the Supreme Court,
I a reform of the research lnfrastructure whlch was stlll
under way ln 20l0, ln order to group the large number
of research unlts wlthln three ma[or lnstltutes, those for
agrlcultural sclences, health sclences and exact and llfe
sclences,
I reconstructlon of several research facllltles and the
allocatlon of greater resources to strateglc areas, such
as the Natlonal Agency for the Lnhancement of
Pesearch (Aence not|onole Je volot|sot|on Je lo
techetche),
304
Angola
Benin
Botswana
Burkina Faso
Burundi
Cameroon
Cape Verde
Chad
Comoros
Congo
Cte d'Ivoire
Dem. Rep. of Congo
Equatorial Guinea
Eritrea
Ethiopia
Gabon
Gambia
Ghana
Guinea
Guinea-Bissau
Kenya
Lesotho
Liberia
Madagascar
Malawi
Mali
Mauritius
Mozambique
Namibia
Niger
Nigeria
Rwanda
Sao Tome and Principe
Senegal
Seychelles
Sierra Leone
Somalia
South Africa
Swaziland
Togo
Uganda
Zambia
Zimbabwe
85
-
-
90
94
70
-
-
80
-
40
68
-
-
80
85
60
75
56
76
82
75
6
70
-
90
80
9
81
16
90
70
90
-
77
3
-
71
9
-
65
82
80
85
66
Population employed
in agriculture (%)
0 20 40 60 80 100
agriculture industry services
*
Figure 5: Composition of GDP in sub-Saharan Africa by economic sector, 2009 (%)

-n: data refer to n years before reference year
*provided by authors
Source: estimates from CIA (2010) World Factbook
Sub-Saharan Africa
305
I the establishment of a postgraduate school at the
Marien Ngouabi University, supported by the
universitys Centre for Information Technology (Campus
numrique de lUniversit Marien Ngouabi);
I the elaboration and approval in April 2009 of a science
policy document and an action plan for research and
innovation covering 20102013. The action plan
reiterates the 1% target for the GERD/GDP ratio.
Specific research priorities have been defined, such as
human and animal health; food security; and
environment and biodiversity. These are in keeping
with the major objectives of the countrys
development policy;
I the inclusion of a chapter on S&T in President Denis
Sassou-Nguessos Vision document for Congolese
society, covering 20092016, entitled Le Chemin
dAvenir.
The first project phase wound up in 2010. For the second
phase, UNESCO is suggesting to the Congolese
government that it undertake the following projects:
I review of research institutions;
I the development of an STI financing system;
I the strengthening of human resources in science
policy;
I the launch of a sub-regional parliamentary forum on
the role of STI in socio-economic development;
I the setting-up of university teaching and research
programmes on STI ;
I a study on how to develop science and innovation in
the private sector;
I promotion of innovation and technological entre-
preneurship, taking into account the informal sector;
I the establishment of an intellectual property
protection system;
I a review of participation in regional and international
scientific activities.
UNESCO has also recommended that the budgeting
process be adjusted to allow for a multi-year budgetary
programming cycle with a long-term vision, accompanied
by greater flexibility in the use of funds. It proposes that
the Directorate General for Scientific and Technological
Research fulfil the essential role of co-ordination and
supervision, in close partnership with the Ministry of
Finance. UNESCO is also urging the scientific community
to organize itself into fully representative bodies, such as
one or more academies or associations. The scientific
community is currently too fragmented to play the role of
partner in a permanent process of interaction with the
state authorities and civil society (UNESCO, 2010b).
Cte dIvoire
Cte dIvoire was a paragon of stability and economic
growth in West Africa from the time of independence in
1960 until 2002 when a severe political crisis degenerated
into civil war. This situation practically partitioned the
country and completely jeopardized economic growth,
paralysing scientific progress in the process. As a result,
Cte dIvoire produced 129 publications in 2000 but only
111 in 2002. By 2008, productivity had recovered to
171 but the growth rate was well below that of Uganda,
a country with comparable output in 2000. International
collaboration was likewise affected. Cte dIvoires
scientists co-authored 103 articles in 2000 and 84 in 2002,
a number that had risen to 115 by 2008.
One consequence of the political crisis has been the
extreme difficulty in collecting and processing statistical
data, since the second National Strategy Document for
Statistics Development (20012005) was never adopted by
the government and its successor for 20072010 was still
being finalized in 2010.
Cote d'Ivoire is the world's largest producer and exporter
of cocoa beans and a key exporter of coffee and palm oil.
Despite government attempts to diversify the economy to
reduce its vulnerability to international prices and climatic
conditions, the country remains heavily dependent on
agriculture (CIA, 2010). The National Centre for Agronomic
Research (CNRA) employs two-thirds of the countrys
researchers and absorbs three-quarters of R&D
expenditure.
CNRA has benefited from significant funding from the
World Bank within two successive National Agricultural
Services Support Projects for 19941997 and 19982010.
CNRA has also attracted funding from the African
Development Bank, United Nations Development
Programme and the co-operation agencies of France and
Belgium. It has established bilateral co-operation with the
private sector via contracts with the African Sugar
Company (SUCAF), the Ivorian Company for Textile
Development (CIDT) and the Ivorian Cotton Company
(ICCI), among others.
S
u
b
-
S
a
h
a
r
a
n

A
f
r
i
c
a
|||SO S|||| |||O| 2010
306
0emocratic RepubIic of Congo (Kinshasa)
Lndowed wlth rlch agrlcultural solls, dense forests, abundant
water and large reserves of mlnerals, thls large country wlth
enormous potentlal was devastated by almost unlnterrupted
clvll war, rebelllons and armed confllct between the tlme of
lndependence ln l960 and the government slgnlng of peace
agreements wlth varlous rebel groups ln March 2009. As a
result of thls prolonged polltlcal lnstablllty, the country's
economy ls ln rulns: GDP amounted to [ust PPP US$ 20 bllllon
ln 2008. Sclentlflc productlvlty ls negllglble, wlth [ust
30 publlcatlons reglstered ln Thomson Peuters' Sclence
Cltatlon |ndex ln 2008, although the language barrler may
explaln, ln part, thls poor performance.
The Democratlc Pepubllc of Congo has a small research
lnfrastructure. Of the country's 25 publlc research centres
and lnstltutes, l8 fall under the Mlnlstry of Sclentlflc and
Technologlcal Pesearch and seven under other mlnlstrles.
There are also l9 lnstltutlons of tertlary educatlon and
l3 research centres and lnstltutes ln the hlgher educatlon
sector. The maln prlvate P&D lnstltutlons are the Luozl
Pharma ceutlcal Pesearch Centre (CPPL), Pan-Afrlcan
Pesearch Development |nstltute (|PDA), Afrlcan Centre for
|ndustrlal Pesearch (CAP|) and the Congolese Centre for
Strateglc Studles and Pesearch speclallzlng ln lnternatlonal
relatlons.
|n May 2005, the country organlzed the ltots enetoux for
sclentlflc research. Thls natlonal forum brought together
dlfferent stakeholder groups to draft a strateglc plan for
S&T and gave orlentatlons for the future, lncludlng for the
perlodlc assessment of the research system.
|n 2008, the Democratlc Pepubllc of Congo requested
UNLSCO's asslstance ln developlng a natlonal S&T pollcy.
Thls process ls belng conducted by the Mlnlstry of
Sclentlflc and Technologlcal Pesearch, together wlth the
Natlonal Sclentlflc Councll (CSN).
0abon
Gabon ls among the rlchest countrles ln Afrlca, thanks
malnly to exports of petroleum, manganese, uranlum and
wood. Some 85% of the country ls covered by dense forest.
wlth lts natural resources deterloratlng, however, more
lmportance ls now belng glven to agrlculture, although
Gabon's agrlcultural P&D capaclty remalns one of the
weakest on the contlnent. Three agrlcultural research
lnstltutes account for more than three-quarters of the
country's total P&D staff and expendlture.
The Mlnlstry of Hlgher Lducatlon, Pesearch and
Technologlcal |nnovatlon ls entrusted wlth the
mlsslon of plannlng, promotlng and assesslng P&D
programmes, as well as capaclty-bulldlng. The mlnlstry
has slgned an agreement wlth the Prench Cooperatlon
Mlsslon to develop a Pesearch Dlrectory Scheme ln
Gabon. Thls could boost sclentlflc productlon, whlch ls
globally very low: ln 2008, Gabonese sclentlsts authored
[ust 76 of the papers recorded ln the Sclence Cltatlon
|ndex.
8esldes the Natlonal Councll for Hlgher Lducatlon and
Sclentlflc Pesearch (CONAPLST) and the three natlonal
unlversltles - Omar 8ongo Unlverslty, the Sclence and
Technology Unlverslty of Masuku and the Unlverslty of
Health Sclences - Gabon's maln research lnstltutlons are
the Natlonal Centre for Sclentlflc and Technologlcal
Pesearch (CLNAPLST), the Centre for Speclallzed
Unlverslty Pesearch (CLPLSU), the |nternatlonal Medlcal
Pesearch Centre of Prancevllle (C|PMP) and the
Schweltzer Poundatlon Medlcal Pesearch Laboratory.
Pesearch programmes are mostly conducted wlthln
teams partlclpatlng ln lnternatlonal or sub-reglonal
collaboratlve networks, such as wlth Lurope (28.6%),
North Amerlca (8.6%), the Lconomlc and Monetary
Communlty of Central Afrlca (l7.l %) and the Lconomlc
Communlty of west Afrlcan States (l2.4 %). |n 2007, [ust
57 sclentlflc artlcles resulted from lnternatlonal
collaboratlon ln S&T. However, 22% of researchers have
never publlshed wlthln lnternatlonal networks and,
more worrlsome stlll, l4% of researchers have never
publlshed at all ln the course of thelr career.
Kenya
Kenya ls the reglonal hub for trade and flnance ln
Last Afrlca. Kenya's economy suffered ln early 2008,
after post-electlon vlolence affected tourlsm and
lnvestor confldence. Thls sltuatlon, coupled wlth the
drop ln exports and remlttances as a result of the
global recesslon, has caused annual GDP growth to
sllp from 7% ln 2007 to barely 2% ln 2008 and 2009
(C|A, 20l0).
Agalnst thls backdrop, the Kenyan presldent declded to
establlsh a new sclence mlnlstry ln 2008 by merglng the
Mlnlstry of Sclence and Technology wlth the
Department of Hlgher Lducatlon. The resultant Mlnlstry
of Hlgher Lducatlon, Sclence and Technology plans to
Sub-Saharan Africa
307
strengthen the linkages between higher education and
research. The Kenyan Parliament has since approved a
national policy for biotechnology devised by the ministry
(Box 8).
The government announced a Kenya Vision 2030 in
June 2008. This document calls for a series of five-year
plans for the countrys economic development. The
first plan covers 20082012 and identifies six key
sectors for investment with 20 flagship projects. These
sectors are: tourism, agriculture, manufacturing, trade,
information technology and financial services.
Concerned at the impact of climate change on the
environment, the government allocated US$ 721 million
to conservation in 2010 and announced plans to
establish a regional carbon emissions trading scheme.
The government is hopeful that such a scheme will
attract funding to Kenya and add regional carbon trading
hub to Kenyas established role as a regional hub for trade
and finance. Most of the US$ 721 million allocated to
conservation a rise of more than 50% over the previous
years budget will go to the environment, water and
sanitation sectors (Mboya, 2010).
Mali
A landlocked country, Mali has suffered droughts,
rebellions, coups and a brief border war with Burkina
Faso in recent years. Endowed with a democratically
elected civilian government since 1992, Mali still faces
sporadic fighting with nomadic Tuareg tribes in the
north. The country is saddled with a chronic foreign trade
deficit and an economy largely dependent on cotton
production. The low level of resources allocated to STI has
spawned a small pool of ageing researchers who often
lack motivation.
Since 2000, the national budget has allocated an annual
grant of approximately 1 200 000 (circa US$ 1.8 million)
to studies and research. In addition, a special budget for
investment of 600 million CFA (about US$ 1.2 million)
was allocated each year from 2005 to 2007 for the
rehabilitation and equipping of laboratories in
universities and secondary schools.
As elsewhere in Africa, agricultural research predominates
in Mali. It is thus hardly surprising that it is one of the
priorities of Malis Strategic Plan for 20102019. Mali differs
from many other African countries, however, in that it has
S
u
b
-
S
a
h
a
r
a
n

A
f
r
i
c
a
adopted a policy of centralizing research. There is one
main agricultural R&D agency, the Rural Economy
Institute, which groups roughly 85% of the countrys
agricultural researchers and expenditure.
In addition to government contributions, the Rural
Economy Institute is largely dependent on funding
from the National Agricultural Research Project and the
Support Programme for Agricultural Services and
Associations of Producers (PASAOP), drawn
predominantly from World Bank loans and funding
from the Netherlands through the Rural Economy
Institute Support Project (PAPIER). PASAOP ended in
December 2009 but has been replaced by another
programme supporting agricultural productivity in Mali
(PAPAM).
Private-sector involvement in funding agricultural
research on cotton, rice and other crops is limited to
the Malian Company for Textile Development and the
Niger Office. However, research institutions generate
some income of their own through the
commercialization of research products or services.
Despite a research environment lacking in everything
from infrastructure and equipment to a well-trained,
motivated young labour force, Malian research has
managed to innovate, in particular in the agriculture
and health sectors. Scientists have developed new
varieties of maize, millet, rice and cowpea that are
drought- and pest-resistant, as well as new techniques
to increase yields. They have also developed traditional
medicines and vaccines.
Scientific authorship remains low, however. Just
88 scientific articles from Mali were recorded in the
Science Citation Index in 2008, although this was up
from 30 in 2000. There was a similar level of
productivity in international collaboration in 2008, with
Malian scientists co-authoring 81 articles.
Today, there is a perceptible political will to support STI.
The government has set up 18 national research
institutes co-ordinated by the National Centre for
Scientific and Technological Research (CNRST).
Established in March 2004 under the Ministry of Higher
Education and Scientific Research, CNRST manages the
budget line for Studies and Research. This budget line
leapt from 9 million CFA in 2000 to 60 million CFA in 2009.
308
In Mali, agricultural research is co-ordinated by the
National Committee for Agricultural Research (CNRA).
Health research, on the other hand, is the purview of the
National Institute for Public Health Research (INRSP).
The University of Bamako was founded in January 2006
to take over from the University of Mali. It counts five
faculties and two institutes. Other institutions employed
in R&D and training are the: Central Veterinary Laboratory;
Box 8: Africa invests in biotech
Just three months after discovering
Cubas drug manufacturing capacity
during a visit to the country, so the
story goes, former South African
President Thabo Mbeki announced
South Africas first National
Biotechnology Strategy in 2001.
Several regional and one national
biotechnology innovation centres
followed, the role of which was to
recruit venture capitalists and distribute
federal funds to start-ups. In just a few
years, South Africas biotech strategy
has doubled the number of biotech
companies to more than 80 and
created more than 1 000 research jobs.
Biotech products in development
nearly doubled from900 in 2003 to
more than 1 500 in 2007 and the
industry reported over US$ 100 million
in revenue in 2006.
This novel approach has become
the hallmark of biotech R&Din Africa.
Rather than relying on big
pharmaceutical companies for
investment, a growing number of
African governments are funding
biotech themselves via support for
start-ups, partnerships with
foundations and United Nations
agencies, and R&Dcollaborations
between universities and private
laboratories. TheWellcomeTrusts
African Institutions initiative is investing
US$ 50 million in training researchers in
neglected tropical diseases and in
sponsoring collaboration between
50 scientific institutions in 18 African
countries and private companies.
Novozymes is also assisting with
transfer technology to Kenya and is
training Kenyan students to turn plants,
animals, insects and micro-organisms
into marketable goods. The company
has agreed to build a special laboratory
at the Kenya Wildlife Service
headquarters in Nairobi. Kenya passed
a biosafety bill in 2009.
Burkino Faso passed its own
biosafety bill in 2006. Two years later,
Ugandas Cabinet approved the
countrys first national biotechnology
and biosafety policy. Uganda is
currently using a US$30 million loan
fromtheWorld Bank to improve the
cassava plant.
Nigeria established a National
Biotechnology Development Agency
(NABDA) in 2001 as an institutional
framework for implementing the
National Biotechnology Policy. At a
roundtable organized by NABDA in
April 2008 on the introduction of GM
crops into Nigeria, participantsnoted
the undue delay in the processing of
the Nigerian biosafety bill and urged
the [relevant ministers] to fast-track the
process to obtain National Assembly
approval without further delay.
NABDA has designated six zonal
biotechnology centres of excellence for
the conduct of R&Dcorresponding to
specific biotechnology problems within
each zone. The biosafety bill has been
before parliament since 2009.
Source: Bagley (2010); Chege (2004);
Zablon (2007) ; Odhiambo (2007)
See: www.nabda.gov.ng
TheWorld Health Organization is also
pouring US$ 30 million annually into
research and bringing biotech products
to the market within the African
Network for Drugs and Diagnosis
Innovation that it has helped to
establish.
In 2004, the Kenyan government
decided to invest US$ 12 million to
build abiosafety greenhouse to allow
containment of genetically modified
(GM) crops, in a project funded jointly
by the government and the Swiss
Syngenta Foundation. Kenya thereby
became the second sub-Saharan
country after South Africa to be
equipped to conduct GMexperiments
that conformto international biosafety
standards. The greenhouse has been
built within the Insect-Resistant Maize
for Africa project. The greenhouse was
developed jointly by the Kenya
Agricultural Research Institute and the
International Center for Maize and
Wheat Research (CIMMYT), which also
trained scientists to manage the facility
at its centre in Mexico.
In 2007, the Kenya Wildlife Service
concluded a five-year biotech research
partnership with the Danish company
Novozymes to use enzymes with
potential industrial applications in
biofuels and medicine, in particular. In
return for authorizing Novozymes to
exploit rich microbial biodiversity
commercially within areas under its
control, the Kenya Wildlife Service is
collaborating with Novozymes in
enzyme R&Dand patenting.
SJbS.|...r A|.|c.
309
Pural Lconomy |nstltute mentloned above, Tradltlonal
Medlclne Pesearch Centre (CPMT), Natlonal Agency for
Telemedlclne and Medlcal Computlng (ANT|M) and, Pural
Polytechnlc |nstltute/ |nstltute for Tralnlng and Applled
Pesearch of Katlbougou (|PP/|PPA).
The Mlnlstry of |ndustry holds a Natlonal |nventlon and
|nnovatlon Lxhlbltlon every two years, through the
Natlonal Dlrectorate for lndustry (DN|) and the Mallan
Centre for |ndustrlal Property (CLMAP|).
A wlde range of laws and decrees have been adopted ln
recent years to lmprove the legal framework for S&T. Of note
are those establlshlng a Statute for Pesearchers (2000) and
new lnstltutlons, or flxlng the functlonlng modalltles of
exlstlng lnstltutlons. One product of thls leglslatlve onslaught
ls the Natlonal Agency for |nformatlon and Communlcatlon
Technologles (AGLT|C) datlng from 1anuary 2005. One of the
flrst tasks for AGLT|C was to conduct a study, ln 1une 2005, for
the establlshment of a Natlonal Pollcy on |nformatlon and
Communlcatlon Technologles, wlth support from UNLCA,
the Luropean Commlsslon and the Unlted Natlons
Development Programme.
|n 20l0, Mall was ln the process of formulatlng a natlonal
ST| pollcy wlth a strong focus on lnnovatlon, wlth UNLCA
support.
Nigeria
wlth the return to democracy ln l999 after l5 years of
mllltary rule, the role of ST| ln drlvlng development
started to feature promlnently ln Nlgerla's economlc
reform agenda. |n 200l, Presldent Obasan[o appolnted an
|nternatlonal Honorary Presldentlal Advlsory Councll on
Sclence and Technology to advlse hlm on:
I effectlve ways of developlng S&T for the beneflt of
Nlgerlans, by enhanclng capacltles ln such crltlcal areas
as blotechnologles, |CTs, space sclence and technology,
energy, nanotechnology and mathematlcs,
I effectlve ways of promotlng S&T as an lnstrument for
co-operatlon and lntegratlon ln Afrlca,
I effectlve capaclty-bulldlng programmes for
lmplementatlon by the Pederal Mlnlstry of Sclence and
Technology, lncludlng recourse to the expertlse of
Nlgerlans ln the dlaspora, and partnershlps wlth
lnternatlonal bodles.
The Councll met twlce a year for nearly seven years and
made several lmportant recommendatlons ln the areas
descrlbed above.
Under the presldency of Olusegan Obasan[o (l999-2007),
the Natlonal Lconomlc Lmpowerment and Development
Strategy (NLLDS) was adopted to provlde a framework for
poverty reductlon and wealth creatlon over the perlod
2003-2007. |t ldentlfled ST| as a cross-cuttlng lssue, the
promotlon of whlch was vltal to achlevlng economlc
ob[ectlves. Thls was followed by a 5even-o|nt AenJo and
N|et|o v|s|on 20: 2020, whlch represents the country's
current economlc development pollcy platform. The
N|et|o v|s|on 20: 2020 embraces areas ldentlfled by
l2 commlttees set up by the Pederal Mlnlstry of Sclence
and Technology at the turn of the century. |t spans:
I blotechnology,
I nanotechnology,
I lnstltutlonal llnkages,
I capaclty-bulldlng,
I renewable energy,
I venture capltal,
I space research,
I lndustry-targeted research by small and medlum-slzed
enterprlses,
I knowledge-lntenslve new and advanced materlals,
I ST| lnformatlon management,
I lnformatlon and communlcatlon technologles,
I lntellectual property rlghts,
I tradltlonal medlclne and lndlgenous knowledge.
The target of the N|et|o v|s|on 20: 2020 ls for Nlgerla to [oln
the 20 most powerful economles ln the world by 2020. Thls
target ls based on the assumptlon that the country wlll
achleve a conslstent l2.5% growth rate ln GDP per caplta
over the next decade. There are nlne strateglc targets:
I Carry out a technology foreslght programme by the
end of 20l0,
I |nvest a percentage of GDP ln P&D that ls comparable
to the percentage lnvested by the 20 leadlng
developed economles of the world,
I Lstabllsh three technology lnformatlon centres and
three P&D laboratorles to foster the development of
small and medlum-slzed enterprlses,
I |ncrease the number of sclentlsts, englneers and
technlclans and provlde them wlth lncentlves to
remaln ln Nlgerla,
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
|||SO S|||| |||O| 2010
3l0
I Support programmes deslgned by professlonal S&T
bodles to bulld ST| capaclty,
I Develop an ST| lnformatlon management system for the
acqulsltlon, storage and dlssemlnatlon of research results,
I Attaln progresslvely 30% of local technology content
by 20l3, 50% by 20l6 and 75% by 2020,
I Develop new and advanced materlals as an alternatlve
to the use of petroleum products,
I Lstabllsh a Natlonal Sclence Poundatlon.
|n October 2004, UNLSCO set up an |nternatlonal
Advlsory 8oard for the reform of the Nlgerlan sclence
system, at the government's request. One alm of the
reform process was to dlverslty Nlgerla's economy, whlch
had become extremely dependent on fluctuatlng global
oll prlces. The board recommended (UNLSCO, 2006):
I establlshlng a US$ 5 bllllon Lndowment Pund ln
Nlgerla whlch would be supplemented by donors,
I creatlng a Natlonal Sclence Poundatlon. Thls would be
an lndependent fundlng body for competltlve research
and pro[ects and programmes ln lnnovatlon. |ts maln
functlons would be the provlslon of grants to research
Box 9: Afrlcan |nstltutes of Sclence and Technology
|o A|.|c.r |r|vo.s|ty c| Sc|orco .rJ
oc|rc|cy |r AbJ. (A|S), ||o.|.,
..s ost.b||s|oJ |r 200 by t|o |o|scr
V.rJo|. |rst|tJt|cr, . c|..|ty
|rcc.pc..toJ |r t|o |SA, .s t|o ||.st |r .
|.rA|.|c.r |ot.c.k c| |rst|tJtos c|
Sc|orco .rJ oc|rc|cy .rJ cort.os c|
oxco||orco .c.css t|o ccrt|rort.
A|S st..toJ |ts ||.st .c.Jon|c yo..
|r 'Jro 2008. .c yo..s |.to., t|o
Jr|vo.s|ty ..s c||o.|r ||vo VSc Jo.oo
p.c..nnos |r pJ.o .rJ .pp||oJ
n.t|on.t|cs, ccnpJto. sc|orco,
.pp||oJ p|ys|cs, n.to.|.|s sc|orco .rJ,
pot.c|oJn or|roo.|r. |o Jr|vo.s|ty
|rtorJs tc Jovo|cp |ts c.r |||
p.c..nno |r t|o ccn|r yo..s .rJ tc
ost.b||s| st.cr p..tro.s||ps .|t|
cvo.so.s Jr|vo.s|t|os tc .||c. |||
stJJorts tc Jc p..t c| t|o|. .oso..c|
.b.c.J.
.potc.r (ScJt| A|.|c.), .|t| t|o
|rJ|.r |rst|tJto c| oc|rc|cy bcnb.y
(|rJ|.) .rJ .|t| .r A|S .|||||.to cort.o,
t|o |rto.r.t|cr.| |rst|tJto |c. \.to. .rJ
|rv|.crnort.| |r|roo.|r |r
OJ..JcJcJ (bJ.k|r. |.sc). |o A|S
|r AbJ. |s .|sc oxpoctoJ tc cc||.bc..to
.|t| t|o ||o.|.rs |r t|o ||.spc..
cnn|ss|cr ost.b||s|oJ by |..||.nort
|r 2010 tc |Jort||y ||o.|.r spoc|.||sts
||v|r .b.c.J .rJ orccJ..o t|o|.
p..t|c|p.t|cr |r ||o.|.r pc||cy .rJ
p.coct |c.nJ|.t|cr. Spcrsc.s c| t|o
A|S |r AbJ. |rc|JJo |||SOs AbJJs
S.|.n |rto.r.t|cr.| ort.o |c.
|oc.ot|c.| ||ys|cs, t|o A|.|c.r
|ovo|cpnort b.rk .cJp .rJ t|o
||o.|.r |.t|cr.| |ot.c|oJn
c.pc..t|cr.
5outce: authors, see http://aust.edu.ng/,
www.nm-alst.ac.tz/lndex.htm
|o A|S |r A.Js|., .r..r|., |.s
s|x st..tJp pcst..JJ.to p.c..nnos.
|oso ..o |r n.to.|.|s sc|orco .rJ
or|roo.|r, b|csc|orcos .rJ
b|cor|roo.|r, n.t|on.t|cs .rJ
ccnpJt.t|cr.| sc|orco .rJ
or|roo.|r, ..to. .rJ orv|.crnort
or|roo.|r, oro.y sc|orco .rJ
or|roo.|r (bct| .oro..b|o .rJ rcr
.oro..b|o oro.y), .rJ |Jn.r|t|os
.rJ bJs|ross stJJ|os. |o |.tto. |rc|JJos
n.r.onort .rJ ort.op.oroJ.s||p,
|rrcv.t|cr n.r.onort .rJ
ccnpot|t|voross, .rJ |.. .rJ |||s.
|.c| A|S |rtorJs tc boccno .
.c.|Jc|.ss .oso..c|c.|ortoJ
|rst|tJt|cr. |r AbJ., t|o A|S |.s
Jovo|cpoJ oxtors|vo ||rks .|t| t|o
A|.|c.r sc|ort|||c J|.spc.. .rJ
p..tro.s||ps .|t| t|o A|.|c.r |rst|tJto
c| V.t|on.t|c.| Sc|orcos |r
bodles, unlversltles, enterprlses and lndlvlduals on a
competltlve basls, the equlpplng and capltallzatlon of
research groups, and the establlshment of research
unlversltles,
I creatlng technology-based 'good buslness' zones ln each
state where, for lnstance, buslnesses could obtaln a llcense
wlthln 30 days and beneflt from reduced capltal costs,
I provldlng slx Nlgerlan unlversltles wlth targeted
fundlng and technlcal asslstance to enable them to rank
among the 200 top unlversltles ln the world by 2020.
These four recommendatlons have slnce been approved
by the government. Moreover, the proposal to create
the Natlonal Sclence Poundatlon has been lncorporated
ln the Lconomlc Transformatlon 8lue Prlnt for the
N|et|o v|s|on 20:20, as we have seen. |n 20l0, the
government approved a speclal lnterventlon fund of
US$2l0 mllllon over three years to develop centres of
excellence at slx unlversltles, as well as US$ 66 mllllon for
upgradlng selected polytechnlcs and colleges of
educatlon. Nlgerla has l04 approved unlversltles, 27 of
whlch are federal, 36 state and 4l prlvate unlversltles.
Sub-Saharan Africa
311
In 2010, Parliament approved the establishment of the
Nigerians in the Diaspora Commission, the aimof which is to
identify Nigerian specialists living abroad and encourage
their participation in Nigerian policy and project formulation.
The African University of Science andTechnology in Abuja is
expected to collaborate with the Commission on
implementing this project (Box 9).
Priorities for industrial development inNigeria
Nigeria has about 66 R&Dinstitutes covering various sectors
of the economy. R&Din many of these institutes has
produced a host of nationally patented inventions but the
vast majority remain on the shelf rather than being turned
into innovative products and processes. In line with the
governments NEEDS strategy and ensuing reforms, the
federal government approved funding for the development
of the AbujaTechnologyVillage in 2007 and established a
project team. This project draws on similar initiatives
worldwide which cluster local and multinational companies,
as well as residential areas. These include Silicon Valley in the
USA, Dubai Internet City, the International Technology Park
in India and Cyberjaya in Malaysia. The main clusters of the
Abuja Technology Village are: minerals technology,
biotechnology, energy technology and ICTs.
The National Biotechnology Development Agency was
established in 2001 as an institutional framework for
implementing the National Biotechnology Policy adopted
the same year. The agency has a mandate to co-ordinate,
promote and regulate all biotechnology activities in the
country with a viewto making available this cutting-edge
technology for the promotion of a healthy environment,
ensuring national food security and providing affordable
health care delivery and poverty alleviation. Its development
has been hampered, however, by the delay in the adoption
of a biosafety act to provide a framework for the introduction
and development of GMcrops in Nigeria. See Box 8 for
details.
The state of information technology (IT) in Nigeria left
much to be desired at the turn of the century. Technology
and industrial policy regimes had been marked by the
indiscriminate importation of technology in which
transfer agreements contained unfair clauses. These clauses
included monopoly pricing; restrictive business practices;
export restrictions; high royalty rates; tie-in clauses with
equipment, raw materials, components and so on; a lack
of training and management programmes; and poor
opportunities for local R&D.
The elaboration of Nigerias National Information
Technology Policy in 2001 sought to reduce Nigerias
dependence on imported technology and promote the
countrys global integration to facilitate economic
development. The policy went through a consultative
process that brought together the countrys major IT
stakeholders
8
. Nigeria created a National Information
Technology Development Agency in 2001 specifically to
implement the IT policy. Six years later, Internet access
had jumped from just 0.3% in 2002 to 6.8%. One area that
merits investment in Nigeria is software development.
In July 2006, the federal government launched the
Computer for All Nigerians Initiative (CANI). This
publicprivate collaboration is sponsored by the Federal
Ministry of Science and Technology, Microsoft and Intel.
The computers are made with Intel processors and are
assembled locally by International Business Machines,
Hewlett Packard and four Nigerian companies: Omatek,
Zinox, Brian and Beta Computers. The scheme makes
desktop computers and laptops available to employers at
a 30% discount off the market price. It also offers
affordable 24-month bank loans for the purchase of
personal computers (PCs). The loans are guaranteed by
the employer, with instalments being deducted directly
from the employees salary. Employers are being
encouraged to subsidize the package by about 20% to
reduce the cost of a PC to half the market price.
In 2003, Nigeria became the third country after South
Africa and Egypt to have a presence in space, after the
launch of a low-orbit remote-sensing micro-satellite,
NigeriaSat-1, with the assistance of the Russian
Federation. NigeriaSat-1 monitors the environment and
provides information for infrastructure development. This
prowess enabled Nigeria to join the Disaster Monitoring
Constellation grouping Algeria, China, the UK and
Viet Nam. NigComSat-1 followed in 2007, in collaboration
with the China Great Wall Industry Corporation, to offer
Africa better telecommunications.
In April 2010, the Nigerian Oil and Gas Industry Content
Development Act (Local Content Act) received
presidential assent. Now in force, the new law seeks to
S
u
b
-
S
a
h
a
r
a
n
A
f
r
i
c
a
8. These included the Computer Association of Nigeria, nowknown as the
Nigeria Computer Society, the National InformationTechnology Professionals
Association and the Association of LicensedTelecommunication Companies
in Nigeria (ALTCON), as well as all Nigerians in the diaspora.
|||SO S|||| |||O| 2010
3l2
lncrease lndlgenous partlclpatlon ln the oll and gas
lndustry by prescrlblng mlnlmum thresholds for the use of
local servlces and materlals and by promotlng the
employment of Nlgerlan staff. The Local Content Act
derlves from the Nlgerlan Content Pollcy, whlch seeks to
promote actlve partlclpatlon by Nlgerlans ln the petroleum
sector wlthout compromlslng standards. The pollcy also
focuses on promotlng value addltlon ln Nlgerla through
the utlllzatlon of local raw materlals, products and servlces
ln order to stlmulate the growth of endogenous capaclty.
Rwanda
Pwanda's new development strategy, as elaborated ln
reports llke v|s|on 2020 and the Not|onol lnvestment
5ttotey, shows the country's determlnatlon to adopt S&T
as a fundamental tool to achleve economlc development.
Key government measures to promote ST| lnclude
lmprovements to the country's S&T lnfrastructure through
publlc lnvestment and South-South co-operatlon, the
promotlon of a knowledge economy through lnformatlon
technology and the appllcatlon of sclence, as well as the
development of a small number of world-class lnstltutlons
of hlgher educatlon, lncludlng the Natlonal Unlverslty of
Pwanda and the Klgall |nstltute of Sclence, Technology and
Management.
At the Afrlcan Unlon Summlt ln 1anuary 2007, Pwandan
Presldent Paul Kagame announced that hls country had
boosted expendlture on S&T from less than 0.5% of GDP
a few years ago to l.6%. He also sald hls country would
lncrease lnvestment ln P&D to 3% of GDP by 20l2. That
would make Pwanda's GLPD/GDP ratlo hlgher than that of
most developed countrles. A country teeterlng on collapse
less than a decade ago and stlll llvlng ln the shadow of
genoclde has embarked on a path that could lead to
sclence-based sustalnable development.
|n 2008, the government evoked the posslblllty of
establlshlng an endowment fund for lnnovatlon whlch
would also serve to bulld P&D capaclty ln Pwanda's centres
of excellence. A flrst for Pwanda, the fund would be a
publlc-prlvate partnershlp, wlth research teams belng
entltled to apply for fundlng collectlvely, a move whlch
would facllltate the composltlon of multldlsclpllnary
research teams. At present, each researcher has to apply
for fundlng from lndlvldual mlnlstrles. However, at the tlme
of wrltlng ln early 20l0, no speclflc amount had been
conflrmed for the fund and the pro[ect was stlll under
conslderatlon (Nlyonshutl, 20l0).
Senegal
|n Senegal, agrlculture earns around l4% of GDP and
employs three-quarters of the labour force (Plgure 5). As ln
many other Afrlcan countrles, lt occuples the llon's share
of research actlvltles. |n all, nlne lnstltutes conduct
agrlcultural research, the two core ones belng the
Senegalese |nstltute for Agrlcultural Pesearch (|SPA) and
the |nstltute of Pood Technology (|TA), whlch employ 70%
and 5% of Senegalese researchers respectlvely.
Glven the lmportance of agrlculture, the government has
deployed a lot of energy ln fundlng and re-organlzlng
agrlcultural research over the past decade. |n l999, lt
created the Natlonal Pund for Agrlcultural and Agro-Pood
Pesearch (PNPAA) to serve as a mechanlsm for
channelllng competltlve fundlng durlng the flrst phase of
the world 8ank's PASAOP programme offerlng support to
farmers' organlzatlons. Thls fund has slnce become an
lnstrument for harmonlzlng and promotlng lnstltutlonal
collaboratlon ln agrlcultural P&D and related sectors.
PNPAA has been the ma[or lnltlator of the Natlonal
Pesearch System for Agrlculture, Porestry and Anlmal
Husbandry (SNPASP) launched ln 1une 2009. Thls system
has conslderably strengthened co-operatlon among
ma[or lnstltutlons operatlng ln thls sector. SNPASP derlved
from a decree lssued ln November 2008, whlch ltself
emanated from the Orlentatlon Law adopted ln 1une 2004
to lmplement a 20-year vlslon for the agrlculture sector.
SNPASP alms to ratlonallze agrlcultural P&D and foster
lnter-lnstltutlonal collaboratlon, as well as the settlng-up
of an efflclent S&T lnformatlon network for agrlculture and
related sectors.
The Mlnlstry of Sclentlflc Pesearch adopted a 5ttote|c
keseotch Plon for 2006-20l0 ln 1une 2006. However, thls
plan has not been lmplemented as expected, mostly due
to frequent cablnet reshuffles. The mlnlstry merged wlth
the Mlnlstry of Hlgher Lducatlon ln October 2009 to form
the Mlnlstry of Sclentlflc Pesearch and Hlgher Lducatlon.
|n 20l0, the mlnlstry was puttlng together a formal ST|
pollcy wlth UNLSCO's asslstance.
Pounded ln l999, the Natlonal Academy of Sclence and
Technology of Senegal ls an lndependent body that
provldes evldence-based advlce to the government and
alerts publlc oplnlon to S&T lssues. The academy ls dlvlded
lnto four sectlons: agrlcultural sclences, health sclences,
sclence and technology, and economlc and soclal
sclences.
SJbS.|...r A|.|c.
3l3
The academy has clocked up a number of achlevements.
Por example, lt has adopted a draft programme for the
development of sclence teachlng ln Senegal called the
Natlonal |ndlcatlve Programme. |n parallel, lt has revlewed
lnnovatlve experlences and trends at home and abroad as
a preamble to elaboratlng a sclence educatlon pollcy.
Pollowlng a fact-flndlng mlsslon to Salnt-Louls, members
of the academy staged a speclal sclentlflc sesslon on the
theme of Ploods and Management: the Case of Salnt-Louls,
whlch resulted ln the submlsslon of a paper on a Plood
Control and Urban Management Strategy to the Mlnlstry
of Hydraullcs and water Pesources. The academy has also
organlzed a number of lntercontlnental conferences ln
recent years, ln partnershlp wlth the Afrlcan Peglonal
Centre for Technology and wlthln both the Afrlcan Sclence
Academy Development |nltlatlve (8ox 5) and the
Knowledge Management Afrlca |nltlatlve (8ox 6).
|n May 2008, the Natlonal Agency for Applled Sclentlflc
Pesearch came lnto belng. |t operates dlrectly under the
presldency wlth lts own agenda. One of lts maln
programmes ls the development of a sclence park
supported by the Unlted Natlons Department of Lconomlc
and Soclal Affalrs (UNDLSA), whlch ls supportlng a slmllar
park ln Ghana. The park ln Senegal wlll focus on four areas:
|CTs, blotechnologles, the garment lndustry and,
aquaculture. The agency also organlzed a sub-reglonal
exhlbtlon on research and lnnovatlon ln March 20l0.
South Africa
1ust two years after the electlon of the country's flrst
democratlc government, a whlte Paper on Sclence and
Technology was publlshed ln l996. Lntltled Pteot|n lot
the 21
st
Centuty, lt plnpolnted a number of systemlc fallures
(OLCD, l999):
I a fragmented and lnadequately co-ordlnated sclence
system,
I the eroslon of lnnovatlve capaclty,
I poor knowledge and technology flows from the sclence
base lnto lndustry,
I poor networklng both wlthln the reglon and ln the
global context,
I low lnvestment ln P&D,
I lmbalances created by past pollcles and actlons,
I a lack of competltlvlty wlthln the global envlronment.
The whlte Paper made a number of pollcy recommen-
datlons for developlng South Afrlca's natlonal lnnovatlon
system, lncludlng: the re-allocatlon of government
spendlng accordlng to new prlorltles to promote
lnnovatlve solutlons for the dlsadvantaged, ln partlcular,
the lntroductlon of processes to challenge government
research lnstltutlons to derlve more support from
competltlve sources of fundlng, the promotlon of the
dlffuslon of the results of P&D to make P&D expendlture
more efflclent, and the lntroductlon of longer-term
perspectlves ln plannlng and budgetlng for P&D (OLCD,
l999).
Slx common themes emerged from the whlte Paper's
revlew of pollcy documents (OLCD, l999):
I Promotlng competltlveness and [ob creatlon,
I Lnhanclng the quallty of llfe,
I Developlng human resources,
I worklng towards envlronmental sustalnablllty,
I Promotlng an lnformatlon soclety,
I Produclng a greater volume of knowledge-embedded
products and servlces.
|n 2002, the government adopted the Natlonal Pesearch
and Development Strategy. Thls document has slnce
formed the basls for the development of South Afrlca's
natlonal lnnovatlon system. To promote South Afrlca's
competltlveness, the strategy ldentlfled key technology
mlsslons and sclence platforms. The former lnclude blo-
technology, nanotechnology and |CTs, and the latter
Antarctlc research, marlne blology, astronomy and
palaeosclences.
The Natlonal Pesearch and Development Strategy
recognlzed the need to develop synergles among the
publlc and prlvate components of the sclence system to
create wealth, lmprove the quallty of llfe, develop human
resources and bulld P&D capaclty. |t also flxed the
ob[ectlve of attalnlng a GLPD/GDP ratlo of l%. One of the
measures lmplemented by the government to reallze thls
goal ls the P&D Tax lncentlve Programme launched ln 2008
(see oe 3l5).
Another ob[ectlve of the Natlonal Pesearch and
Development Strategy was to scale up the number of
skllled researchers and technologlsts by adoptlng a dual
upstream (exlstlng P&D personnel) and downstream
(school learners) approach. Upstream, the government
has slnce put ln place a South Afrlcan Pesearch Chalrs
|nltlatlve, a Centres of Lxcellence Programme and a
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
|||SO S|||| |||O| 2010
3l4
Postdoctoral Pellowshlp Programme. Downstream, lt has
lntroduced 8ursary |nltlatlves, outh lnto Sclence and the
Sclence and Lnglneerlng and Technology Awareness
programmes.
Slnce the Natlonal Pesearch and Development Strategy
was adopted, statlstlcs gatherlng and analysls have been
relnforced and new lndlcators have been lntroduced to
assess how well the natlonal lnnovatlon system ls
performlng. The role of the Natlonal Advlsory Councll on
|nnovatlon (NAC|) ls to provlde a dlagnosls and propose
ways of lmprovlng the natlonal lnnovatlon system.
NAC| ls comprlsed of 22 members. Lstabllshed by law ln
l997, the councll advlses the Mlnlster of Sclence and
Technology and, through the mlnlster, the Cablnet, on the
role and contrlbutlon of sclence, mathematlcs, lnnovatlon
and technology ln promotlng natlonal ob[ectlves. NAC|
also ldentlfles P&D prlorltles. The councll groups the full
spectrum of sectors and organlzatlons lnvolved ln
the South Afrlcan natlonal lnnovatlon system and ls
supported by a professlonal secretarlat based wlthln the
Department of Sclence and Technology ln Pretorla, as
well as by three speclallzed advlsory commlttees:
Sclence, Lnglneerlng and Technology for women, the
Natlonal 8lotechnology Advlsory Commlttee and, the
|ndlcators Peference Group.
Trends in R&D investment in South Africa
South Afrlca has managed to lncrease GLPD from 0.7% at the
tlme the Natlonal Pesearch and Development Strategy was
adopted to 0.9% ln 2006. The buslness sector funded 44.8%
of GLPD ln 2006 and performed 57.7%. |nvestment ls not
evenly spread around the country, however, as [ust three out
of nlne provlnces concentrate four-flfths of the total. A
Not|onol 5utvey ol keseotch onJ lxet|mentol 0eveloment
undertaken ln 2006 and 2007 by the Department of Sclence
and Technology (DST, 2009) revealed that more than half
(5l%) of the country's P&D expendlture ln the prlvate and
publlc sectors was concentrated ln the Gauteng Provlnce.
The western Cape (20.4%) and KwaZulu-Natal (ll.0%)
Provlnces ranked second and thlrd respectlvely.
South Afrlca's P&D effort can be broken down lnto
l5 broad flelds. |n 2006, the llon's share of government
fundlng went to the englneerlng sclences (Plgure 6). There
may be a correlatlon between thls hlgh level of fundlng and
the numerous breakthroughs ln englneerlng by South Afrlca
ln recent years, one example belng the Southern Afrlcan
20.9
15.1
14.0
11.0
9.4
6.9
4.8
4.0
3.6
2.6
2.4
1.9
1.7
1.3
0.4
Engineering sciences
Medical & health
sciences
Information, computer science &
communications
Applied sciences &
technology
Social sciences
Agricultural sciences
Biological sciences
Physical sciences
Chemical sciences
Earth sciences
Humanities
Mathematical sciences
Material sciences
Environmental sciences
Marine sciences
Figure 6: 8reakdown of government expendlture on
P&D ln South Afrlca by fleld of research, 2006 (%)
5outce: DST (2009) Not|onol 5utvey ol keseotch onJ lxet|mentol
0eveloment
Large Telescope (8ox l0). Other flelds recelvlng a large
allocatlon are medlcal and health sclences and lnformatlon,
computer sclence and communlcatlons.
Towards a knowledge economy in South Africa
|n 1uly 2007, the DST adopted a ten-year lnnovatlon plan
(2008-20l8). lnnovot|on towotJs o lnowleJe-ooseJ lconomy
bullds on the foundatlons lald by the Natlonal Pesearch and
Development Strategy adopted ln 2002. The purpose of the
ten-year plan ls to help drlve South Afrlca's transformatlon
towards a knowledge economy, one ln whlch the productlon
and dlssemlnatlon of knowledge lead to economlc beneflts
and enrlch all flelds of human endeavour. The plan ls
underplnned by flve grand challenges:
I 7he lotmet to Photmo volue cho|n to sttenthen the o|o-
economy: over the next decade, the goal ls for South
Afrlca to become a world leader ln blotechnology and
pharmaceutlcals, based on the natlon's lndlgenous
resources and expandlng knowledge base (8ox 8),
SJbS.|...r A|.|c.
3l5
I 5oce sc|ence onJ technoloy: South Afrlca should become
a key contrlbutor to global space sclence and technology,
wlth the foundlng of the Natlonal Space Agency ln 2009,
a growlng satelllte lndustry and a range of lnnovatlons ln
space sclences, Larth observatlon, communlcatlons,
navlgatlon and englneerlng,
I lnety secut|ty: South Afrlca must meet lts medlum-term
requlrements ln terms of energy supply whlle lnnovatlng
for the long term ln clean-coal technologles, nuclear
energy, renewable energy and the promlse of the
hydrogen economy,
I Cloool cl|mote chone sc|ence: South Afrlca's geographlcal
posltlon enables lt to play a leadlng role ln cllmate change
sclence,
I lumon onJ soc|ol Jynom|cs: as a leadlng volce among
developlng countrles, South Afrlca should contrlbute to a
greater global understandlng of shlftlng soclal dynamlcs
and the role of sclence ln stlmulatlng growth and
development.
The government launched an P&D Tax lncentlve
Programme ln 2008 to help reach the target stated ln the
Natlonal Pesearch and Development Strategy of a l%
GLPD/GDP ratlo. The alm of the programme ls to
encourage buslnesses to lnvest ln P&D and lnnovatlon
(NAC|, 2009). |t encourages prlvate companles to acqulre
capltal assets, labour and technology for P&D ln the
manner they conslder most productlve then to clalm the
tax lncentlve. The lncentlve lncludes a tax deductlon of
l50% ln respect of actual expendlture lncurred for ellglble
actlvltles and provldes for an accelerated depreclatlon of
assets used for P&D over three years at the rate of
50:30:20.
The government has also lntroduced a scheme allowlng lt
to assess the lmpact of the P&D Tax |ncentlve Programme
on the economy and soclety. The |ncome Tax Act requlres
the DST to report on the aggregate expendlture on P&D
actlvltles and dlrect beneflts of such actlvltles ln terms of
economlc growth, employment and other government
ob[ectlves.
|n l999, the DST set up an |nnovatlon Pund. |t lnvests ln
late-stage P&D, lntellectual property protectlon and the
commerclallzatlon of novel technologles. Among the
selectlon crlterla, appllcants are expected to form a
consortlum and to propose a programme for dlffuslng
thelr new technology to small, medlum-slzed and mlcro-
enterprlses. Prom 20l0 onwards, appllcatlons for fundlng
wlll be admlnlstered by the newly created Technology
|nnovatlon Agency.
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
Box 10: The largest telescope ln the Southern Hemlsphere
|o ScJt|o.r A|.|c.r |..o o|osccpo
(SA|) |s t|o |..ost s|r|o cpt|c.|
to|osccpo |r t|o ScJt|o.r
|on|sp|o.o (see photo, page 28)
.|t| . |ox.cr.| n|..c. ....y 11 n
.c.css. |t |s |cc.toJ |r t|o son|
Joso.t|c .o|cr c| |..cc |r ScJt|
A|.|c..
SA| |s . |.c|||ty c| t|o ScJt|
A|.|c.r Ast.crcn|c.| Obso.v.tc.y
ost.b||s|oJ |r 192 .rJ .Jr by
ScJt| A|.|c.'s |.t|cr.| |oso..c|
|cJrJ.t|cr. |r.JJ..toJ |r
|cvonbo. 2005, SA| |.s boor
|JrJoJ by . ccrsc.t|Jn c| p..tro.s
|.cn ScJt| A|.|c., t|o |SA,
o.n.ry, |c|.rJ, |rJ|., t|o ||
.rJ |o. o.|.rJ.
|A Joncrst..tc. ..J|c to|osccpo
.o.o ||rkoJ tcot|o. .s .r |rto..toJ
syston tc p.cJJco A|.|c.'s ||.st
|rto.|o.cnot.|c |n.o c| .r
.st.crcn|c.| cboct. |rto.|o.cnot.y
.o|o.s tc . toc|r|,Jo by .||c| ..J|c
s|r.|s cc||octoJ .t t|o s.no t|no by
. syston c| rot.c.koJ ..J|c
to|osccpos ..o p.ccossoJ |rtc . s|r|o
|||.osc|Jt|cr |n.o. ||s n||ostcro
.JJ.s .o|| |c. t|o A|.|c.r b|J tc |cst
.|.t .||| bo t|o .c.|J's |..ost ..J|c
to|osccpo, t|o S,J..o |||cnot.o A...y,
boc.Jso |t Joncrst..tos t|.t A|.|c.rs
|.vo t|o toc|r|c.| oxpo.t|so tc bJ||J
sJc| . ccnp|ox .c.k|r |rst.Jnort.
5outce: www.salt.ac.za, www.saao.ac.za/,
SouthAfrlca.|nfo (20l0o, 20l0o)
|o to|osccpo .||| bo .b|o tc
.occ.J J|st.rt st..s, .|.x|os .rJ
,J.s..s . b||||cr t|nos tcc |.|rt tc bo
soor .|t| t|o r.koJ oyo, .s |.|rt .s .
c.rJ|o ||.no .t t|o J|st.rco c| t|o
Vccr.
|r 2010, t|o ScJt| A|.|c.r
Ast.crcn|c.| Obso.v.tc.y .cr
. b|J tc |cst t|o |rto.r.t|cr.|
Ast.crcn|c.| |r|crs O|||co |c.
Ast.crcny |ovo|cpnort, .||c| .|||
p|.y . koy .c|o |r t.k|r .st.crcny
tc t|o Jovo|cp|r .c.|J by
ccc.J|r.t|r .rJ n.r.|r .||
oJJc.t|cr.| .ct|v|t|os.
ScJt| A|.|c.r .st.crcny
co|ob..toJ .rct|o. n||ostcro |r 2010
.|or t|o ||.st |cJ. to|osccpos c| t|o
|||SO S|||| |||O| 2010
3l6
Among other measures to foster unlverslty-lndustry
llnkages, sclence counclls themselves are now entltled to
engage ln hlgh-tech spln-offs, elther vla thelr own P&D or
vla the commerclallzatlon of research results acqulred from
unlversltles. The Department of Trade has also lntroduced
the Technology for Human Pesources ln |ndustry
Programme. Admlnlstered by the Natlonal Pesearch
Poundatlon, lt matches the fundlng provlded by unlverslty-
lndustry research pro[ects (OLCD, l999).
|n 2008, South Afrlca exported most of lts hlgh technology to
Germany, followed by Prance, Nlgerla and Zambla. Most of lts
hlgh-tech lmports came from Chlna, followed by the USA,
Germany and Sweden (NAC|, 2009).
|nternet remalns unaffordable for many South Afrlcans, a
factor whlch hampers the development of a knowledge
economy. 1ust 8.2% of the populatlon had access to |nternet
ln 2007. |n a speech before Parllament ln Aprll 20l0, the
Mlnlster of Communlcatlons stated that 'for the past flve
years, the cost of communlcatlng and dolng buslness ln
South Afrlca has been lmpeded by exorbltant charges.' He
sald that 'consultatlon towards developlng a comprehenslve
|CT pollcy framework has begun'. He also announced that the
Department of Communlcatlons had developed an |CT Small
and Medlum Lnterprlse Strategy for the establlshment of |CT
buslness lncubatlon centres ln the Llmpopo, Mpumalanga
and KwaZulu provlnces (Mlnlster of Communlcatlons, 20l0).
South Afrlca ls actlve ln pan-Afrlcan collaboratlon. |t chalrs
the Southern Afrlcan Development Communlty (SADC) S&T
group, whlch recently drafted a l0-year plan for the SADC.
South Afrlca also supports three NLPAD flagshlp pro[ects: the
Afrlcan |nstltute for Mathematlcal Sclences, the Afrlcan Laser
Centre and the Southern Afrlcan Network for 8losclences.
South Afrlca also partlclpates ln the NLPAD/Southern Afrlcan
Peglonal Unlversltles Assoclatlon roundtable dlscusslons on
lmplementatlon of the CPA and on englneerlng capaclty-
bulldlng for manufacturlng. |t has also offered to host the
Afrlcan Observatory of Sclence, Technology and |nnovatlon
(see oe 299).
Uganda
Manufacturlng, constructlon and mlnlng are Uganda's maln
lndustrles. The lndustrlal sector accounts for about 25% of
GDP and ls estlmated to have grown by 7.0% ln 2007, up
from 6.4% a year earller. The dlscovery of commerclally
vlable oll deposlts has prompted hopes that Uganda wlll
soon become a net oll exporter.
|t has been argued that lt ls not the level of lnnovatlon of a
country that ls paramount but rather lts ablllty to adopt,
adapt and absorb technologles. However, many lndustrles ln
Uganda are operatlng below capaclty because l) they have
lmported obsolete technology or for lack of regular
malntenance of machlnery, 2) some technologles are
unsulted to local condltlons or even 3) because some
technologles have been lmported wlthout the technlcal
know-how to use them, renderlng them useless - especlally
when they break down. A further bottleneck stems from the
fact that a number of bodles mandated to oversee
technology transfer, assessment and forecastlng have not
been glven the means to carry out thelr mlsslon. These
lnclude the Uganda |nvestment Authorlty, the Uganda
Peglstratlon Servlces 8ureau, the Uganda |ndustrlal
Pesearch |nstltute and the Uganda Natlonal Councll for
Sclence and Technology.
The Natlonal |ndustrlallzatlon Pollcy of 2008 alms to create a
buslness-frlendly envlronment for prlvate sector-led,
envlronmentally sustalnable lndustrlallzatlon to help
lndustrles lmprove thelr productlvlty and the quallty of thelr
products through lnnovatlon. |t contalns provlslons for
developlng domestlc resource-based lndustrles such as the
petroleum, cement, fertlllzer and agro-processlng lndustrles
(leather goods, dalry products, garments, etc.), as well as
such knowledge-based lndustrles as |CTs, call centres and
pharmaceutlcals. Strategles lnclude encouraglng forelgn
dlrect lnvestment ln lndustry and lndustry-related servlces,
the creatlon of a framework to support publlc-prlvate
partnershlps for the productlon of hlgher value-added
goods and servlces for domestlc consumptlon and export,
a wlder tax base and greater lntegratlon wlth agrlculture to
produce value-added nlche products.
|n 2008 the Atomlc Lnergy Act establlshed the Atomlc
Lnergy Councll. The act also provlded a framework for the
promotlon and development of nuclear energy for use ln
power generatlon and other peaceful purposes.
Uganda's |nformatlon and Communlcatlon Technology
Pollcy dates back to 2003. Although |nternet access has
slnce grown to 2.5% (2006), |nternet lnfrastructure
remalns largely conflned to the cltles, wlth rural locatlons
dependlng prlmarlly on vSAT appllcatlons. Phase One of
the Natlonal 8ackbone |nfrastructure (N8|) lnltlatlve
ended ln 2008 after coverlng Kampala wlth 900 km of
hlgh-capaclty flbre optlc cables. Phase Two covered an
addltlonal l 500 km ln 2009. As a result, the core
SJbS.|...r A|.|c.
3l7
telecommunlcatlons lnfrastructure network ln and around
Kampala ls relatlvely well developed, wlth some flbre
optlc lnfrastructure and mlcrowave llnks. New |CT
enterprlses and tralnlng facllltles have prollferated ln the
form of handset sellers and alrtlme vendors that lnclude
Mldcom and Slmba Telecom. |CT-related courses llke
telecommunlcatlons englneerlng are also now belng
offered at unlversltles that lnclude the Makerere
Unlverslty |T Centre and the |CT lncubatlon park of the
Uganda |nvestment Authorlty.
Although GLPD remalns low ln Uganda at around 0.3-0.4%
of GDP, all of government expendlture on P&D ls used for
clvll purposes, unllke many other countrles where lt also
encompasses defence spendlng (UNCST, 2007, 2009).
|n Uganda, there ls llttle that would quallfy as P&D accordlng
to the strlct deflnltlon ln the ltoscot| Vonuol but the
government ls lnvestlng ln a wlde range of P&D-based
programmes. These lnclude programmes to support P&D
performed ln the hlgher educatlon sector, wlth fundlng from
the Mlllennlum Sclence |nltlatlve and the Swedlsh
|nternatlonal Development Agency. The government also
funds P&D programmes executed by government
departments and agencles whlch lnclude the Uganda
|ndustrlal Pesearch |nstltute, the Natlonal Agrlcultural
Pesearch Organlsatlon and the 1olnt Cllnlcal Pesearch Centre.
The government ls also fundlng pro[ects admlnlstered by
the Natlonal Councll for Sclence and Technology and
Makerere Unlverslty to help buslnesses develop P&D. The
20l0-20ll budget announced ln 1une 20l0 brlngs a
breath of fresh alr to the unlverslty. |t foresees an extra
US$ 2.2 mllllon for Makerere Unlverslty and US$ l.8 mllllon
to nurture a venture capltal fund for start-up companles
launched by unlverslty graduates. Ugandan sclentlsts are
also to recelve a 30% rlse ln salary, the Uganda |ndustrlal
Pesearch |nstltute an extra US$ 540 000 and Lnterprlse
Uganda, a fund supportlng entrepreneurshlp, a further
US$ 450 000 (Nordllng, 20l0c).
|n 2006, Uganda recelved a US$ 25 mllllon loan from the
world 8ank to support S&T wlthln the country, lncludlng
the creatlon of centres of sclentlflc excellence that wlll
serve not only Uganda but the entlre reglon. The grant
was glven, ln part, because of Uganda's efforts to bulld lts
own S&T capacltles, partlcularly ln the flelds of agrlcultural
sclence and publlc health, lncludlng vla the Uganda
Natlonal Health Pesearch Organlzatlon Act (2006).
The Natlonal Agrlcultural Pesearch Pollcy was released
ln 2003 ln llne wlth the prlnclples of the Plon lot
VoJetn|zot|on ol At|cultute, ln order to gulde the
generatlon and dlssemlnatlon of research and lmproved
technologles for agrlcultural development and promote
the uptake thereof. The pollcy lncludes guldellnes for the
formulatlon and prlorltlzatlon of agrlcultural research
programmes. Prlorlty areas for P&D are:
I technology development and multlpllcatlon, lncludlng
the lmportatlon, adaptatlon and adoptlon of hlgh-
yleldlng dlsease- and pest-reslstant plantlng and
storlng materlals,
I soclo-economlc research, lncludlng partlclpatory
needs assessment, technology adoptlon and lmpact
studles, pollcy research and analysls, cost-beneflt
studles and gender-responslve technologles,
I research on agrlculture-related aspects of poverty and
food securlty,
I appllcatlon of lnformatlon technologles ln developlng
declslon support systems, such as crop modelllng,
I farm power and post-harvest technologles, lncludlng
anlmal tractlon, solar and wlnd energy and blogas,
I storage and preservatlon of perlshable commodltles
and agro-processlng,
I land and water resources management, lncludlng soll
fertlllty, land degradatlon, productlon systems (for
crop, llvestock, aquaculture, agro-forestry), water
harvestlng technlques and lrrlgatlon,
I sustalnable natural resource utlllzatlon, lncludlng
capture flsherles, blodlverslty conservatlon and
envlronmental-frlendly technologles.
I lntegratlon of lndlgenous knowledge lnto modern and
lmproved technologles, lncludlng dlsease and pest
control, food preservatlon and the lmprovement of
food palatablllty.
|n 2008, Uganda's cablnet approved the country's flrst
Natlonal 8lotechnology and 8losafety Pollcy. The pollcy
provldes ob[ectlves and guldellnes for the promotlon and
regulatlon of blotechnology use ln the country (8ox 8).
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
|||SO S|||| |||O| 2010
3l8
The Natlonal Councll for Sclence and Technology submltted
a comprehenslve natlonal ST| pollcy to the Cablnet for
approval and lmplementatlon ln 1uly 2006. The broad
ob[ectlves of thls pollcy are to:
I lncrease publlc awareness and appreclatlon of ST|,
I lncrease lnvestment ln ST|,
I support P&D,
I strengthen the natlonal system for technology transfer
and lntellectual property management,
I lmprove the lnformatlon management system,
I bulld and malntaln ST| human capltal and lnfrastructure,
I strengthen systems for ensurlng safety, ethlcs and hlgh
standards ln ST|,
I strengthen the framework for ST| co-ordlnatlon.
The natlonal ST| pollcy came a year after the government
lntroduced measures to lmprove sclentlflc llteracy and attract
more young people to sclentlflc careers. Under the Sclence
Lducatlon Pollcy adopted ln 2005, classes ln blology,
chemlstry and physlcs have become compulsory for all
secondary school puplls. Plrst-year unlverslty students are also
obllged to take some sclence courses towards thelr degree.
The pollcy allocates nearly three-quarters of government
scholarshlps to students studylng towards a sclence degree at
unlverslty and other lnstltutlons of tertlary educatlon.
O|||S|O|
whlle lt appears that the ma[orlty of Afrlcan leaders are
convlnced that only through sclence-drlven development
can thelr natlons overcome poverty and achleve the
Mlllennlum Development Goals, there ls an urgent need for
slngle-mlnded polltlcal leadershlp to translate thls convlctlon
lnto an artlculated plan of actlon and for a strong
government commltment to lmplement lt. There are seven
levels of actlon that requlre the attentlon of governments:
l|tstly, lt ls essentlal that a natlonal sclence pollcy based on
the technologlcal and lndustrlal needs of soclety be
approprlately deslgned ln collaboratlon wlth the local
sclentlflc leadershlp. Por a country to have a clear and
effectlve sclence pollcy, lt ls lmperatlve that an efflclent
sclence pollcy organ be formed lnvolvlng knowledgeable
and capable sclence managers and advlsors wlth sufflclent
responslblllty and power to enable lt to deslgn and execute
the natlonal sclence plan and co-ordlnate all the country's
S&T actlvltles. The number of Afrlcan countrles wlth sclence
pollcy organs has, fortunately, substantlally lncreased ln
recent years, partlcularly at the mlnlsterlal level. There are
currently over 40 mlnlstrles responslble for natlonal S&T
pollcles ln the reglon. Nevertheless, a number of crltlcal
problems have to be resolved before these bodles can
render the servlces expected of them. These problems are
largely caused by a shortage of funds and lnefflclency ln the
management and organlzatlon of S&T.
5econJly, lt ls essentlal that the sclence pollcy be fully
lntegrated lnto the natlon's development plan. Thls wlll
ensure that the S&T knowledge generated by varlous
research lnstltutlons ls llnked to the country's soclo-
economlc and lndustrlal needs. Purthermore, ensurlng a
close relatlonshlp between the natlonal development plan
and the natlonal S&T pollcy wlll expand lndustrlal
lnvolvement and that of the productlve sectors ln P&D, on
the one hand, and promote mlsslon-orlented P&D ln support
of economlc sectors, on the other. Thls ls well-lllustrated by
the case of the Pepubllc of Korea where concerted actlon by
the government and prlvate sector has helped the country
to achleve remarkable progress ln S&T and lndustrlal
development (see oe 4l5).
7h|tJly, the government must ensure that adequate, stable
fundlng ls provlded for the lmplementatlon of the natlonal
S&T pollcy. As lndlcated earller, wlthout a flrm commltment
by the ma[orlty of Afrlcan governments to ralslng the level of
P&D fundlng from lts current level of less than 0.3% of GDP to
at least l%, no sclence pollcy wlll be effectlve ln generatlng
and sustalnlng endogenous research. The average proportlon
of GDP allocated to P&D ln Afrlca ls about one-tenth the
proportlon ln lndustrlallzed countrles. Thls ls ln stark contrast
to the large percentage of GDP spent on the mllltary.
loutthly, to counteract braln draln and ensure a crltlcal mass
of hlghly quallfled experts ln S&T, a number of world-class
research and tralnlng lnstltutlons ln crltlcal areas such as food
securlty, energy supply, troplcal dlseases, soll eroslon, water
quallty, deforestatlon and desertlflcatlon must be establlshed
and sustalned on the contlnent. |n addltlon, Afrlcan states
and donor organlzatlons need to act collectlvely to establlsh
hlgh-level research and tralnlng centres ln key areas of
frontler sclence and technology, such as molecular blology,
blotechnology, lnformatlcs, nanotechnology and new
materlals. The Afrlcan Academy of Sclence, whlch groups
emlnent sclentlsts from all over Afrlca and has facllltated the
establlshment of a Network of Academles of Sclence on the
contlnent, can play a key role ln developlng reglonal
SJbS.|...r A|.|c.
3l9
programmes ln S&T. 8oth the Academy of Sclence and the
network deserve strong support from Afrlcan governments.
l|lthly, every Afrlcan country should strlve to produce at least
l 000 sclentlsts per mllllon populatlon by 2025. To facllltate
thls trend, Afrlcan governments and donor organlzatlons
should fund a ma[or scholarshlp programme to enable
Afrlcan students to pursue postgraduate educatlon at hlgh-
level sclentlflc lnstltutlons on the contlnent and ln other
sclentlflcally advanced developlng countrles. Such a
programme could be lmplemented ln collaboratlon wlth the
Academy of Sclences for the Developlng world. Speclal
attentlon should be pald to the dlscovery and development
of talent. Speclal programmes, such as the Olymplads almed
at ldentlfylng students wlth exceptlonal sclentlflc abllltles,
should be supported at the natlonal, sub-reglonal and
reglonal levels. Glfted students selected through these
programmes should be nurtured ln an envlronment
conduclve to acceleratlng the development of thelr talent.
Thls can be achleved through the establlshment of natlonal
or reglonal ellte schools and colleges for glfted students, as
has been done ln Central Asla (see oe 240), or through the
deslgn of lntenslve, challenglng addltlonal school and
unlverslty courses ln baslc sclences and mathematlcs.
5|xthly, there ls an urgent need to restructure the systems of
secondary and hlgher educatlon to make sclence more
lnterestlng and attractlve to the young. Thls means devlslng
a more hands-on approach to sclentlflc study ln the
classroom, emphaslzlng learnlng by dolng rather than the
rote memorlzatlon that has hlstorlcally characterlsed
sclentlflc learnlng, especlally ln blology. lo mo|n lo te
lnltlatlve launched by the Prench Academy of Sclences a few
years ago has become a much emulated strategy for
educatlonal reform ln sclence.
lost out not leost, Afrlcan countrles must support
programmes to lncrease sclentlflc llteracy among both
chlldren and adults. As sclence galns promlnence among
Afrlcan countrles, lt ls lmportant to create and support
lnstltutlons for llfelong learnlng that enable people to
understand what sclence-based development means for
them and the role that sclence can play ln poverty allevlatlon
and sustalnable growth. Of the 2 400 sclence centres and
sclence museums worldwlde, [ust 23 are ln Afrlca, where they
are concentrated ln flve countrles: Lgypt, Tunlsla, 8otswana,
Maurltlus and, most notably, South Afrlca, whlch hosts
l7 such centres. There ls an urgent need to establlsh at least
one sclence centre or museum ln every Afrlcan country.
||||||||S
Adhlambo, M. (20l0) Zebra-scented cattle keep tsetse
flles away. 5c|0ev.net, 25 1une. Avallable at:
www.scldev.net/
Afrlca Commlsslon (2009) keol|s|n the Potent|ol ol Alt|co's
outh. Peport publlshed by Mlnlstry of Porelgn Affalrs of
Denmark, May 2009.
Akogun K. (20l0) House, stakeholders bralnstorm on dlaspora
commlsslon blll. AllAlt|co.com, 8 March. Avallable at:
http://allafrlca.com/storles/20l003090473.html
ATPS (2007) A ltomewotl lot the 5ttote|c Anolys|s onJ
Vonoement ol the 8to|n 0to|n ol Alt|con leolthcote
Ptoless|onols: on lnnovot|on 5ystems Atooch. Afrlcan
Technology Pollcy Studles Network Paper Serles No. 2.
Afrlca Technology Pollcy Studles, Nalrobl.
8agley, K. (20l0) Afrlcan and lnternatlonal efforts are
boostlng the contlnent's blotech lndustry - for now.
7he 5c|ent|st.com. Avallable at: www.the-sclentlst.com
8otman, P. H, Pakle, A, Pauw, C. (2009) A Pedagogy of Hope:
Hlgher Lducatlon and Sustalnable Development ln
Afrlca. Paper presented at the l2
th
General Conference
of the Assoclatlon of Afrlcan Unlversltles, Abu[a, Nlgerla,
4 - 9 May.
Chege, K. (2004) $l2 mllllon greenhouse slgnals Kenyan GM
commltment. 5c|0ev.net, 25 1une. Avallable at:
www.scldev.net
C|A (20l0) world Pactbook. US Central |ntelllgence Agency.
Avallable at: www.cla.gov/llbrary/publlcatlons/
the-world-factbook/geos/ao.html
DST (2009) Not|onol 5utvey ol keseotch onJ lxet|mentol
0eveloment. Department of Sclence and Technology,
Pretorla.
Galllard, 1. (2008) le systme not|onol Je techetche sc|ent|l|que
et techn|que Ju 8en|n: etot Jes l|eut. Peport prepared for
UNLSCO, Parls.
Makonl, M. and Scott, C. (2009) 8otswana beglns bulldlng
new S&T unlverslty. 5c|0ev.net, 2l May. Avallable at:
www.scldev.net
Mboya, D. (20l0) Kenya hopes to become Afrlca's carbon
trade hub. 5c|0ev.net, 2l 1une.
Mlnlster of Communlcatlons (20l0) |CT for accelerated servlce
dellvery and empowerment! 8udget vote speech,
20 Aprll. Avallable at: www.pmg.org.za
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
|||SO S|||| |||O| 2010
320
Moyer, L.1. (2007) An educated vlew of unlversltles. keseotch
Alt|co. Avallable at: www.arp.harvard.edu/AfrlcaHlgher
Lducatlon/lmages/Lconomlcs0_smText.pdf
Mugabe, 1 and Amball, A. (2006) Alt|cos 5c|ence onJ
7echnoloy Consol|JoteJ Plon ol Act|on. The NLPAD Offlce
of Sclence and Technology. Pretorla, South Afrlca.
Mvondo, C. (20l0) Cameroon puts braln draln lnto reverse.
5c|0ev.net, 5 1anuary.
NAC| (2009) 5outh Alt|con 5c|ence onJ 7echnoloy lnJ|cotots.
Natlonal Advlsory Councll on |nnovatlon. Avallable at:
www.nacl.org.za/resources/pubs.html
Ngandwe, T. (2007) Zambla announces plans to plug braln
draln. 5c|0ev.net, 26 November.
Nlyonshutl, |. (20l0) Pwanda: Country to Lstabllsh |nnovatlon
Lndowment Pund. 7he New 7|mes, 24 1anuary. Avallable
at: www.allAfrlca.com
Nordllng, L. (20l0o) Afrlca Analysls: Contlnent's sclence plan
needs refocus. 5c|0ev.net, 26 Pebruary.
(20l0o) Afrlca Analysls: Sclence observatory faces
obstacles. 5c|0ev.Net, 3l March.
(20l0c) 8lg spendlng on sclence promlsed for Last
Afrlca. 5c|Jev.net, ll 1une.
OLCD (l999) 5c|ence, 7echnoloy onJ lnnovot|on: kecent Pol|cy
0eveloment |n 5outh Alt|co. Avallable at:
www.oecd.org/dataoecd/25/35/2ll2l29.pdf
Odhlambo, Z. (2007) Kenya slgns deal to explolt mlcroblal
goldmlne. 5c|0ev.net, 5 1uly. Avallable at: www.scldev.net
Pourls, A. and Pourls, A. (2009) The state of sclence and
technology ln Afrlca (2000-2004): A sclentometrlc
assessment. 5c|entomett|cs, vol 79 (l).
Stads, G.1. and 8oro, S.|. (2004) 8utl|no loso: At|cultutol onJ
7echnoloy lnJ|cotots. Country 8rlef 2l. |nternatlonal
Pood Pollcy Pesearch |nstltute and Consultatlve Group
on |nternatlonal Agrlcultural Pesearch.
SouthAfrlca. |nfo (20l0o) SA to host lnternatlonal astronomy
offlce. 5outhAlt|co. lnlo, 26 May. Avallable at:
www.southafrlca.lnfo
(20l0o) Ma[or mllestone for KAT-7 telescope. 5outhAlt|co
lnlo, l8 May. Avallable at:
www.southafrlca.lnfo/about/sclence/kat7-l705l0.htm
Teng-Zeng, P.K. (2006) Sclence and Technology |ndlcators ln
Afrlca: Hlstorlcal Development and Challenges. Paper
presented at the |nternatlonal Conference on Sclence,
Technology and |nnovatlon |ndlcators. Hlstory and New
Perspectlves, Lugano, l5-l7 November.
UNCHL (2006) The State of Hlgher Lducatlon and Tralnlng ln
Uganda: A Peport on Hlgher Lducatlon Dellvery
|nstltutlons. Ugandan Natlonal Councll for Hlgher
Lducatlon.
UN Mlllennlum Pro[ect (2005) lnnovot|on: Aly|n
lnowleJe |n 0eveloment, Task Porce on Sclence,
Technology and |nnovatlon. Larthscan, London, Sterllng,
vlrglnla, USA.
UNCST (2009) 5c|ence, 7echnoloy onJ lnnovot|on. 2007
uonJos 5totus keotts . Uganda Natlonal Councll for
Sclence and Technology, Kampala.
(2007) 5c|ence, 7echnoloy onJ lnnovot|on. 2007
uonJos 5totus keotts. Uganda Natlonal Councll for
Sclence and Technology, Kampala.
UNDLSA (2009) 7he V|llenn|um 0eveloment Cools keott.
Unlted Natlons Department of Lconomlc and Soclal
Affalrs. New ork.
UNLCA (2005) lmet|n lssues |n 5c|ence onJ 7echnoloy lot
Alt|cos 0eveloment: 5c|ence, 7echnoloy onJ lnnovot|on
lot Veet|n ley V0Cs. Sustalnable Development Dlvlslon
of Unlted Natlons Lconomlc Commlsslon for Afrlca,
Addls Ababa.
UNLSCO (20l0o) keoch|n the Vot|nol|zeJ. Lducatlon for
All Global Monltorlng Peport. Avallable at:
www.unesco.org/en/efareport/
(20l0o) Ptoject lot 5ttenthen|n 5c|ence onJ 7echnoloy
Pol|cy Cooc|t|es |n the keuol|c ol Cono. 8rochure.
Avallable at: www.unesco.org/sclence/psd/
thm_lnnov/reform_congo.shtml
(2006) Nlgerlan Presldent pledges US$5 bllllon towards
Natlonal Sclence Poundatlon. A wotlJ ol 5c|ence.
Avallable at: http://unesdoc.unesco.org/
lmages/00l4/00l473/l47357L.pdf
Urama, K.C. (2009) l|het lJucot|on lot 5usto|noole
0eveloment |n Alt|co. Afrlcan Technology Pollcy Studles
Network (ATPS) Speclal Paper Serles, Nalrobl.
Zaku, A. 8. (2009) Keynote Address presented by Honourable
Mlnlster Pederal Mlnlstry of Sclence and Technology,
Nlgerla. Proceedlngs of |nternatlonal Conference on
8ulldlng a Natlonal System of |nnovatlon ln Nlgerla.
Pockvlew Hotel, Abu[a, Nlgerla, 6 - 7 1uly.
SJbS.|...r A|.|c.
32l
S
u
b
-
S
a
h
a
r
a
n

A
f
r
l
c
a
\|bS||S
Abu[a Technology vlllage: abu[atechnologyvlllage.com
Afrlcan Peer Pevlew Mechanlsm: www.aprm.org.za
Afrlcan Mlnlsterlal Councll on Sclence and Technology:
www.nepadst.org
Afrlcan Peglonal |ntellectual Property Organlzatlon:
www.arlpo.org
Afrlcan Technology Pollcy Studles Network (Kenya):
www.atpsnet.org
Alt|cos 5c|ence onJ 7echnoloy Consol|JoteJ Plon ol Act|on:
www.nepadst.org
Councll for Sclentlflc and |ndustrlal Pesearch (Ghana):
www.cslr.org.gh
|nnovatlon Pund (South Afrlca): www.lnnovatlonfund.ac.za
Natlonal Advlsory Councll on |nnovatlon (South Afrlca):
www.nacl.org.za
Natlonal 8lotechnology Development Agency (Nlgerla):
www.nabda.gov.ng
N|et|o v|s|on 20: 2020. See Natlonal Plannlng Commlsslon:
www.npc.gov.ng
Organlsatlon afrlcalne de la protectlon lntellectuelle:
www.oapl.wlpo.net
Parllamentary Monltorlng Group (South Afrlca):
www.pmg.org.za
Kevin Chika Urama ls an envlronmental and ecologlcal
economlst. 8orn ln Nlgerla ln l969, he holds the 2002-2003
1ames Claydon Prlze from the Unlverslty of Cambrldge ln
the UK for the most outstandlng PhD thesls ln Lconomlcs
or related sub[ects.
He ls currrently Lxecutlve Dlrector of the Afrlcan Technology
Pollcy Studles Network (ATPS) ln Nalrobl, Kenya. ATPS
launched the Alt|con Von|lesto lot 5c|ence, 7echnoloy
onJ lnnovot|on ln November 20l0. The manlfesto was
developed ln llalson wlth partners from Lurope, Afrlca and
|ndla wlthln an LU-funded pro[ect on Sclence, Lthlcs and
Technologlcal Pesponslbllltles ln Developlng and Lmerglng
Countrles. ATPS ls currently developlng blennlal reportlng
vla a 5tote ol 57l |n Alt|co report.
Mohamed H.A. Hassan was born ln the Sudanese clty of
Llgetlna ln l947. After obtalnlng hls DPhll from the
Unlverslty of Oxford ln the UK ln l974, he returned to
Sudan as Professor and Dean of the School of
Mathematlcal Sclences at the Unlverslty of Khartoum.
He ls currently Lxecutlve Dlrector of the Academy of
Sclences for the Developlng world (TwAS) based ln |taly.
He ls also Presldent of the Afrlcan Academy of Sclences,
of whlch he ls a foundlng member, and Chalr of the
Honorary Presldentlal Advlsory Councll for Sclence and
Technology ln Nlgerla.
Nicholas Ozor ls a Postdoctoral Pesearch Offlcer at
the Afrlcan Technology Pollcy Studles Network ln
Nalrobl, Kenya, where he leads a host of natlonal and
lnternatlonally funded research pro[ects on agrlcultural
lnnovatlon, cllmate change and technology management
and transfer.
8orn ln l970, he ls a Commonwealth Scholar and former
lecturer ln the Department of Agrlcultural Lxtenslon at
the Unlverslty of Nlgerla ln Nsukka. He won the 8est PhD
Thesls Award ln Agrlculture ln Nlgerla for 2006 under the
Nlgerlan Unlversltles Doctoral Theses Award Scheme
organlzed by the Natlonal Unlversltles Commlsslon.
Ousmane Kane was born ln l948 ln Podor, Senegal. He
obtalned hls PhD ln Applled Plant Physlology (l976) from
the Plerre and Marle Curle Unlverslty ln Parls, Prance. Thls
was followed by a PhD ln Pood Sclence and Technology
(l987) from Laval Unlverslty ln Canada.
Pormer researcher and Dlrector-General (l98l-l986) of
the |nstltute of Pood Technology ln Senegal and Lxecutlve
Dlrector (l997-2009) of the Afrlcan Peglonal Centre for
Technology, Dr Kane has chalred the Commlsslon of
Pelatlons wlth Partners of the AcoJem|e Jes sc|ences et
techn|ques of Senegal slnce retlrlng ln October 2009.
He has worked extenslvely on lssues related to
technologlcal |nnovatlon and the tles between research
and soclo-economlc development. He has also advlsed
several Afrlcan countrles on the elaboratlon of thelr ST|
pollcles, lncludlng the Central Afrlcan Pepubllc, Mall
and Senegal.
5outh As|on ovetnments neeJ to
lotmulote uol|c ol|c|es jthotj suott
o cont|nuol leotn|n tocess |n t|vote
l|tms so thot they con mostet the toc|t
lnowleJe ottocheJ to technoloy
ttonslet.
Tanveer Nalm
South Asia chapter [16] [P3]:Layout 1 18/10/10 19:31 Page 322
15
.
South Asla
.rvoo. |.|n
323
|||O|||O|
South Asla's average economlc growth of 6-7%ln the
past decade compares poorly wlth the economlc growth of
the countrles of Last Asla durlng the same tlme perlod.
A small country llke Slngapore, wlth a populatlon of
5 mllllon, earns ten tlmes the export lncome
(US$ 39l bllllon) of Paklstan and 8angladesh
(US$ 33 bllllon) wlth thelr comblned populatlon of
326 mllllon ln 2008. South Aslan countrles contlnue to
suffer from low human development, gender
dlscrlmlnatlon and soclal lnequalltles. Hlstorlcal,
geographlcal and demographlc factors have partly
contrlbuted to thls dlsparlty but the fact remalns that the
masslve lncome and productlvlty gap between South Aslan
countrles and Slngapore, the Pepubllc of Korea or other
developed economles can prlmarlly be attrlbuted to the
lack of technologlcal progress ln these countrles.
The South Aslan countrles dlscussed ln the present
chapter
l
are also characterlzed by polltlcal lnstablllty,
reglonal connlcts, clvll war and terrorlsm, not to mentlon
natural dlsasters. |n Paklstan, the contlnulng connlct ln the
northern reglons of Swat and wazlrlstan has resulted ln
the destructlon of lnfrastructure and a large number of
dlsplaced people. The army actlon to combat terrorlsm
contlnues at the tlme of wrltlng thls report ln 20l0. The
country also sunered noodlng ln 20l0 whlch left about
25 mllllon homeless and an earthquake ln 2005 whlch
kllled over 70 000. |ndla, the Maldlves and Srl Lanka were
all hlt by a tsunaml ln 2004. Nepal's protracted clvll war
ended ln 2008 wlth the country omclally abandonlng the
monarchy and the Maolsts glvlng up armed reslstance
before golng on to wln the electlons. Afghanlstan ls stlll at
war but Srl Lanka's three decades of clvll war ended ln
2009 wlth hope for future economlc growth.
The current global economlc recesslon has lnevltably
slowed growth rates and forelgn capltal lnflows, resultlng ln
an lncrease ln the number of people llvlng below the
poverty llne ln South Asla.
2
The economlc slowdown ls
more vlslble ln Paklstan than elsewhere ln the reglon owlng
to the lncreaslng lncldence of terrorlsm, polltlcal lnstablllty,
energy shortages and an ongolng army operatlon that
consumes more than half of Paklstan's annual development
budget. Paklstan's GDP growth of 6.8%ln 2007 decllned to
2.7%ln 2009. The economles of Srl Lanka, 8angladesh and
Nepal, whlch had also shown slgns of fatlgue ln 2008, have
bounced back ln the last quarter of 2009, showlng relatlve
reslllence. As for 8hutan, lts economy was not affected due
to lts weak lntegratlon ln the global economy.
Among competlng prlorltles, the governments of these
countrles are compelled to dlvert a large amount of
resources towards addresslng rehabllltatlon, meetlng
lncreased mllltary expendlture, lmmedlate lnfrastructure
needs and securlty lssues. Purthermore, debt repayments
also subtract a substantlal amount from natlonal lncomes.
wlthln thls resource-constralned envlronment, the reglon
faces enormous challenges ln achlevlng progress towards
the Mlllennlum Development Goals (Annex ||) and
slmultaneously addresslng the opportunltles and rlsks of
globallzatlon, technologlcal change and economlc growth.
Accordlng to Mahroum (2008), the current global recesslon
can be turned lnto an opportunlty lf there ls greater
sclentlflc collaboratlon both wlthln the reglon and on a
global scale.
The scarclty of lnvestment capltal ln South Aslan countrles
should not be an excuse, however, for budget cuts ln
human development and sclentlflc research. |t ls a
demonstrated fact that S&T capabllltles are essentlal for
meetlng the challenges of development. S&T can provlde
solutlons for ellmlnatlng poverty, hunger and dlsease,
for combatlng natural dlsasters and preservlng the
envlronment. The wlde technology and lnnovatlon
capablllty gap of the South Aslan countrles wlll wlden
further lf tlmely actlon ls not taken to:
I lncrease lnvestment ln human development,
I develop lnfrastructure for sclentlflc research and
lnformatlon technology (|T),
I lntroduce lncentlves to bulld the absorptlve capaclty of
flrms through contract research,
I promote entrepreneurshlp.
The lntegratlon of publlc lnstltutlons and prlvate
enterprlses locally and wlthln global knowledge networks
can help reduce the knowledge and lnnovatlon gap ln
these countrles. Pollcles and strategles need to be deslgned
collectlvely to address common reglonal problems such as
lagglng soclal development, envlronmental degradatlon
and lnfectlous dlseases, as well as to lmprove economlc
competltlveness ln general.
S
o
u
t
h

A
s
l
a
l. Afghanlstan, 8angladesh, 8hutan, Maldlves, Nepal, Paklstan and
Srl Lanka. |ran ls dlscussed ln Chapter l6 and |ndla ln Chapter l7.
2. Deflned as llvlng on less than US$ 2 a day
A vlllage ln
west 8engal
Photo:
uNl5CO/Aoh|j|t
0ey, t|ze-w|nnet
|n uNl5COs
Chon|n loce ol
the lotth Contest
|n 2008
|||SO S|||| |||O| 2010
S||||| O| SO|| AS|A|
|O|OV||S
The structure of South Aslan economles and thelr relatlve
share of GDP are shown ln Plgure l. The share of agrlculture
ranges from a hlgh of 35% ln Nepal to a low of 6% ln the
Maldlves. Desplte a contlnual decllne ln the share of
324
agrlculture ln GDP, almost 70% of people ln the reglon
remaln dependent on agrlculture for thelr llvellhoods.
Purthermore, many of them work ln the lnformal servlces
sector, whlch demands llttle knowledge lnput. The
knowledge-lntenslve sectors are relatlvely small, as
lnnovatlon ln both the formal and lnformal sectors remalns
concentrated wlthln a small segment of the economy.
Table 1: Soclo-economlc lndlcators for South Asla, 2000 and 2008
Country Population GDP (US$ GDP per capita Merchandise High-tech FDI, net inflows,
(millions) billions) (current US$) exports exports (% of balance of
(US$ billions) manufactured payments
exports) (current
US$ millions)
2000 2008 2000 2008 2000 2008 2000 2008 2000 2005 2000 2008
Afghanlstan 23.6 29.0 2.46
+l
l0.62 l02
+l
366 0.l4 0.68 - - 242
+6
300
8angladesh l40.8 l60.0 47.l0 79.55 335 497 6.39 l5.37 0.2 0.8
+l
280 973
8hutan 0.6 0.7 0.43 l.28 762 l 869 0.l0 0.58 4.l
+5
0.l -0.l 30
|ndla l 0l5.9 l l40.0 460.l8 l l59.l7 453 l 0l7 42.38 l79.07 4.8 5.7 3 584 4l l69
|ran 63.9 72.0 l0l.29 286.06 l 584 4 028 28.74 ll6.35 l.9 5.9
+5
3.2 l 492
Maldlves 0.3 0.3 0.62 l.26 2 293 4 l35 0.ll 0.34 - - l3 l5
Nepal 24.4 28.8 5.49 l2.6l 225 438 0.80 l.l0 0.03 0.l2 -0.5 l.0
Paklstan l38.l l66.l 73.95 l64.54 536 99l 9.03 20.38 0.4 l.9 308 5 438
Srl Lanka l8.7 20.2 l6.33 40.56 873 2 0l3 5.43 8.37 2.2
+l
l.8 l73 752
Note: Merchandlse exports for Afghanlstan do not lnclude llllclt exports or re-exports and for Nepal do not lnclude unrecorded border trade wlth |ndla.
5outce: world 8ank's world Development |ndlcators database, 1uly 20l0, Central |ntelllgence Agency's world Pactbook, 1uly 20l0
Figure 1: Composltlon of GDP ln South Asla by economlc sector, 2009
5outce: est|motes ltom Central |ntelllgence Agency's world Pactbook, 1une 20l0: www.cla.gov
Afghanistan
Bangladesh
Bhutan
India
Iran
Maldives
Nepal
Pakistan
Sri Lanka
31.0 26.0 43.0
18.7 28.7 52.6
22.3 37.9 39.8
17.5 20.0 62.6
10.9 45.2 43.9
5.6 16.9 77.5
35.0 16.0 49.0
20.8 24.3 54.9
12.8 29.2 43.0
Agriculture Industry Services
ScJt| As|.
325
South Asla contrlbutes less than 2% of world exports,
ln comparlson to l2% by Last Aslan countrles. The
composltlon of exports shows a small share of hlgh-tech
products of less than 6%, compared to an average of 34%
for Last Asla. The recent growth ln exports has been
mostly conflned to manufactured prlmary goods, wlth the
exceptlon of |ndla whose exports are lncreaslngly drlven
by sklll-lntenslve manufacturlng and servlces (Table l).
Due to lack of co-operatlon wlthln the reglon, South Asla
has been unable to leverage lts reglonal trade potentlal of
an addltlonal US$ 20 bllllon per annum.
The Cloool Comet|t|veness keott of the world Lconomlc
Porum has benchmarked the followlng stages ln the
economlc development of a country: l), Pactor-drlven,
ll) Transltlon, lll) Lfflclency-drlven, lv) Transltlon, and
v) |nnovatlon-drlven. Thls classlflcatlon ls based on
l2 plllars for whlch a number of lndlcators have been
developed. These l2 plllars are: lnstltutlons, lnfrastructure,
macro-economlc stablllty, health and prlmary educatlon,
hlgher educatlon and tralnlng, goods market efflclency,
labour market efflclency, flnanclal market sophlstlcatlon,
technologlcal readlness, market slze, buslness
sophlstlcatlon and lnnovatlon. wlthln thls framework, the
economles of all countrles ln South Asla, lncludlng |ndla,
are classlfled as Pactor-drlven (wLP, 2009). (5ee l|ute 1 on
oe l85 lot o comot|son w|th 5outheost lutoe.
|| ||||
whlle global expendlture on research and development
(P&D) has been rlslng conslstently, two of the ten countrles
whlch contrlbute 78% of the total are now emerglng
economles: Chlna (9.2%) and |ndla (2.2%).
3
South Asla's
contrlbutlon to global P&D expendlture ls estlmated at a
pltlful 4% of the total and even thls expendlture mostly
comes from publlc development budgets and ls utlllzed
prlmarlly to fund publlc unlversltles and research bodles.
wlthln the South Aslan reglon, Paklstan experlenced the
fastest growth ln gross domestlc expendlture on P&D
(GLPD) and fundlng allocatlon for |T and hlgher educatlon
durlng 2002-2008. Presldent Musharraf's commltment
resulted ln unprecedented growth ln the budgets of
hlgher educatlon and sclence and technology (S&T).
Publlc P&D expendlture, whlch had fluctuated for several
years between 0.2% and 0.4% of GDP, was boosted to
nearly 0.7% of GDP ln 2007, accordlng to the UNLSCO
|nstltute for Statlstlcs (Plgure 2). Most of the P&D budget
was spent on modernlzlng the dllapldated P&D
S
o
u
t
h

A
s
l
a
3. The others are the USA (32.4%), 1apan (l3.0%), Germany (6.l%), Prance
(3.8%), Pepubllc of Korea (3.7%), UK (3.3%), Canada (2.l%) and Pussla
(2.l%), accordlng to the UNLSCO |nstltute for Statlstlcs.
Pakistan
Sri Lanka
Iran
India
2000 2001 2002 2003 2004 2005
0.77
0.14
e,g
0.13
g
0.75
0.74
0.17
g
0.22
e,g
0.55 0.55
0.0
0.2
0.4
0.6
0.8
2007 2006
0.77
0.67
0.69
0.59
0.80
0.73
0.18
0.44
0.80
e
0.67
0.17
0.80
e
0.67*
Figure 2: GLPD/GDP ratlo ln South Asla, 2000-2007 (%)
5electeJ countt|es
` Clvll P&D only, for clvll and mllltary P&D comblned, the GLPD/GDP ratlo for Paklstan ls 0.9%. 5outce: author
e estlmatlon underestlmated or partlal data
Note: Por 8angladesh, there are no recent data. |ts GLPD/GDP ratlo was 0.0l% ln l995.
5outce: for GLPD: UNLSCO |nstltute for Statlstlcs, 1uly 20l0, for GDP: world 8ank, world Development |ndlcators, May 20l0
|||SO S|||| |||O| 2010
lnfrastructure ln unlversltles and promotlng lnformatlon
and communlcatlon technologles (|CTs), blotechnology
and englneerlng research. Defence P&D consumes 60% of
publlc expendlture on P&D ln Paklstan. Unllke the USA
where the flndlngs of defence P&D ls wldely dlffused for
the beneflt of economlc and soclal lnstltutlons, most of
thls research remalns classlfled ln South Aslan countrles.
An exceptlon ls the Paklstan Atomlc Lnergy Commlsslon,
whlch has made remarkable contrlbutlons to agrlculture
and health research (8ox l).
The prlvate sector use of publlc P&D expendlture ls low ln
South Asla ln general and partlcularly low ln the countrles
under dlscusslon: Afghanlstan, 8angladesh, 8hutan, the
Maldlves, Nepal, Paklstan and Srl Lanka. Thls ls due to the
fact that these countrles have followed a llnear S&T pollcy
model. The llnear model encouraged research ln publlc
lnstltutlons, on the assumptlon that local lndustry would
use thls knowledge. There have been no lncentlves for
unlverslty-lndustry collaboratlon or for the promotlon of
contract research by lndustry, even though the promotlon
of P&D ln prlvate enterprlses ls vltal for lnnovatlon and
consequently for economlc development.
South Aslan countrles should foster publlc pollcles that
support a contlnuous learnlng process ln flrms. At the
lnltlal stages of the development of the Pepubllc of Korea
and 1apan, prlvate companles were encouraged by
government subsldles ln the form of tax lncentlves and
subsldlzed bank loans to lmport capltal technology for
326
manufacturlng. Plrms were encouraged to reverse-
englneer lmported technology and to promote learnlng-
by-dolng practlces. |n the second phase, flrms were
motlvated to develop thelr own deslgn capabllltles and a
learnlng culture to enable them to absorb and adapt
lmported technology. As flrms advanced ln thelr learnlng
curves, they reallzed the lmportance of ln-house P&D and
contlnual upgradlng of the skllls of thelr technlcal,
management and marketlng personnel lf they were to
survlve ln lncreaslngly competltlve global markets. The
rlse ln prlvate P&D expendlture ln these countrles has
accompanled a shlft ln the composltlon of exports, from
low value-added agrlculture-based products to value-
added manufacturlng ln agrlculture, automoblles,
electrlcal and electronlc goods.
7he grewing rele eI rrnnsnnriennl cemnnies in R&
Accordlng to UNCTAD's Cloool lnvestment keott (2005),
transnatlonal companles are ma[or contrlbutors to global
GLPD. Over 80% of the 700 blggest-spendlng flrms on
P&D come from [ust flve countrles: the USA, 1apan,
Germany, UK and Prance. Slnce P&D ls a capltal-lntenslve
actlvlty, the number of transnatlonal companles
expandlng thelr P&D actlvltles ln developlng countrles ls
growlng. These large flrms are seeklng low-cost, hlghly
skllled P&D personnel, on the one hand, and access to
centres of excellence ln developlng countrles, on the
other. The potentlal beneflts for the host country depend
on the quallty of lts lnfrastructure and the avallablllty of
hlghly skllled P&D personnel.
Box 1: Soclal research and the Paklstan Atomlc Lnergy Commlsslon
|o |.k|st.r Atcn|c |ro.y
cnn|ss|cr (|A|) |r |s|.n.b.J
n.r.os sovo..| .oso..c|
|.bc..tc.|os |r J|||o.ort p..ts c|
|.k|st.r. A|ncst 50 c| t|o bJJot
.||cc.toJ tc |A| |s sport cr scc|.|
.oso..c| |r t|o ||o|Js c| rJc|o..
oro.y, .oro..b|o oro.y, |o.|t|,
..|cJ|tJ.o .rJ orv|.crnort. |r t|o
|o.|t| soctc., |A| |.s ost.b||s|oJ
14 cort.os |r v..|cJs p..ts c| t|o
ccJrt.y .|o.o p.t|orts .o,J|.|r
..J|.t|cr.o|.toJ t.o.tnort .oco|vo
noJ|c.| c..o. |A| .|sc |.s |cJ.
|Jort||y|r .pp.cp.|.to .J.pt.t|cr
no.sJ.os. |r '.rJ..y 2005, |t ..s
Jos|r.toJ t|o soc.ot..|.t |c. t|o
ro.|y ost.b||s|oJ |.|no V|r|sto.'s
cnn|ttoo cr ||n.to |.ro
.cJp|r .o|ov.rt n|r|sto.s. |o
cort.o |.s ost.b||s|oJ cc||.bc..t|cr
.|t| sovo..| .oso..c| c..r|..t|crs
bct| |r |.k|st.r .rJ |r b.r|.Jos|,
|rJ|., |op.| .rJ S.| |.rk., .s .o|| .s
boycrJ t|o |nnoJ|.to .o|cr.
5outce: author, www.gclsc.org.pk/
..|cJ|tJ.o .rJ b|ctoc|rc|cy
cort.os .||c| |.vo J|sccvo.oJ
sovo..| ro. v..|ot|os c| .|o.t
.rJ ccttcr.
|o o||c.ts c| t|o |A| |.|.,
|. |s||., A|n.J (19912001), |oJ
tc t|o ost.b||s|nort c| t|o |cb.|
|.ro |np.ct StJJ|os ort.o |r
2002. |o cort.o ccrJJcts .oso..c|
cr t|o |np.ct c| |cb.| c||n.to
c|.ro cr |.k|st.r |r sJc| ..o.s .s
..to. .oscJ.cos .rJ ..|cJ|tJ.o,
orv|.crnort, b|cJ|vo.s|ty, |o.|t| .rJ
oro.y. |t |s .|sc .ospcrs|b|o |c.
ScJt| As|.
327
Prlvate P&D expendlture ln |ndla represents 20% of total
expendlture, accordlng to the UNLSCO |nstltute for Statlstlcs,
and ls rlslng, due to the fact that a large number of
multlnatlonals have recently moved thelr P&D actlvltles to
|ndla. Large flrms ln |ndla worklng ln the pharmaceutlcal, steel
and automoblle sectors are lnvestlng ln P&D. Among local
P&D lnvestors, there are Panbaxy and Dr Peddy's Labs ln
pharmaceutlcals and Tata Motors ln the automoblle sector
(see oe 363). These companles rank among the world's top l
250 companles ln terms of P&D lnvestment.
|n Paklstan and |ran, the pharmaceutlcal and automoblle
sectors are showlng slgnlflcant growth but no rellable statlstlcs
are avallable on prlvate P&D expendlture ln these countrles.
Trends in human resources
Cenernl rrenJs in eJucnrien
South Asla has the world's hlghest number of adult
(392.7 mllllon) and young (67.l mllllon) llllterates, 63% of
whom are female. The ma[orlty of the llllterate populatlon
llves ln Afghanlstan, 8angladesh, |ndla and Paklstan. Only
half of the reglon's secondary school age group of
242 mllllon ls currently enrolled ln school. Secondary
enrollment ratlos ln the reglon range from 87% for Srl Lanka
to [ust 29% for Afghanlstan, wlth female secondary
enrollment across the reglon belng slgnlflcantly lower than
for males ln some countrles (Table 2).
Only |ran, the Maldlves and Srl Lanka have achleved
slgnlflcant lmprovements ln llteracy ln recent years.
Srl Lanka and the Maldlves can now boast of unlversal
prlmary llteracy. |ran has also made blg strldes ln
lmprovlng adult llteracy rates and narrowlng the
gender gap (see oe 350).
At 3.4% of GDP on average, South Asla's expendlture on
educatlon remalns lower than that of Last Aslan and
Carlbbean countrles, whlch devote 4-9% of thelr much larger
GDP to educatlon. Table 3 shows a modest lncrease ln
S
o
u
t
h

A
s
l
a
Table 2: Gross enrollment ratlo ln South Asla for
secondary and tertlary educatlon, 2007 (%)
5electeJ countt|es
Secondary (2007) Tertiary (2007)
MF M F MF M F
Afghanlstan 29 4l l5 l
-3
2
-3
l
-3
8angladesh 44 43 45 7 9 5
8hutan 56
+l
58
+l
54
+l
7
+l
8
+l
5
+l
|ndla 57 6l 52 l3 l6 ll
|ran 80
+l
80
+l
79
+l
36
+l
34
+l
39
+l
Maldlves 84
``, -l
8l
``, -l
86
``, -l
- - -
Nepal 43
``, -l
46
``, -l
4l
``, -l
6
-3
8
-3
3
-3
Paklstan 33
+l
37
+l
28
+l
5
`,+l
6
`,+l
5
`,+l
Srl Lanka 87``
-3
86``
-3
88``
-3
- - -
` natlonal estlmatlon
`` estlmatlon by UNLSCO |nstltute for Statlstlcs
5outce: UNLSCO (2009) Cloool lJucot|on 0|est 2009: Comot|n lJucot|on
5tot|st|cs octoss the wotlJ, for Srl Lanka: UNLSCO(2008) Cloool lJucot|on
0|est 2008: Comot|n lJucot|on 5tot|st|cs octoss the wotlJ
Table 3: Prlorltles for publlc spendlng ln South Asla, l990 and 2008
Countries Public expenditure on Military expenditure Total debt service Present value of external
education as % of GDP as % of GDP as % of GDP debt as % of GNI
1990 2008 1990 2008 1990 2008 2004 2008
Afghanlstan - - - 2.2 - 0.l - 4
8angladesh l.6 2.4 l.l l.l 2.4 l.2 26 20
8hutan 3.3
-l
5.l - - l.8 6.3 l00 55
|ndla 3.7 3.2
-2
3.2 2.5 2.6 2.7 l8 l8
|ran 4.l 4.8 2.l 2.9
-l
0.6 l.0
-l
9 4
Maldlves 3.8 8.l - - 4.6 5.4 42 83
Nepal 2.3 3.8 l.l l.5 l.9 l.3 37 2l
Paklstan 2.6 2.9 6.8 3.3 4.6 l.8 35 24
Srl Lanka 2.7 - 2.l 3.0 4.8 3.l 50 35
5outce: UNLSCO |nstltute for Statlstlcs, 1uly 20l0, for publlc expendlture on educatlon: world 8ank, world Development |ndlcators, 1uly 20l0
|||SO S|||| |||O| 2010
expendlture on educatlon slnce l990 ln all but |ndla and a
correspondlng decrease ln mllltary expendlture ln all but |ran,
Nepal and Srl Lanka. Paklstan's expendlture on educatlon has
remalned statlc for several years, partly due to relatlvely hlgh
mllltary expendlture attrlbuted to reglonal tenslons, a
prolonged Afghan war and expandlng terrorlsm, and a hlgher
ratlo of debt repayment to GDP than lts nelghbours.
Lxpendlture on hlgher educatlon ln Paklstan dld, however,
wltness unprecedented growth of almost 2 000% between
2002 and 2008.
Resenrchers in 5eurh Asin
|n the contemporary global knowledge economy, hlgher
educatlon ls vlewed as a crltlcal economlc resource.
Unlversltles are expected both to produce a flexlble
labour force wlth multldlsclpllnary skllls and a quest for
llfelong learnlng and play an entrepreneurlal role by
transferrlng and applylng the knowledge generated to
support lndustrlal processes and lncrease the
endogenous competltlve advantage. |n most South
Aslan countrles, the systems or lnstltutlons whlch
transfer knowledge to economlc advantage are elther
non-exlstent or underdeveloped. Consequently, exlstlng
knowledge, be lt taclt or codlfled, ls seldom lntegrated ln
the development system. Although the reglon tralns a
large number of sclentlsts and englneers - |ndla has the
thlrd-largest body of sclentlsts ln the world - all
countrles face an extreme shortage of hlghly skllled
unlverslty teachers and researchers, managers and other
skllled personnel. Thomson Peuters' Sclence Cltatlon
|ndex (SC|) provldes lnformatlon on 5 000 hlghly clted
researchers ln 22 sclentlflc flelds the world over. These
sclentlsts are selected on the basls of maxlmum recelved
cltatlons wlthln a prescrlbed perlod. The database
lncludes [ust l3 researchers from South Asla. Among
these, ll come from |ndla and [ust one each from |ran
and Paklstan.
The number of researchers per mllllon populatlon ln the
reglon varles from 706 per mllllon ln |ran to [ust 46 per
mllllon ln 8angladesh (Table 4). As concerns the number
of researchers worklng ln prlvate enterprlses, thls
lnformatlon ls unfortunately not documented for South
Aslan countrles, desplte belng an lmportant measure of
lnnovatlon actlvlty.
|n sum, South Aslan countrles are faced wlth the dual
challenge of wldenlng access to hlgher educatlon and
ensurlng lt ls of quallty and relevance to thelr economy. An
addltlonal challenge wlll be to retaln the talented sclentlsts
and englneers they traln ln an expandlng global labour
market for hlghly skllled personnel. A 2008 study by the UK
Parllamentary Offlce clted data from the Organlsatlon for
Lconomlc Co-operatlon and Development (OLCD)
lndlcatlng that, of the 59 mllllon mlgrants llvlng ln OLCD
countrles, 20 mllllon were hlghly skllled. Thls mlgratlon ls
not only deprlvlng South Aslan countrles of much-needed
skllls but ls also a burden on thelr fraglle economles. Slnce
hlgher educatlon recelves generous subsldles from the
state ln most South Aslan countrles, braln draln means that
the beneflts of these subsldles go to the developed host
countrles. Data from the Paklstan 8ureau of Lmlgratlon
show that 2.82 skllled and seml-skllled workers emlgrated
between l970 and 2000. Thls number soared to 4.50
mllllon durlng 2000-2005. Of these, 88 572 were hlghly
skllled. 8angladesh and Srl Lanka are experlenclng a slmllar
exodus. The 8angladesh 8ureau of Mlgratlon, Lmployment
and Tralnlng reports that 6.57 mllllon skllled and seml-
skllled workers left 8angladesh for employment abroad
between l976 and 2008, 4% of whom were hlghly
quallfled professlonals. A 2006 survey by Srl Lanka's
Natlonal Sclence Poundatlon found that the number of
economlcally actlve sclentlsts ln Srl Lanka had decreased
between l996 and 2006 from l3 286 to 7 907.
328
Table 4: Pesearchers and S&T enrollment ln
South Asla, 2007
Countries Researchers in Science and
R&D per million engineering
population 2007 enrollment
(in FTE) ratio (%) 2007
8angladesh 46
-l0, HC
l3.8l
|ndla l37
-2,e
-
|ran 706
-l
4l.0l
+l
Nepal 59
-5,e
-
Paklstan l52
-l
l0.2l
+l
Srl Lanka 93 -
Plnland 7 707
+l
35.86
+l
Pepubllc of Korea 4 627 35.99
+l
USA 4 663
e
l6.6l
+l
e estlmatlon, HC headcount lnstead of full-tlme equlvalent
5outce: for enrollment: UNLSCO |nstltute for Statlstlcs, 1uly 20l0,
for populatlon: Unlted Natlons Department of Lconomlc and Soclal Affalrs
(2009) wotlJ Poulot|on Ptosects: the 2008 kev|s|on
ScJt| As|.
329
|n response to the growlng demand for hlghly skllled
personnel and the threat of perslstent braln draln, South
Aslan countrles have begun taklng steps to reform thelr
hlgher educatlon systems, as we shall see ln the country
proflles beglnnlng on page 386. |n thls regard, |ndla and
Chlna can serve as models. Although both have suffered
extenslve braln draln ln recent decades, they have
successfully used thelr dlaspora as a 'braln reserve' abroad to
stlmulate hlgh-tech lndustrles at home. Today, expatrlates are
even beglnnlng to return, drawn by a boomlng economy
and excltlng professlonal opportunltles.
|| O|||
Trends in scientific papers
South Asla contrlbutes [ust 2.7% of research papers
publlshed ln lnternatlonal [ournals abstracted from the
database of Thomson Peuters' web of Knowledge.
Llght-year publlcatlon data show a rlslng trend ln research
publlcatlons from 2002 onwards for |ndla, |ran and Paklstan
whlch can be attrlbuted to the substantlal rlse ln publlc
P&D expendlture ln these countrles (Table 5).
whlle the number of research papers contrlbuted by a
country ls a quantltatlve lndlcator, the number of cltatlons
recelved by these papers ls consldered as reflectlng the
quallty of research. |n lts blmonthly newsletter, Thomson
Sclencewatch.com produces a llstlng of sclentlsts,
lnstltutlons and countrles that have achleved the hlghest
percentage lncrease ln total cltatlons ln a glven perlod.
Prom December 2007 to Pebruary 2008, |ran and Paklstan
conslstently appeared ln the llst of countrles ranked as
'rlslng stars' for achlevlng maxlmum cltatlons of papers
publlshed ln multlple flelds.
Accordlng to Thomson Peuters' web of Sclence database,
almost 87% of research artlcles by 8angladeshl sclentlsts
came from [ust seven lnstltutlons, llsted ln descendlng order
as: 8angladesh Unlverslty of Lnglneerlng and Technology,
Unlverslty of Dhaka, |nternatlonal Centre for Dlarrheal
Dlseases, Pa[shahl Unlverslty of Lnglneerlng and Technology,
8angladesh Agrlculture Unlverslty, 1ahanglrnagar
Unlverslty and the Chlttagong Unlverslty of Lnglneerlng
and Technology. An a analysls of the research output of
these unlversltles reveals prlorlty areas to be predomlnantly
ln the realms of agrlculture and englneerlng.
Collaboration in scientific research
Sclentlflc collaboratlon wlthln and beyond natlonal borders
ls consldered vltal for enhanclng sclentlflc capabllltles
through the poollng of the best sclentlflc expertlse and of
fundlng. |t also reduces wastage from dupllcatlon ln a
resource-constralned envlronment. Peglonal sclentlflc
collaboratlon may result not only ln lower pro[ect costs for
large pro[ects of common lnterest but also ln the sharlng of
technlcal rlsks. |nternatlonal sclentlflc collaboratlon ls
growlng and ls consldered a preferred method of bulldlng
sclentlflc capaclty ln developlng countrles.
One method of measurlng collaboratlon ls through
mapplng of co-authored sclentlflc papers publlshed from
the lnstltutlons of South Aslan countrles. The Thomson
Peuters database provldes lnformatlon on the percentage
of co-authored research papers publlshed by the sclentlsts
of South Aslan countrles ln lnternatlonal [ournals. |ndla, |ran
S
o
u
t
h

A
s
l
a
Table 5: Sclentlflc publlcatlons ln South Asla, 2000-2008
2000 2001 2002 2003 2004 2005 2006 2007 2008
Afghanlstan - - - 3 8 7 7 6 l6
8angladesh 335 377 385 430 446 474 554 6l4 729
8hutan 3 2 7 5 ll 8 22 5 6
|ndla l6 650 l7 635 l8 9ll 20 772 22 375 24 422 27 4l8 32 04l 36 26l
|ran l 296 l 57l 2 l02 2 869 3 534 4 6l0 6 000 8 770 l0 894
Maldlves l 2 l 2 - l 3 5 3
Nepal l03 ll3 ll7 l34 l48 l48 l96 l93 223
Paklstan 553 535 703 808 885 l l04 l 525 2 303 2 994
Srl Lanka l58 l59 l85 256 226 266 265 305 400
5outce: Thomson Peuters (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observatolre des sclences et des
technologles, May 20l0
and Pakistan publish 2030% of research articles with
scientists abroad, mostly in Western countries (Figure 3).
Only 3% of research articles are published in collaboration
with scientists working in South Asia.
330
Patent applications from South Asia
Patent applications filed by public research organizations
and local and foreign firms are an indication of the
dynamism of innovation. Foreign firms undertaking
innovation in a country protect their inventions through
patents to block competitors and imitators, so as to
exploit the right to market their innovation either locally
or for export. For both India and Pakistan, patent
applications from non-residents are much higher than
those filed by residents (Table 6).
In Bangladesh, the recent growth in international
publications has not been matched by greater patenting
activity or by other efforts to commercialize research
produced in public laboratories. Universityindustry
collaboration appears to remain limited and there seems
to be no concerted effort to integrate knowledge
produced in public R&D organizations in the productive
sector. A study commissioned by the United Nations
Conference on Trade and Development (UNCTAD) to
evaluate the impact of intellectual property rights (IPRs)
on innovation in Bangladesh in textiles, agro-processing
and generic drugs found that innovation capabilities
were very low in all three sectors (Sampath, 2007). The
study demonstrated that local firms did not consider
technology transfer from the public sector to the private
sector as being important for innovation. Rather,
process innovations at the firm level were limited to
imitation.
UNIVERSITYINDUSTRY
COLLABORATION
Innovation is an interactive process requiring dynamic
networks between the users and producers of knowledge.
Several studies have mentioned the huge potential for
commercialization of the untapped scientific knowledge
that exists in the public laboratories of South Asian
countries, particularly those of India, Iran, Pakistan and Sri
Lanka. In almost all the countries of the region, incentives
for public sector laboratories to work with industry are
either ineffective or missing altogether. The service
structures of scientists and engineers need to become
changed to motivate them either to seek careers in
industry or be actively involved in solving problems of
industry. Increasing the mobility of scientists via
appropriate incentive measures is the best route for
knowledge transfer from university to industry.
Table 6: Patent applications in South Asia, 2008 or most
recent year
Resident Non-Resident
Afghanistan 0
Bangladesh 29
-1
270
-1
Bhutan
India 5 314
-2
23 626
-2
Iran 691
-7
Maldives
Nepal 3
-13
5
-13
Pakistan 91
-2
1 647
-2
Sri lanka 201 264
Note: Counts are based on the patent filing date.
Source: WIPO Statistics database, December 2009
Note: Data concern published articles and proceedings only from
the Science Citation Index Expanded, Social Sciences Citation
Index and Arts and Humanities Citation Index.
Source: Thomson Reuters Web of Science database
Collaboration with countries beyond South Asia
Collaboration with South Asian countries
Independent or collaboration within the country
0
20
40
60
80
100
80.3
0.4
19.0 20.5
0.8
78.6
33.6
2.4
64.0
63.2
4.3
32.4
65.2
7.0
27.8
74.5
3.3
22.2
India Iran Pakistan Bangladesh Sri Lanka Nepal
Figure 3: Scientific collaboration involving South
Asian authors, 2007 (%)
South Asia chapter [1] [Ed2]:Layout 1 25/11/10 13:35 Page 330
ScJt| As|.
33l
Sclence parks, lndustrlal parks and technology lncubators
act as lntermedlary lnstltutlons to foster technology
spln-offs from publlc research laboratorles. South Aslan
countrles are maklng efforts to establlsh these. There are
l76 lnformatlon technology parks operatlng ln |ndla. |ran
has establlshed l2 technology parks and 40 technology
lncubators. These have helped 3 500 students create
500 new start-up companles (Mansourl, 2006). Paklstan
has ll lnformatlon technology parks and [ust two buslness
lncubators: one at the Natlonal Unlverslty of Sclence and
Technology and the other, prlvately operated, at the Pau[l
Poundatlon ln Pawalplndl (see also 8ox 2).
Technology-based start-ups also requlre venture capltal
and fundlng by buslness angels. Publlc research lnstltutes
themselves need help ln buslness plannlng and product
marketlng. |n South Asla, however, both venture capltal
and buslness angels are ln short supply.
|||O|VA|O| ||||AS|||||
|nformatlon and communlcatlon technologles (|CTs) are
playlng an lncreaslngly lmportant role ln development.
|CT's provlde the means for brldglng the knowledge gap
between developed and developlng countrles. As
enabllng technologles, |CTs help stlmulate lnnovatlon
and lncrease economlc productlvlty through
e-governance, e-commerce and e-educatlon. The
avallablllty and quallty of |CT lnfrastructure ls the
determlnlng factor ln exploltlng the full potentlal of
these technologles. Plgure 4 shows the relatlve |nternet
connectlvlty ln South Asla. |ran has better |nternet access
than other countrles ln the reglon. Paklstan was a late
starter ln bulldlng |CT lnfrastructure, however, an
lnvestment-frlendly |CT pollcy launched ln 200l has
resulted ln a rapld lncrease ln |nternet connectlvlty and
access to moblle phone coverage, wlth 80 mllllon users
ln 2009. 8angladesh has extremely low |nternet access
but thls may change wlth the adoptlon of an ambltlous
|nformatlon and Communlcatlon Technology Pollcy ln
2009 (see oe 337).
8roadband connectlvlty ls stlll llmlted to a small number
of people ln South Asla. |CTs provlde all countrles wlth
opportunltles not only to maxlmlze thelr own P&D lnput
by connectlng researchers wlthln the country but also to
tap lnto the lnternatlonal pool of knowledge and research.
Natlonal research and educatlon networks are now
consldered an essentlal part of P&D lnfrastructure (8ox 3).
||OVO|| O||AbO|A|O| |O|
|||O|O+ ||\||O|V||
Technology purchases through licensing
The global purchaslng of technology through the
payment of llcense fees (or royaltles) ls often used as a
comparatlve lndlcator for measurlng the lnward flow of
technology. |n South Asla ln 2007, the maxlmum amount
of llcenslng fees for the purchase of forelgn technology
was pald by |ndla (US$ 949 mllllon), followed by Paklstan
S
o
u
t
h

A
s
l
a
Box 2: The story of CASL and CAPL
|o ort.o |c. AJv.rcoJ StJJ|os |r
|r|roo.|r (AS|) .rJ |ts s|sto.
c..r|..t|cr, t|o ort.o |c. AJv.rcoJ
|oso..c| |r |r|roo.|r (A||), c||o. .
ncJo| |r |.k|st.r |c. Jr|vo.s|ty
|rJJst.y p..tro.s||ps.
AS| |s . p.coct c| t|o |r|roo.|r
|JJc.t|cr .Jst. |t ..s Jovo|cpoJ by .
JovctoJ .cJp c| |.k|st.r| .rJ |S
,J.||||oJ or|roo.s .s . so||||r.rc|r
sc|cc| |r |s|.n.b.J |r 2001. |o cort.o
p.|n..||y stJJ|os c||p Jos|r, ccrt.c|
systons, ccnpJto. rot.c.ks, J||t.|
vo.|||c.t|cr .rJ ccnp||.rco tost|r.
A|| |.s .|sc p.cv|JoJ so.v|cos tc
r.t|cr.| Jo|orco bcJ|os. |o
c..r|..t|cr .ocort|y (200) .cr .r
|| ..rt c| |S,180 n||||cr |.cn t|o
|.k|st.r| ..ny cr . ccnpot|t|vo b.s|s
|c. . n|||t..y p.coct.
|o ycJr |cJrJo.s c| AS| .rJ
A|| .o.o Jocc..toJ by t|o
cvo.rnort c| |.k|st.r .|t| t|o |.|Jo
c| |o.|c.n.rco ....J |r 2008.
5outce: |ntervlew by author
s|r.| p.ccoss|r, |.so.s .rJ cpt|cs, .s
.o|| .s v..|cJs ..o.s c| or|roo.|r
n.r.onort. AS| ..JJ.tos ||rJ
onp|cynort |r p.ost||cJs r.t|cr.|
.rJ |rto.r.t|cr.| |rst|tJt|crs. |o
cort.o |.s 50 ||| stJJorts, t|o ||.st c|
.|cn ..JJ.toJ |r 2008.
A|| |s |cc.toJ |r t|o v|c|r|ty c| |ts
s|sto. c..r|..t|cr. A|| oro..tos
|JrJ|r by p.cv|J|r so.v|cos tc
|rJJst.y |r sc|t...o Jos|r, J||t.|
|..J...o Jos|r, o|oct.cr|c Jos|r
.Jtcn.t|cr tcc|s, systons Jos|r,
|||SO S|||| |||O| 2010
(US$ l07 mllllon). Thls ls a plttance compared to the
amount pald by Chlna and the Pepubllc of Korea ln the
same year. The llcenslng of forelgn technology for the
purpose of productlon or servlces by local flrms needs to
be comblned wlth lncentlves for learnlng and lnnovatlon,
whlch should result ln llcense fees or royaltles earned
through technology exports. |ndla and Paklstan both
earned small amounts ln llcense fees from the sales of
thelr technologles ln 2007, especlally ln comparlson to the
Pepubllc of Korea (Plgure 5).
Foreign direct investment
Porelgn dlrect lnvestment (PD|) ls not [ust a source of
capltal and employment creatlon. Successful PD| pollcy
not only creates employment opportunltles but also
results ln technology transfer and knowledge splllovers.
PD| that beneflts the local economy through forward and
backward llnkages can contrlbute to the transfer of
knowledge and sustalned economlc growth. vertlcal and
horlzontal effects can help local flrms ralse productlvlty as
a result of lmprovements ln human capltal and lndustrlal
management skllls, efflclency ln productlon processes,
technologlcal capabllltles and P&D. Chlna, for example,
has attracted PD| ln knowledge-lntenslve, export-orlented
manufacturlng and has encouraged llnkages between
332
5outce: world 8ank
http//lnfo.worldbank.org/etools/kam2/KAM_page3.asp
Receipts
Payments
1

9
2
0

5

0
7
5
6

6
3
4
2

0
4
.
5
1
1
2
9

4
9
3
7
1
0
7
0
1 000
2 000
3 000
4 000
5 000
6 000
7 000
Korea China India Pakistan Bangladesh
0
.
0
4
7
.
6
9
US$ millions
Figure 5: Poyaltles and llcense fees ln Asla, 2007
5electeJ countt|es
5outce: |nternatlonal Telecommunlcatlons Unlon, world Telecommunlcatlons/|CT |ndlcators database, 1uly 20l0
Afghanistan
Bangladesh
Bhutan
India
Iran
Maldives
Nepal
Pakistan
Sri Lanka
0.09 / 3.55
0.16 / 0.38
0.38 / 2.13
1.46 / 8.78
2.44 7.17
1.69 5.12
6.93 37.62
5.98
5.04 11.26
28.39
Figure 4: |nternet users per l00 populatlon ln South Asla, 2003 and 2009
ScJt| As|.
333
transnatlonal companles and local unlversltles. The
productlvlty of flrms operatlng ln Chlna's export zones ls
reported to be three tlmes hlgher than that of flrms
operatlng on the malnland.
wlthln the Aslan contlnent, South Asla remalns an
unattractlve destlnatlon for PD|. |n 2008, |ndla recelved
the hlghest amount (US$ 4l.5 bllllon), partly due to the
slze of lts economy but above all because of the
relatlvely hlgher number of sclentlsts and englneers
tralned ln |ndla than elsewhere. Thls amount may
sound substantlal but lt pales ln comparlson wlth the
US$ l87 bllllon Chlna recelved ln 2008. |ndla's |CT and
pharmaceutlcal sectors have attracted PD| ln P&D
servlces. Hundreds of forelgn flrms have establlshed P&D
unlts ln |ndla (see oe 363). whlle lt ls too early to assess
the splllover effect of these transnatlonal corporatlons
on P&D lnvestment ln |ndla, the galns are already vlslble
ln terms of addltlonal employment and the slze of the
dlaspora returnlng home to selze employment
opportunltles wlth multlnatlonals.
Paklstan's attractlveness for PD| lmproved between 2005
and 2006, wlth Paklstan cllmblng from ll4
th
to 83
rd
place.
Slnce 2005, Paklstan has also had the hlghest |nward PD|
Performance |ndex
4
ranklng ln the reglon (Table 7).
PD| decllned ln 2007-2008, however, not only due to
the global economlc recesslon but also on account of
developments ln domestlc polltlcs and securlty lssues.
S
o
u
t
h

A
s
l
a
Table 7: |nward PD| Performance |ndex of South Asla,
2005-2007
Rank Economy Score FDI inflows
(US$ billions) 2008
83 Paklstan l.l2 5.44
l06 |ndla 0.63 4l.55
ll3 Srl Lanka 0.54 0.75
l2l 8angladesh 0.4l l.09
l33 |ran 0.l0 l.43
l36 Nepal 0.0l 0.03
5outce: UNCTAD (2009) wotlJ lnvestment keott 2009
4. The |nward PD| Performance |ndex ls based on PD| lnflows. |t represents
a country's average score for elght varlables: GDP per caplta, real GDP
growth, exports, number of telephone llnes per l000 populatlon,
commerclal energy use per caplta, P&D expendlture as a percentage of
gross natlonal lncome, students ln tertlary educatlon as a percentage of
the total populatlon and country rlsk.
Box 3: Two examples of e-networks for educatlon and research
Pakistan Education and Research
Network
|np|onortoJ |r 2002, t|o |.k|st.r
|JJc.t|cr .rJ |oso..c| |ot.c.k
(||||) |s ccrroctoJ .|t| 60 pJb||c
soctc. Jr|vo.s|t|os v|. . ||b.ocpt|c
b.c.Jb.rJ rot.c.k. A J||t.| ||b...y
so.v|co p.cv|Jos .ccoss tc cvo.
23 000 .oso..c| cJ.r.|s .rJ
45 000 ..JJ.to|ovo| bccks |c. .||
Jr|vo.s|t|os |.oo c| c|..o.
|||| |.s |rto..toJ |.k|st.r|
sc|ort|sts .rJ .oso..c|o.s .rJ
orccJ..oJ r.t|cr.| krc.|oJo
rot.c.ks cr 155 Vbps ccrroct|v|ty.
||||2 ..s |.Jrc|oJ |r 2008 .|t|
t|o |rc.o.soJ b.rJ.|Jt| c| 10 bps.
|t ccrrocts |||| .|t| |rto.r.t|cr.|
|c. t|o |op.| |oso..c| .rJ |JJc.t|cr
|ot.c.k. ||s rot.c.k |s Jovo|cp|r
o|o..r|r |c. |||o. oJJc.t|cr |r
v|||.os .rJ .oncto ..o.s |r t|o |cc.|
|.rJ.o .rJ c.o.t|r .r |rt..rot
pc.t.| .rJ to|onoJ|c|ro |c. |o.|t|
pcsts |r v|||.os.
|||| rot.c.ks .|t| |ts
ccJrto.p..ts o|so.|o.o |r ScJt| As|.
.rJ boycrJ. |ts .ct|v|t|os ..o
sJppc.toJ by t|o |ot.c.k St..tJp
|oscJ.co orto. .t t|o |r|vo.s|ty c|
O.ocr |r t|o |SA .rJ by |o|c
|r|vo.s|ty |r '.p.r, .ncr ct|o.s.
5outce: |ntervlew by author for PLPN,
for Nepal: www.nren.net.np
.oso..c| rot.c.ks cpo..t|r |r |.st
As|., |J.cpo .rJ t|o |SA.
Nepal Research and Education
Network
|o |op.| |oso..c| .rJ |JJc.t|cr
|ot.c.k (||||) |s . pJb||cp.|v.to
|r|t|.t|vo ost.b||s|oJ |r 200 tc c|ock
b..|r J..|r .rJ Jovo|cp .oso..c|
|r|..st.JctJ.o. |t |s Js|r |s tc c.o.to
. r.t|cr.| rot.c.k |c. .Jv.rcoJ
.oso..c| .rJ oJJc.t|cr t|.t .||| .|sc
|vo .oso..c|o.s .ccoss tc |r|c.n.t|cr
.rJ J.t. ..cJrJ t|o .c.|J.
|r 2008, |||| cbt.|roJ . ..rt
|.cn t|o |r|c.n.t|cr Scc|oty
|rrcv.t|cr |JrJ |r As|. |c. . p.coct
tc Jovo|cp t|o |||spooJ b.ckbcro
|||SO S|||| |||O| 2010
O|||+ ||O||||S
Afghanistan
Righer eJucnrien reIerms
Afghanlstan has begun the process of re-openlng and
reconstructlng unlversltles slnce the fall of the Tallban ln
200l but the overall capacltles of these lnstltutlons are
llmlted and do not meet the overwhelmlng demand for
access from the lncreaslng number of hlgh-school
graduates.
Hlgher educatlon ls one of the elght plllars of the Afghan
Natlonal Development Strategy for 2008-20l4. |n
December 2009, the Mlnlstry of Hlgher Lducatlon
launched the Not|onol l|het lJucot|on 5ttote|c Plon for
20l0-20l4, after organlzlng a serles of consultatlon
workshops wlth Afghan unlversltles earller the same year
wlth support from UNLSCO and the world 8ank. The Plon
bullds on an earller framework for the reform of hlgher
educatlon developed by the Mlnlstry of Hlgher Lducatlon
wlth the support of UNLSCO's |nternatlonal |nstltute for
Lducatlonal Plannlng ln 2004. Thls already covered a wlde
spectrum of reform, spannlng the lnstltutlonal structure
of unlversltles, questlons of governance, recrultment and
retentlon of staff and students, the relatlonshlp between
teachlng and research, management, flnance and the
procurement of equlpment, land and textbooks.
The Not|onol l|het lJucot|on 5ttote|c Plon for
20l0-20l4 outllnes two broad programmes.
Programme | seeks to educate and traln skllled graduates
to meet the country's soclo-economlc development
needs. |t lncludes varlous sub-programmes for
developlng lnfrastructure and for bulldlng human
capaclty ln the hlgher educatlon sector, lncludlng
currlculum development and the partlclpatlon of
graduate students ln reglonal and lnternatlonal research
partnershlps. The Plon afflrms that research pollcy and
practlce should focus on S&T as a cornerstone of
development. |n 20l0, UNLSCO was supportlng the
Mlnlstry of Hlgher Lducatlon ln developlng an S&T pollcy.
Programme || asplres to lead and manage a co-ordlnated
system of hlgher educatlon comprlslng unlversltles,
lnstltutes and communlty colleges. |t focuses on
governance and developlng capaclty both ln the Mlnlstry of
Hlgher Lducatlon and unlversltles. |t also tackles the lssues
of access to unlverslty and the expanslon and structure of
334
the hlgher educatlon system. |t plans to redeslgn the
natlonal admlsslons examlnatlon, a task that has been
entrusted to a commlttee set up for the purpose ln early
20l0. The natlonal admlsslons system wlll be computerlzed
to make lt efflclent and user-frlendly. |t wlll also be
conflgured to ensure that appllcants wlth optlmum
potentlal are admltted to unlverslty, taklng lnto account
natlonal needs. Programme || wlll also establlsh a self-
assessment process for unlversltles and found an agency
responslble for quallty assurance and accredltatlon ln
Afghanlstan.
The Plon wlll establlsh a natlonal research and educatlon
network llnklng all unlversltles and lnstltutes ln
Afghanlstan to the Mlnlstry of Hlgher Lducatlon and the
|nternet, ln order to allow data-sharlng and provlde
access to a dlgltal llbrary.
Another challenge for the mlnlstry wlll be the
development and lnstltutlonallzatlon of a Hlgher
Lducatlon Management |nformatlon System (HLM|S) to
ensure proper plannlng and monltorlng of the Not|onol
l|het lJucot|on 5ttote|c Plon over the next flve years.
Speclflc targets of the Plon to 20l4 lnclude:
I lncreaslng the number of faculty members wlth
master's degrees by 60% and faculty members wlth
PhDs to at least 20%
5
,
I establlshlng flve comprehenslve research unlversltles,
I reachlng a target of at least 30% female unlverslty
students,
I lncreaslng the number of students enrolled ln
unlversltles from 62 000 at present to ll0 000,
I establlshlng flve communlty colleges wlth a total
enrollment of at least 5 000 students, glvlng a total of
ll5 000 students and 800 addltlonal staff.
Another lmportant aspect of the Plon ls lts fundlng
strategy for unlversltles. The Mlnlstry of Hlgher Lducatlon
wlll contlnue to decentrallze flnanclal control to
unlversltles and other lnstltutes, and to push for leglslatlon
allowlng unlversltles to ralse and spend funds from non-
government sources. The mlnlstry wlll also facllltate
fundralslng from non-governmental sources for hlgher
educatlon and work to establlsh scholarshlps for poor
students.
5. |n 2008, 5.5% of the 2 526 faculty members at Afghan unlversltles held
PhDs, 30.l% a Master of Arts or MSc and 63.8% a 8achelor of Arts.
ScJt| As|.
335
Bangladesh
Chnllenges Ier higher eJucnrien
A hlgher level of lnvestment ln educatlon ln general and
hlgher educatlon ln partlcular has shown tanglble results
ln 8angladesh. The number of unlversltles has expanded
from [ust seven ln the l980s to over 80 today, wlth total
enrollment ln the tertlary sector of about 2 mllllon
students. There are deepenlng concerns, however, about
the quallty of graduate educatlon.
The problem of poorly educated graduates from tertlary
lnstltutlons ln 8angladesh ls attrlbuted to the structure of
tertlary educatlon. Most tertlary enrollment ln 8angladesh
takes place ln degree colleges and publlc and prlvate
unlversltles. Degree colleges attract the llon's share of
enrollment at the tertlary level. These colleges suffer,
however, from poor lnfrastructure and a dearth of tralned
teachers. Publlc unlversltles are themselves hampered by
an lnadequate flnanclal allocatlon that prevents them
from upgradlng thelr research and lnformatlon
lnfrastructure. Thls forces them to ralse tultlon fees to
narrow the fundlng gap. The llmlted number of places at
publlc unlversltles and the hlgh tultlon fees charged by
prlvate unlversltles block access to the unlverslty system
ln 8angladesh. Moreover, publlc and prlvate unlversltles
compete for the llmlted number of hlghly tralned faculty.
Thls stafflng shortage obllges prlvate unlversltles to draw
upon the faculty strength of publlc unlversltles on a part-
tlme basls. Unlverslty faculty are consequently unable to
devote sufflclent tlme to teachlng and research, resultlng
ln the transmlsslon of an educatlon of uncertaln quallty.
Thls state of affalrs culmlnates ln graduates who turn out to
be uncompetltlve by market standards. |t also leads to weak
llnkages between publlc unlversltles and employers ln the
[ob market. Consequently, unlverslty graduates produced
at conslderable cost to the natlon remaln unemployed for
a long perlod of tlme. Lven when they do flnd employment,
lt ls often ln areas outslde thelr fleld of study.
|n 2003, the Mlnlstry of Lducatlon proposed a 20-year plan
for hlgher educatlon formulated wlth the help of slx expert
groups. Thls reform ls coupled wlth the promotlon of |CTs, as
|nternet coverage remalns low ln 8angladesh compared to
other countrles ln the reglon, at [ust 0.32% ln 2008 (Plgure 4).
lnJusrrinl Jevelemenr in 8nnglnJesh
Agrlculture has long been the backbone of the economy
and the chlef source of lncome for the ma[orlty of people ln
8angladesh, even though lt contrlbutes [ust l9% to GDP
(Plgure l). The government plans to reduce poverty by
lncreaslng agrlcultural productlvlty and achlevlng self-
rellance ln food productlon. |t also plans to lncrease lncome
from non-agrlcultural exports through lndustrlallzatlon. As
part of the lmplementatlon strategy for thls lndustrlallzatlon
plan, lndustrles have been rapldly establlshed ln the
followlng areas: textlles, llght englneerlng, pharmaceutlcals,
shlp-bulldlng, leather goods, |CTs and agro-based and agro-
supportlve sectors. |n the chemlcal sector, a large number of
lndustrles have been set up, lncludlng tannerles, dylng,
prlntlng and soap productlon (see also 8ox 4).
The government plans to develop 79 lndustrlal estates ln
dlfferent dlstrlcts of 8angladesh. Slxty of these lndustrlal
estates were ln the lnltlal stages of development ln 2009 as
part of the flrst phase. |ndustrles lnvolvlng lnvestment of up
to Taka l0 crores (approx. US$ l.4 mllllon) are belng set up on
these estates. They concern malnly food and allled products,
chemlcals, englneerlng and textlles. A number of the
lndustrlal estates have been supported by prlvate lnltlatlves.
Two export processlng zones were ln the early stages of
development ln 2009. The Lxport Processlng Zone
Authorlty ls creatlng four zones ln the cltles of Dhaka,
Chlttagong and Khulna. Two addltlonal export processlng
zones are to be establlshed vla prlvate lnltlatlves. 8oth
medlum-slzed and large export-orlented lndustrles are
belng establlshed vla [olnt ventures wlth forelgn flrms. The
government also plans to establlsh lndustrlal parks and
garment factorles. The ma[or exportlng sectors of the
country are now textlles, garments, [ute and [ute products,
leather and leather products and tea. The contrlbutlon of
the lndustrlal sector to GDP ls about 29% (Plgure l).
|n recent years, 8angladesh has managed not only to
lncrease lts exports substantlally but also to dlverslfy them.
At the tlme 8angladesh achleved lndependence ln l97l, [ute
and tea were the ma[or export-orlented lndustrles. Lxposed
to frequent floodlng whlch reduced [ute ylelds, as well as
falllng [ute flbre prlces and a conslderable decllne ln world
demand, the role of the [ute sector ln the country's economy
has decllned. Consequently, the focus has shlfted towards
textlle manufacturlngand the garment lndustry ln partlcular.
The garment industry has been a ma[or source of forelgn
exchange for the past 25 years. At present, the country
generates about US$ 5 bllllon from exports of garments
and apparel. The lndustry employs about 3 mllllon workers,
S
o
u
t
h

A
s
l
a
|||SO S|||| |||O| 2010
90% of whom are women. 8angladesh has beneflted from
the trend of relocatlng productlon to developlng
countrles. Two vltal non-market elements have contrlbuted
to the garment lndustry's success: (a) quotas under the
Multl-Plber Arrangement ln the North Amerlcan market
and (b) speclal access to Luropean markets.
|n 2008, the shipbuilding industry emerged as a sector
wlth great potentlal for development. The lndustry almed
to fetch over US$ l bllllon through exports of ocean-golng
shlps ln 2009. The lndustry had export orders worth over
US$ 800 mllllon ln 2008 for about 50 ocean-golng vessels.
The Ananda Shlpyard, a local shlp-bulldlng company, has
recelved orders from varlous Luropean and Afrlcan
countrles for the constructlon of 40 shlps and ferrles
worth a total of US$ 450 mllllon. A second local shlp-
bulldlng company, the western Marlne Shlpyard Ltd,
ls exportlng l2 shlps each welghlng 5 200 tonnes to
Denmark, Germany and the Netherlands by 20l0.
336
The pharmaceutical sector has emerged as one of
8angladesh's most developed hlgh-tech sectors, wlth
potentlal for further growth. The sector not only meets
97% of domestlc demand but also exports medlclnes
to markets worldwlde, lncludlng Lurope. Leadlng
pharmaceutlcal companles are expandlng thelr
buslnesses wlth a vlew to developlng the export
market. A number of new pharmaceutlcal companles
have been establlshed recently whlch are equlpped
wlth hlgh-tech facllltles and skllled professlonals.
The light engineering sector ls playlng an lmportant
role ln employment generatlon and poverty allevlatlon
through endogenous technology. |t conslsts of small and
medlum-slzed llght englneerlng lndustrles scattered
across the country whlch have been produclng
lmport-substltutlon products. The product llnes conslst
of 25 245 dlverse ltems. Machlnery and spare parts
produced by entrepreneurs are supplled to varlous mllls
Box 4: The Clty Cluster Lconomlc Development |nltlatlve
|o As|.r |ovo|cpnort b.rks |ty
|Jsto. |ccrcn|c |ovo|cpnort
|r|t|.t|vo .ttonpts tc .ct|v.to |rJJst.|.|
c|Jsto.s by sJppc.t|r t|o|. .c.t|.
|oso..c| ccrJJctoJ |c. t|o |r|t|.t|vo
no.sJ.oJ .rJ ccnp..oJ .tt.|bJtos c|
ccnpot|t|voross |c. nc.o t|.r 30
c|t|os .rJ tc.rs .c.css b.r|.Jos|,
|rJ|. .rJ S.| |.rk.. |oso..c|o.s
|Jort|||oJ, n.ppoJ .rJ .r.|ysoJ
soctc..| .rJ sp.t|.| c|.ros |r J.b.r
|rJJst.y .rJ occrcn|c .ct|v|t|os.
|.oo ccnpot|t|vo |rJJst.|os t|.t
|.vo |c.noJ sp.t|.| c|Jsto.s bJt ..o st|||
.t . Jc.n.rt st.o .o.o |Jort|||oJ |r
t|o c.p|t.| c| o.c| ccJrt.y. cnncr|y,
t|oso |rJJst.|.| c|Jsto.s .o,J|.o sJppc.t
|r sovo..| c.|t|c.| ..o.s. ||, vcc.t|cr.|
sk|||s t..|r|r, krc.|oJos|..|r,
n..kot|r (sc|t...o |r|..st.JctJ.o) .rJ
b.s|c J.b.r |r|..st.JctJ.o, sJc| .s .
..to. sJpp|y, ..sto n.r.onort,
o|oct.|c|ty, |, .c.Js, t..rspc.t.t|cr .rJ
|c|st|cs (|..J...o |r|..st.JctJ.o).
A|to. |o|p|r tc |Jort||y c|Jsto.s
t|.t ..o o|t|o. .t . Jc.n.rt st.o c.
|rvc|vo orv|.crnort.| |np.cvonorts
.rJ ..sto n.r.onort, sJc| .s t|o
t.rro.y |rJJst.y |r ||.k., t|o
|r|t|.t|vo p|.rs tc |o|p Jnpst..t
t|oso |rJJst.|.| c|Jsto.s by p.cv|J|r
sJppc.t |r t|o ..o.s |Jort|||oJ .bcvo,
.|t| p.|v.tosoctc. p..t|c|p.t|cr. |o
p.coct .||| .|sc .||c. pc||cyn.ko.s
tc n.ko |r|c.noJ Joc|s|crs cr
.|o.o tc |rvost ||.st .rJ .|.t tc
|rvost |r, sc .s tc n.x|n|.o occrcn|c
|np.ct .|t| ||n|toJ .oscJ.cos.
Source: Aslan Development 8ank (2009)
Competltlve lndustrles ln three South Aslan capltals, 2009
Delhi, India Dhaka, Bangladesh Colombo, Sri lanka
oro..| not.| or|roo.|r |rJJst.y bJ||J|r ccrst.Jct|cr n.to.|.|s |rJJst.y App..o| |rJJst.y
AJtc ccnpcrort |rJJst.y .rro.y |rJJst.y |Jbbo. |rJJst.y
|o.Jyn.Jo ..nort |rJJst.y |ccJ p.ccoss|r |rJJst.y | |rJJst.y
5outce: Choe, K.A. and Poberts, 8. (forthcomlng) C|ty Clustet lconom|c 0eveloment |n 5outh As|o: o ltomewotl Atooch. Aslan Development 8ank
Urban Development Serles, Manlla
ScJt| As|.
337
and factorles. Other products lnclude ferrles, rallways,
power plants and vehlcles for the transport sector.
Around 40 000 llght englneerlng lndustrles are operatlng
all over the country. They are engaged ln the productlon
and manufacturlng of hlghly value-added englneered
goods and servlces wlth an annual turnover of more than
US$ l.2 mllllon. |n recognltlon of thls fact, the
government declared llght englneerlng a 'thrust sector'
ln lts |ndustrlal Pollcy of 2005. Moreover, ln the
government's Lxport Pollcy of 2007, llght englneerlng
was ldentlfled as one of the 'hlghest prlorlty sectors'.
The pollcy provlded a l0% cash lncentlve for the export
of llght englneerlng products.
8angladesh has a substantlal domestlc leather industry
that ls mostly export-orlented. Some leather ls exported ln
the form of ready-made garments but thls tends to be
conflned to a small export-trade ln '|tallan-made' garments
for the US market. Pootwear ls more lmportant ln terms of
added value and ls the fastest-growlng sector for leather
products. Presently, 8angladesh meets the leather
requlrements of 2-3% of the world market. Most of the
llvestock base for thls productlon ls domestlc: lt ls
estlmated that l.8% of the world's cattle and 3.7% of the
world's goats are ralsed ln 8angladesh. Thelr hldes and
sklns have a good lnternatlonal reputatlon. PD| ln thls
sector and ln the productlon of tannlng chemlcals appears
to be hlghly rewardlng. 8angladesh has the potentlal to
become an off-shore locatlon for the manufacture of low-
cost, hlgh-quallty leather and leather goods. |t has the baslc
raw materlals, a large and lnexpenslve labour force and
en[oys a tarlff concesslon faclllty under the agreements
mentloned earller whlch llmlts the slze of tarlffs that ma[or
lmportlng countrles can lmpose.
wenving 5&7 inre rhe nnriennl culrure
The Mlnlstry of Sclence and |nformatlon and Communlcatlon
Technology ls promotlng S&T as a way of brlnglng about
posltlve soclal change and balanced soclo-economlc
development ln 8angladesh. S&T ls belng harnessed to foster
sustalnable use of the envlronment, ecosystem and
resources, on the one hand, and contrlbute to the global
pool of knowledge, on the other. The overall alm ls make S&T
part of the natlonal culture.
|n 2009, the government approved the country's
|nformatlon and Communlcatlon Technology Pollcy.
|t falls wlthln the natlonal vlslon of ralslng the proflle of
the natlon to that of a mlddle-lncome country wlthln a
decade, a feat that would requlre more than doubllng the
current level of per-caplta GNP. The pollcy conslders that
the country's annual growth rate can be pushed to above
7.5% of GNP through extenslve use of |CTs.
The ten ob[ectlves of the pollcy are to:
I ensure soclal equlty,
I lncrease productlvlty across all economlc sectors,
lncludlng agrlculture,
I foster transparency, accountablllty and efflclency ln the
dellvery of servlces to cltlzens,
I ensure computer llteracy at all levels of educatlon and
publlc servlce,
I facllltate lnnovatlon and the creatlon of lntellectual
property,
I enlarge the pool of world-class |CT professlonals to
cater to both local and overseas employment
opportunltles,
I strengthen exports ln software,
I lmprove health care and ensure unlversal access as a
publlc servlce obllgatlon,
I enhance the creatlon and adoptlon of envlronment-
frlendly green technologles, ensure the safe dlsposal of
toxlc wastes and mlnlmlze dlsaster response tlmes,
I enable effectlve cllmate-change management
programmes.
Nepal
Chnllenges Ier higher eJucnrien
The slgnlflcance of baslc sclences ln strengthenlng
the overall S&T capablllty has not yet been properly
recognlzed ln Nepal, accordlng to 8a[racharya et ol.
(2006). Por them, 'llttle prlorlty ls glven to hlgher
educatlon ln baslc sclences, compared to hlgher
educatlon ln technlcal sub[ects such as englneerlng,
medlclne, agrlculture and forestry'. They argue that thls
attltude has been largely responslble for the lack of
development of an adequate S&T capablllty ln Nepal.
Moreover, desplte the growlng opportunltles for hlgher
educatlon ln technlcal sub[ects, many students stlll
venture abroad to |ndla, Chlna, 8angladesh, Australla
and the USA. Desplte thls trend, the number of sclentlsts
and englneers ln Nepal quadrupled between l995 and
2008 from 8 236 to 34 880 (Nepal Academy of Sclence
and Technology, 2009).
Untll l986, Trlbhuvan Unlverslty was Nepal's only
unlverslty offerlng hlgher educatlon and research ln S&T
flelds. |n l99l, thls publlc lnstltutlon was [olned by a
S
o
u
t
h

A
s
l
a
|||SO S|||| |||O| 2010
prlvate unlverslty, Kathmandu Unlverslty, followed by two
other prlvate lnstltutlons ln l994: Purbanchal Unlverslty
and Pokhara Unlverslty. The most recent addltlon ls the
Nepal Academy of Medlcal Sclences, set up by the
government ln 2004.
Today, Trlbhuvan Unlverslty stlll produces over three-
quarters of S&T personnel and nearly 40% of the country's
master's and PhD holders ln S&T flelds, most of whom are
destlned for unlverslty teachlng. The low number of PhD
students ls a problem (8a[racharya et ol., 2006).
Three-quarters of the Nepalese students enrolled ln S&T
flelds attend Trlbhuvan Unlverslty, where they represent
nearly l6% of student admlsslons. Demand for hlgher
educatlon ls growlng: ln 2004, the unlverslty counted
25 564 students enrolled ln S&T flelds, up from l9 056 ln
2000. The unlverslty conducts academlc programmes ln
S&T through lts flve technlcal lnstltutes: the |nstltutes of
Sclence and Technology, Lnglneerlng, Medlclne,
Agrlculture and Anlmal Sclences, and Porestry.
338
The |nstltute of Sclence and Technology had by far the
hlghest student enrollment ln 2004 (l8 89l), followed by
the |nstltute of Lnglneerlng (4050) and the |nstltute of
Medlclne (l 543) |8a[racharya et ol., 2006|.
8etween l990 and 2004, the government made 'huge
lnvestments' (5.7 bllllon rupees) ln the |nstltutes of
Medlclne, Lnglneerlng, Porestry and Agrlculture to bulld
lnfrastructure, wlth the llon's share golng to the |nstltute of
Medlclne (40%). Although the |nstltute of Sclence and
Technology recelved the second-blggest budgetary
allocatlon (26%), lts student roll ls also much hlgher than
that of the other four lnstltutes (8a[racharya et ol., 2006).
There are as many as 75 campuses under the |nstltute of
Sclence and Technology. They offer programmes ln
zoology, botany, chemlstry, physlcs, mathematlcs, statlstlcs,
mlcroblology, meteorology, geology, envlronmental
sclence, computer sclences and food technology. |n 2005,
the lnstltute planned to lntroduce programmes ln energy
studles and technology, materlal sclences, remote senslng,
water resource studles, blotechnology, dalry technology,
mountaln rlsk englneerlng and computer appllcatlons.
Trlbhuvan Unlverslty attracts the bulk of students because
lts tultlon fees are lower than those of prlvate lnstltutlons. Thls
forces most of the unlverslty's campuses to admlt more
students than they can actually accommodate. The overall
percentage of lnvestment ln hlgher educatlon has been
decllnlng even as the cost of sclence educatlon has rlsen.
Thls obllges the unlverslty to generate revenue ltself but any
proposal to ralse tultlon fees has met wlth opposltlon from the
student unlons. The lack of lnvestment has resulted ln poor
laboratory and llbrary facllltles on most of the sclence
campuses. |t has also meant that the unlverslty could not
dlverslfy academlc programmes, leadlng to an oversupply of
graduates ln some dlsclpllnes. The low salarles of unlverslty
professors have also affected morale and encouraged
professors to take on part-tlme [obs on dlfferent campuses -
lncludlng prlvate campuses - to make ends meet
(8a[racharya et ol., 2006).
lesrering Jevelemenr-erienreJ resenrch
A mountalnous country, Nepal has llttle arable land, yet
the ma[orlty of the actlve populatlon works ln agrlculture
and forestry. About one-thlrd of Nepal's export earnlngs
come from agrlculture and forest products. The other
ma[or sources of revenue are tourlsm and remlttances
from Nepalese llvlng abroad. The small manufacturlng
5outce: 8a[racharya et al. (2006) 5c|ence, keseotch onJ 7echnoloy |n Neol
Agriculture, forestry & irrigation
Transportation & communication
Industry, mining & power generation
Education, health & drinking water
Science & technology
Trade & tourism
Land & housing nance
Miscellaneous
24.0
15.9
16.1
38.7
1.0
1.5
1.2 1.8
Figure 6: Total outlay for Tenth Development Plan ln
Nepal, 2002-2007 (%)
South Asia
339
sector tends to be limited to labour-intensive industries
such as handicrafts, garment- and carpet-making,
agri-products and the like (Bajracharya et al., 2006).
Nepal has set itself the target of reducing the number of
people living below the poverty line from over 38% in
2004 to 10% by 2017. Poverty alleviation was a special
focus of the Tenth Plan (20022007), which sought to
attain this goal by enhancing production and productivity
through the maximum utilization of S&T (Figure 6).
The budget amounted to 234 million rupees (circa
US$ 3.2 million), up from 190 million rupees for the
previous Plan.
The Tenth Plan focused on:
I mobilizing available physical and human resources and
giving special priority to S&T in tertiary education;
I strengthening the institutional and administrative
sector to activate research agencies;
I attracting private-sector participation in research;
I encouraging development-oriented, competitive research;
I incorporating information technology and biotechnology;
I creating an environment conducive to technology
transfer and foreign investment;
I disseminating information on the results of scientific
research and its applications;
I producing highly skilled personnel;
I enhancing local technology;
I expanding the water sector and meteorological
services (Bajracharya et al., 2006).
Despite its abundant rivers, Nepal uses only a small
percentage of its hydro-electric potential, which reaches
less than 40% of the population. A major project to
develop hydropower was concluded with India in 2006
but the project never got off the ground. In 2007, Nepal
won the prestigious Ashden Award for replacing diesel-
powered mills with water-powered ones. It had won a
similar award two years earlier for making biogas out of
cow dung. The biogas project even sold carbon credits to
the World Bank under the Clean Development Mechanism
of the Kyoto Protocol (Khadka, 2009).
Nepal formed a high-level Commission on Climate
Change in 2009 under the chairmanship of the Prime
Minister which was charged with preparing an action
plan for adaptation. The plan will emphasize the concept
of sustainable and clean development and accord high
priority to renewable energy to generate green
employment. In presenting its programmes and policies
for 20092010 to Parliament, the government observed
that it would accord high priority to the expeditious
implementation of some large-scale hydropower
projects (Government of Nepal, 2009).
S
o
u
t
h

A
s
i
a
Box 5: The Nepal Development Research Institute
A non-profit, non-governmental
organization, the Nepal Development
Research Institute (NDRI) was
established in 2007 to conduct quality
research on issues of relevance to
Nepalese society. It also provides
consultancy and training services.
Research focuses on four
multidisciplinary areas: policy analysis
on the national economy; infra-
structure policy and planning; poverty
reduction and sustainable livelihoods;
climate change, agriculture and
renewable natural resources.
In October 2009, NDRI was
implementing the following
key projects:
I an assessment of the role of
community forests in CO
2
sequestration, biodiversity and land
use change. This project was being
carried out in the Teraj and Hills
Districts of Nepal, with funding
from the AsiaPacific Network for
Global Change Research in Japan;
I an evaluation of assistance for
vulnerable populations living in
18 districts who were affected by
high food prices, conflict and
natural disasters. The study was
being carried out by NDRI in
partnership with the United
Nations World Food Programme;
I household surveys for the World
Food Programmes research
projects on food markets in mid-
western Nepal and cash for work
in Far West Nepal;
I hazard and vulnerability mapping,
as well as the documenting of
good practices in disaster risk
management and adaptation to
climate change adaptation. This
project was being implemented
in partnership with the United
Nations Food and Agriculture
Organization.
Source: www.ndri.org.np/main/activities.htm
The government decided to prepare a three-year Interim
Development Plan (IDP) in place of an Eleventh Five-Year
Plan, in order to map the countrys development to 2010
during the transition period from a monarchy to a
parliamentary democracy. The IDPs main objectives are to
contribute to the national goal of poverty alleviation by
improving living standards through the development and
utilization of S&T. The IDP also aims to build national
capacity by strengthening the institutional framework of
the S&T sector and making production and services more
competitive via R&D. With a target of annual economic
growth of 5.5%, the IDP has adopted a strategy of
involving stakeholders in the institutional development of
S&T by mobilizing academia and the private sector.
In terms of institutional capacity, Nepal counts some
170 organizations involved in S&T, the majority of which
fall under government ministries (see also Box 5). As we
have seen earlier, Nepal now has five institutions of higher
learning and research related to S&T (see page 337). The
Research Centre for Applied Science and Technology
(RECAST) is the main R&D wing of Tribhuvan University.
RECAST conducts R&D into renewable sources of energy
(solar energy, biomass briquetting, biofuels and improved
cooking stoves), natural dyes and other natural products,
crop science and medicinal chemistry. Recent major
research activities include: exploration and utilization
of renewable oil resources; bioprospecting of ethno-
medicinal plants of Nepal for conservation of biological
and cultural resources; development of a gassifier stove
for domestic use; and dissemination of a programme of
appropriate technology for micro- and small enterprise
development in Nepal (Bajracharya et al., 2006).
In recent years, the private sector has been contributing to
building technological capability in the energy sector via
solar water heaters, water turbines and multi-purpose
power units. Companies include Balaju Yantra Shala, the
Development Consulting Service and Butwal Technical
Institute. Private businesses have emerged in software
development and IT, telecommunications and cable
technology (Bajracharya et al., 2006).
The Ministry of Environment, Science and Technology set
up anInformation Technology Park at Dhulikhel in 2003.
For several years, the 270 million rupees (circa US$ 3.6 million)
facility lay idle until International Business Machines (IBM)
Corporation decided to set up a research centre within the
park. The centre was inaugurated in October 2009 by Prime
340
6. The ministry was subsequently divided into the Ministry of Environment
and the Ministry of Science and Technology.
7. Previously the Royal Nepal Academy of Science and Technology
Minister Madhav Kumar Nepal and the chairman of Nepals
Information Technology High-Level Commission. IBM has
employed eight researchers in the centre to develop new
software for use in business (Tech Nepalko Info, 2009).
In 2005, the Ministry of Environment, Science and
Technology
6
promulgated a national S&T policy after
presenting the draft policy to the Fourth National
Conference on Science and Technology organized by the
Nepal Academy of Science and Technology
7
(Bajracharya
et al., 2006). In 2010, this S&T policy was under revision.
Pakistan
Higher education reforms
Pakistan is the worlds sixth-most populous nation with
166 million inhabitants, more than half of whom are younger
than 19 years. This demographic situation is a challenge but
also an opportunity. Amid a host of problems related to
regional conflicts, natural disasters, political instability and
the turmoil and violence that have gripped the country in
recent years, one positive trend has emerged: the nation has
dramatically increased its investment in higher education
and scientific research (Rahman, 2009).
Pakistans reforms in higher education were initiated in
2003, a year after the Higher Education Commission (HEC)
was established by Presidential Ordinance to reform the
countrys ailing higher education system. The plan of action
implemented by the HEC over the past five years has focused
on addressing issues related to access, quality and relevance.
Access is being addressed by providing talented students
with greater opportunities for higher education through the
expansion of universities from 94 in 2005 to 128 in 2008,
as well as the promotion of high-quality distance learning
programmes through a virtual university established in
2001. This virtual university has since expanded its
programmes and counted 35 000 enrolled students in 2009.
To address other challenges, a core strategic plan was
drafted in 20022003 to implement reforms which include
the following:
I programmes to reverse brain drain, under which the
monthly salaries of faculty members increased to an
ScJt| As|.
34l
average of US$ 3 000-5 000. Under lts Porelgn Paculty
Hlrlng Programme, the HLC has managed to attract about
500 hlghly quallfled faculty from abroad to take up
posltlons at unlversltles across the country, lncludlng
expatrlate Paklstanl scholars and lnternatlonal experts,
I the faculty development programme ls belng
aggresslvely pursued by provldlng merlt-based
scholarshlps for tralnlng approxlmately 2 400 PhD
students per year at unlversltles ln developed countrles,
I the HLC has also establlshed a Quallty Assurance
Agency and Quallty Assurance Cells ln the country's
unlversltles to enforce sound standards ln hlgher
educatlon and encourage contlnual upgradlng
through the lmplementatlon of lnternatlonal
benchmarks. HLC funded 742 development pro[ects
at a cost of US$ 4.2 bllllon from 2007 to 2008. Plgure 7
outllnes prlorlty sectors and flelds of research.
Centrallzed equlpment facllltles provldlng access to
advanced sclentlflc lnstrumentatlon have been
establlshed at 20 natlonal centres for researchers from
unlversltles across the country. Moreover, to ensure the
relevance of hlgher educatlon to natlonal ob[ectlves, the
HLC has also promoted endogenous PhD programmes at
local unlversltles, resultlng ln a 56% lncrease ln the
enrollment of researchers. 1olnt research pro[ects
between unlverslty and lndustry are encouraged.
The past flve years of targeted reforms ln the flelds of
englneerlng, |T and blologlcal sclences have left thelr mark:
there has been a leap ln unlverslty enrollment from
l35 l23 students ln 2003 to 74l 009 ln 2008. Pemale
enrollment grew from 36% of the total student cohort ln
200l to 48.7% ln 2007. women comprlse as much as 70%
of total enrollment ln MPhll and PhD programmes. A
substantlal rlse ln the number of postgraduate research
students has resulted ln a 60% lncrease ln lnternatlonally
co-authored publlcatlons from Paklstanl lnstltutlons of
hlgher learnlng (see also 8ox 6).
KnewleJge hubs in Pnkisrnn
Desplte a long hlstory of developments ln phllosophy,
sclence, technology and manufacturlng predatlng Poman
tlmes, modern sclence was brought to the South Aslan reglon
by colonlal rulers. Durlng the 8rltlsh Pa[ ln |ndla, the 8rltlsh
establlshed a number of unlversltles and about 30 research
laboratorles ln the agrlculture and health sectors across the
S
o
u
t
h

A
s
l
a
5outce: HLC Peport 2002-2008, Paklstan www.hec.gov.pk
Human resource development
Academic infrastructure
Research equipment
Access to information
General
Medical
Agriculture
Engineering
55
5
11
29
62
31
4
3
By sector
By area of research
Figure 7: Dlstrlbutlon of pro[ect cost for hlgher
educatlon reform ln Paklstan, 2007-2008 (%)
reglon. Pollowlng partltlon ln l947, Paklstan lnherlted [ust one
unlverslty and three small agrlculture statlons.
The sclentlflc research lnfrastructure has slnce expanded ln
Paklstan. wlthln thls framework of lnstltutlons, reglonal
knowledge hubs have emerged ln the cltles of Karachl,
Lahore, Palsalabad, Slalkot (8ox 7) and |slamabad. Karachl,
Paklstan's most densely populated port wlth a populatlon
of 2l mllllon, ls the largest lndustrlal clty wlth a focus on the
|||SO S|||| |||O| 2010
textlle, leather and automoblle lndustrles. The clty houses
29 unlversltles and degree-awardlng lnstltutes operatlng ln
both the publlc and prlvate sectors. These lnclude the
famous Aga Khan Unlverslty of Medlcal Sclences and Slndh
Urology |nstltute, whlch are recognlzed the world over for
tralnlng hlgh-quallty medlcal graduates and for research ln
renal dlseases respectlvely. The |nstltute for 8uslness
Admlnlstratlon and HL1 Pesearch |nstltute of Chemlstry at
342
Karachl Unlverslty are known respectlvely for tralnlng hlgh-
quallty management graduates and for top-quallty
researchers ln chemlstry. The 32 P&D organlzatlons ln
Karachl lnclude the laboratorles of the Space and Upper
Atmospherlc Pesearch Commlsslon (SUPAPCO), the Natlonal
Oceanography |nstltute and the laboratorles of the Paklstan
Councll for Sclentlflc and |ndustrlal Pesearch (PCS|P) worklng
ln the areas of energy, blomedlcal and leather research.
Box 6: Paklstan's research collaboratlon wlth Chlna and the USA
|.k|st.r .rJ ||r. |.vo orcyoJ
st.cr pc||t|c.| .rJ occrcn|c t|os |c.
t|o p.st |o. Joc.Jos. bct| ccJrt.|os
|.vo .|sc cc||.bc..toJ cr . rJnbo. c|
.oso..c| p.cocts |r v..|cJs ||o|Js c|
S. Oro |.rJn..k p.coct ..s t|o
ccrst.Jct|cr c| t|o .c.|Js |||ost
|||..y, t|o |...kc..n |||..y,
ccrs|Jo.oJ t|o o||t| .crJo. c| t|o
.c.|J. |.k|st.r| .rJ ||roso or|roo.s
c|rt|y ccrst.JctoJ t||s |||..y |r t|o
||n.|.y.r ncJrt.|rs ccrroct|r
|.k|st.r .rJ ||r. t|.cJ| t|o c|J
S||k |c.J cvo. . po.|cJ c| 20 yo..s. |o
p.coct ..s ccnp|otoJ |r 1986.
A soccrJ |.rJn..k p.coct |s t|o
.ocort c|rt p.cJJct|cr c| . ot |||to.,
Thunder, .||c|, .|to. sJccoss|J|
ccnp|ot|cr c| |ts tost ||||t |r 2008,
|.s boor .pp.cvoJ |c. ccnno.c|.|
p.cJJct|cr.
|.k|st.r| .rJ |S sc|ort|||c
cc||.bc..t|cr |s |.c|||t.toJ by .r
..oonort s|roJ by t|o p.os|Jorts
c| bct| ccJrt.|os |r 2003. |rJo. t||s
..oonort, bct| ccJrt.|os ccrt.|bJto
tc . ccnncr S |JrJ .||c| |s
c|rt|y n.r.oJ by t|o |.t|cr.|
Ac.Jony c| Sc|orcos |r t|o |SA .rJ
by t|o |||o. |JJc.t|cr cnn|ss|cr
.rJ V|r|st.y c| Sc|orco .rJ
oc|rc|cy |r |.k|st.r. |.c| yo..,
p.cpcs.|s |c. .oso..c| cc||.bc..t|cr
..o |rv|toJ .|t| .t |o.st cro |S .rJ
cro |.k|st.r| sc|ort|st .s p.|rc|p.|
|rvost|.tc.s. |o p.cpcs.|s JrJo.c
poo. .ov|o. |r bct| ccJrt.|os .rJ ..o
so|octoJ cr no.|t.
||s p.c..nno |.s .osJ|toJ rct
cr|y |r c.p.c|tybJ||J|r c| |.k|st.rs
|.bc..tc.|os bJt .|sc |r t|o c|rt
J|sccvo.y c| . v.cc|ro tc p.ovort .
Jo.J|y J|so.so c.JsoJ by t|ck b|tos
.||c| .||||cts t|cso .c.k|r .|t|
.r|n.| |o.Js |r t|o scJt|o.r .o|cr c|
S|rJ| |r |.k|st.r.
Arct|o. sJccoss stc.y |s t|o
|.k|st.r to|onoJ|c|ro p.c..nno.
.c |.k|st.r| Jcctc.s .o.o t..|roJ by
|S spoc|.||sts tc bo n.sto. t..|ro.s
.|c |r tJ.r t..|roJ . c.|t|c.| rJnbo.
c| noJ|c.| p.c|oss|cr.|s. o|onoJ|c|ro
so.v|cos ..o rc. bo|r c||o.oJ tc
p.t|orts ||v|r |r .oncto v|||.os v|.
28 cort.os. o|onoJ|c|ro .|sc |o|poJ
s.vo sovo..| ||vos |r t|o o..t|,J.ko
||t c|t|os .rJ tc.rs |r 2005.
5outce: author
Box 7: |nltlatlves to promote lndustry ln Slalkot
|o c|ty c| S|.|kct |r |.k|st.r |s .o||
krc.r |c. t|o p.cJJct|cr .rJ oxpc.t
c| sJ.|c.| |rst.Jnorts, |o.t|o.
ccJs, toxt||os, nJs|c.| |rst.Jnorts
.rJ cJt|o.y. S|.|kct |s t|o t||.J|..ost
|rJJst.|.| |Jb |r t|o p.cv|rco c|
|Jr.b .|to. |.|c.o .rJ |.|s.|.b.J.
|t |s |.k|st.rs soccrJ|..ost
oxpc.to..ro. .|to. |...c||.
S|.|kcts ort.op.oroJ.s |.vo
cc||.bc..toJ cr . rJnbo. c|
sJccoss|J| p.cocts tc n.ko t|o c|ty .
||||y Jos|..b|o |cc.t|cr |c. |rJJst.y.
|oso |rc|JJo sott|r Jp . J.y pc.t
|r S.nb.|.|, ..|s|r p.|v.to |JrJs tc
|np.cvo c|ty .c.Js .rJ J..|r.o,
so.||r .c.Js cr |rJJst.|.| ost.tos,
|cc.t|r t.rro.|os |r . spoc|.||.oJ .cro,
.rJ p.cv|J|r tcx|c ..sto t.o.tnort.
S|.|kcts ccnno.c|.| .rJ |rJJst.|.|
|rto.osts ..o bo|r so.voJ t|.cJ| t|o
bJ||J|r c| .r |rto.r.t|cr.| .|.pc.t |c.
c..c ||||ts ccnp|oto|y ||r.rcoJ by
t|o p.|v.to soctc..
5outce: world 8ank (2005)
ScJt| As|.
343
The clty of Lahore, sltuated at the heart of the provlnce of
Pun[ab, ls home to 25 unlversltles, lnstltutes and 20 P&D
organlzatlons. Thls clty has emerged as the reglonal |T hub
and has attracted a slgnlflcant amount of forelgn
lnvestment ln thls fleld. Two centres have been llberally
funded from the publlc purse. The flrst ls the Abdus Salam
School of Mathematlcal Sclences at Government College
Unlverslty ln Lahore, lt has attracted top-class
mathematlclans from dlfferent countrles to form a
knowledge cluster. The second ls the Centre of Lxcellence ln
Molecular 8lology at Pun[ab Unlverslty, lt has several
postgraduate students on lts roll and has establlshed a
world-class vlrology laboratory.
1olntly funded by the provlnclal government of Pun[ab and
the federal government, the Abdus Salam School of
Mathematlcal Sclences was establlshed ln 2003 to honour
Paklstanl sclentlst Abdus Salam, who was awarded the
Nobel Prlze for Physlcs ln l979 [olntly wlth Steven welnberg
and Sheldon Lee Glashow. The lnstltutlon has made
remarkable progress ln a short perlod. |t has an
lnternatlonal faculty of 36 PhDs, most of whom come from
Lastern Lurope. The school had 93 PhD students on lts roll
ln 2009 and has attracted a large number of doctoral and
postdoctoral students from dlfferent countrles.
The prlvately funded Lahore Unlverslty of Management
Sclences produces top-class graduates ln management-
related studles. The Metal and Materlal Sclence Laboratorles
of the PCS|P provlde servlces to llght englneerlng lndustrles
located ln the nelghbourlng cltles of Slalkot, Gu[ranwala
and Gu[rat. These three cltles are known for thelr tradltlonal
strengths ln llght englneerlng sectors and are commonly
referred to as the technology trlangle of Paklstan.
|slamabad, the federal capltal, and lts twln clty,
Pawalplndl, had only three unlversltles untll l990.
These have now expanded to l6 unlversltles and 34 P&D
organlzatlons, lncludlng laboratorles of the Natlonal
Agrlculture Pesearch Commlsslon, the Paklstan Atomlc
Lnergy Commlsslon and the laboratorles of the
Natlonal Defense Complex.
Palsalabad ls known for agro-based lndustrles and
textlle manufacturlng lndustrles. |t has four unlversltles,
lncludlng the Agrlculture Unlverslty of Palsalabad and a
Textlle Unlverslty. |n addltlon, 20 research lnstltutes, mostly
lnvolved ln research ln the flelds of agrlculture and
blotechnology, provlde servlces to agro-based lndustrles.
Sri Lanka
7ewnrJs n Irnmewerk Ier higher eJucnrien reIerms
Llke most South Aslan countrles, Srl Lanka faces the
challenge of lmprovlng the quallty of educatlon at all levels.
The challenge ls partlcularly acute for hlgher educatlon,
where lssues encompass not only lmprovlng access, quallty
and relevance but also wlder reforms to lntroduce
lnternatlonal standards, better management and
governance, as well as greater flexlblllty and adaptablllty to
meet labour market demands.
Srl Lanka loses many of lts hlghly quallfled professlonals to
braln draln. Accordlng to a recent world 8ank study (2009),
Srl Lanka's hlgher educatlon enrollment of 6%of the age
cohort ls underestlmated. The recent promotlon of dlstance
educatlon programmes ls expected to have lncreased
access to hlgher educatlon to almost 23%of the l8-25 age
group. The quallty and relevance of hlgher educatlon
remalns a matter of concern, as few lnstltutlons are
provldlng educatlon that ls up to lnternatlonal standards.
Pesearch efforts are also concentrated ln [ust three or four
unlversltles, the |ndustrlal Technology |nstltute and some
research lnstltutes conductlng agrlcultural research.
The Srl Lankan government has reallzed the lmportance of
human capltal for survlval ln an lncreaslngly competltlve,
knowledge-based global economy. |t has entrusted the
Natlonal Lducatlon Commlsslon - establlshed ln l99l - wlth
the task of developlng a pollcy framework ln collaboratlon
wlth the Mlnlstry of Plannlng, Mlnlstry of Plnance and the
Unlverslty Grants Commlsslon. |n 2009, the Commlsslon was
consultlng all stakeholders, such as academlcs, researchers
and development planners, wlth a vlew to formulatlng a
framework for hlgher educatlon reforms (world 8ank, 2009).
A visien Ier 5ri Lnnknn science
Srl Lanka ls an lsland economy wlth a populatlon of
20 mllllon and GDP of US$ 40.6 bllllon (2008). |t has the
hlghest per caplta lncome (US$ 2 0l3) ln the reglon after
the Maldlves and |ran (Table l).
Srl Lanka was the flrst country ln South Asla to llberallze
lts economy ln l979. |ts share of global exports ln 2003
exceeded lts share of global GDP, lndlcatlng that lt ls an
export-drlven economy (Dahlman, 2007). Over the past
20 years, the composltlon of the economy has changed,
wlth the share of the servlces sector rlslng to the
detrlment of the agrlculture sector, whlch contrlbuted [ust
l3% to GDP ln 2009 (Plgure l). The potentlal for further
S
o
u
t
h

A
s
l
a
|||SO S|||| |||O| 2010
economlc growth wlll depend on the country's ablllty to
overcome lnternal polltlcal problems, brldge reglonal
lnequalltles by wldenlng access to economlc galns and
lncrease lnvestment ln |CT lnfrastructure, educatlon and
sclentlflc research to achleve productlvlty galns through
lnnovatlon (world 8ank, 2009).
The hlgher educatlon and research lnfrastructure currently
comprlses 62 lnstltutlons. The l9 state-controlled
unlversltles lnclude one unlverslty worklng under the
Mlnlstry of Defense. There are ll P&D centres, the
remalnder of lnfrastructure belng made up of colleges and
lnstltutes. Por many years, Srl Lanka was credlted wlth
provldlng some of the best hlgher educatlon ln the reglon.
Thls achlevement could not be sustalned, however, due to
decades of lnternal confllct whlch resulted ln the ma[or
share of GDP belng spent on combatlng terrorlsm.
Lxpendlture on educatlon and on P&D also stagnated for
several years, resultlng ln lower standards of educatlon and
havlng an adverse lmpact on skllls development
programmes and the tralnlng of englneers and sclentlsts.
Of note ls that Srl Lanka leads other countrles ln the reglon
for the world 8ank's Knowledge Lconomy |ndex (KL|)
|Table 8|. The KL| ls calculated uslng four plllars of
the knowledge economy, namely: lncentlve and the
lnstltutlonal reglme, educatlon and human resources, the
lnnovatlon system and, |CT lnfrastructure. |ran and Paklstan
have also shown progress ln these four areas slnce l995.
|n 2009, the Mlnlstry of Sclence and Technology launched
lts v|s|on 2020 for transformlng Srl Lanka lnto a sclentlflcally
and technologlcally advanced country. wlthln thls vlslon, a
new ST| pollcy was formulated whlch was ln the process of
344
revlew and consensus-bulldlng at the tlme of wrltlng the
present chapter ln early 20l0. The new pollcy lays emphasls
on:
I fosterlng a sclence and lnnovatlon culture for every
cltlzen,
I tralnlng a hlgher number of sclentlsts and technologlsts,
I achlevlng self-rellance ln S&T by acqulrlng technology
and adaptlng and developlng lt for lncreased
competltlveness,
I ensurlng quallty standards of S&T lnstltutlons and
natlonal certlflcatlon and accredltatlon bodles,
I ensurlng sustalnable development through the
conservatlon of the country's natural resources and
envlronmental protectlon,
I promotlon of baslc and applled research ln the flelds of
nanotechnology, blotechnology, materlals sclence and
electronlcs,
Box 8: The Srl Lanka |nstltute of Nanotechnology
|st.b||s|oJ |r 2008, t|o S.| |.rk.
|rst|tJto c| |.rctoc|rc|cy (S||||)
|s . c|rt vortJ.o bot.oor t|o |.t|cr.|
Sc|orco |cJrJ.t|cr .rJ S.| |.rk.r
cc.pc..to |.rts t|.t |rc|JJo b..rJ|x,
||.|c, |.y|oys, |c.Jst.. .rJ VAS.
|o |rst|tJto |s |cJsoJ .|t||r .
|JtJ.|st|c ccnp|ox |r t|o b|y..n.
|xpc.t |.cnct|cr cro. S||||
|.bc..tc.|os ..o o,J|ppoJ .rJ st.||oJ
.|t| scno c| t|o ncst .Jv.rcoJ,
cJtt|roJo .oso..c| o,J|pnort .rJ
. .oso..c| st.|| t|.t |rc|JJos 20 |||s
.|c ,J.||||oJ .b.c.J.
|oso..c| .t S|||| |ccJsos cr
t|o |rto..t|cr c| r.rcsc.|o Jov|cos
.rJ n.to.|.|s |rtc ccnp|ox
r.rcsystons t|.t .||| o|ov.to t|o
|cb.| ccnpot|t|voross c| p.cJJcts.
S|||| c|.|ns .ccoss tc . |cb.|
.oscJ.co b.so .rJ t.kos .r |rJJst.y
|ccJsoJ .pp.c.c|. |o |rst|tJto .|ns
tc boccno t|o .o|cr.| |Jb |c.
r.rctoc|rc|cy .oso..c| .rJ
|rto||octJ.| p.cpo.ty .||ts .c,J|s|t|cr.
5outce: author. Por detalls: www.susnanotec.lk/
Table 8: South Asla's lnnovatlon capaclty and
competltlveness, l995 and 2009
Countries Knowledge Economy Index
1995 2009
8angladesh l38 l38
|ndla l08 l09
Nepal ll9 l3l
Paklstan l27 ll8
Srl Lanka 94 88
|ran l02 98
Note: The KL| evaluates l46 countrles. 8angladesh, for example,
ranks l38
th
out of l46 countrles.
5outce: world 8ank: http://lnfo.worldbank.org/etools/kam2/KAM_page5.asp
ScJt| As|.
345
I encouraglng sclence-based entrepreneurshlp through
approprlate lncentlves and regulatlons, lncludlng
lntellectual property rlghts and the promotlon of S&T at
the grassroots level.
Current GLPD ln Srl Lanka ls reported to be about
0.2% of GDP (Plgure 2), 70% of whlch ls consldered
non-development expendlture. The new ST| pollcy
envlsages ralslng GLPD to l% of GDP and lncreaslng the
number of researchers from 93 per mllllon populatlon
(Table 4) to at least 948 per mllllon populatlon. Lnrollment
ln englneerlng wlll be encouraged to achleve a fourfold
lncrease ln the number of graduates. Pour lnstltutlons
under the Mlnlstry of Sclence and Technology have been
asslgned the task of lmplementlng the ST| pollcy. These
are the Natlonal Lnglneerlng and Development
Corporatlon, the |ndustrlal Technology |nstltute, the
Natlonal Sclence Poundatlon and the Arthur C. Clark
|nstltute of Modern Technologles. The mlnlstry has posted
the lmplementatlon strategy for the ST| pollcy and
progress achleved thus far on lts webslte.
The lnltlatlve for establlshlng a world-class lnstltute of
nanotechnology as a publlc-prlvate partnershlp has
recelved posltlve feedback from lnternatlonal agencles
llke the world 8ank revlew team, whlch termed lt a step
ln the rlght dlrectlon (8ox 8).
Another lnltlatlve promotes S&T at the grassroots level.
The Srl Lankan government ls lmplementlng 300 Sclence
and Technology vldatha Centers ln vlllages. Staffed by
sclence graduates, these centres are expected to provlde
tralnlng and consultancy servlces to entrepreneurs for the
commerclallzatlon of local research and locally developed
technologles.
Srl Lanka's new ST| pollcy and plans were revlewed by
world 8ank experts and thelr flndlngs were presented
at a conference held on l5 October 2009 ln Colombo.
The study ldentlfles weaknesses ln organlzatlons
lmplementlng the pollcy. These organlzatlons are unable
to hlre talented staff owlng to low salary structures and
mlnlmal opportunltles for tralnlng due to lack of funds,
the study observes. There are also problems related to the
fact that lnstltutlons employ an lnadequate number of
technlclans and a proportlonally hlgh number of non-
technlcal support staff. The world 8ank study
recommended ma[or reforms ln the hlgher educatlon
sector to create a merlt-based natlonal cadre of
researchers that would lnvolve the Srl Lankan dlaspora ln
reformlng hlgher educatlon lnstltutlons and restructurlng
P&D organlzatlons to make them market-drlven rather
than supply-orlented. The study also suggested
strengthenlng Srl Lankan lnstltutes provldlng
accredltatlon servlces related to metrology, standards,
quallty and testlng.
Concernlng the establlshment of a natlonal lnnovatlon
system, the study recommended that ST| pollcy be
allgned wlth the overarchlng natlonal development
pollcles. |t proposed creatlng demand for ST| by
promotlng rlsk-sharlng between government and
lndustry through publlc-prlvate partnershlps, the
promotlon of contract research and the provlslon of tax
credlts, tax deductlons and lnvestment allowances to the
productlve and servlces sectors for the purposes of
fosterlng P&D and lnnovatlon.
|n 2009, the Srl Lankan government approved a pro[ect
asslgned to the Munaslnghe |nstltute for Development
(M|ND) for allgnlng the natlonal technology and
lnnovatlon pollcy wlth the Natlonal Sustalnable
Development Strategy (2007). Thls pro[ect ls lntended to
support the lmplementatlon plan and facllltate formal
adoptlon of the ST| pollcy. The pro[ect strlves to orlent ST|
towards meetlng soclo-economlc challenges related to
sustalnable development, lmprovlng health and
educatlon and the general well-belng of the populatlon,
as well as other challenges such as ethnlc confllct,
envlronmental lssues and natural dlsasters.
O|||S|O|
The bulldlng of S&T capabllltles ls consldered essentlal for
economlc growth and development. The technology gap
between South Asla and the developed world cannot be
brldged by slmply lmportlng technology from other
countrles. Pather, lt requlres that the governments of South
Aslan countrles lnvest ln:
I bulldlng sound educatlonal and sclentlflc lnfrastructure,
I tralnlng a crltlcal mass of sclentlsts, englneers and skllled
technlclans,
I approprlate regulatlon for the protectlon of |PPs and,
I the formulatlon of publlc pollcles to support a contlnual
learnlng process ln prlvate flrms so that they can master
the taclt knowledge attached to technology transfer.
S
o
u
t
h

A
s
l
a
|||SO S|||| |||O| 2010
|n addltlon, South Asla has been unable to explolt lts
reglonal trade potentlal. The cultural and llngulstlc tles and
geographlcal proxlmlty of South Aslan countrles should
facllltate reglonal trade. Trade creates a demand for
technology and lnnovatlon and llnks people ln many
dlfferent ways. South Aslan countrles have a competltlve
edge ln a varlety of servlces and products wlth potentlal for
trade wlthln the reglon. Purthermore, there are locatlon-
speclflc advantages ln the lndustrlal clusters that exlst ln all
South Aslan countrles, partlcularly ln |ndla and Paklstan.
Most of these clusters requlre new management and
organlzatlonal technlques to lntegrate exlstlng knowledge
and new technologles ln thelr productlon processes. They
need to seek technologlcal alllances reglonally and globally
to galn a competltlve advantage (Dahlman, 2007).
The natlonal lnnovatlon systems of South Aslan countrles
remaln underdeveloped. Overall, Paklstan, 8angladesh and
Srl Lanka seem better at produclng baslc knowledge than
commerclallzlng lt. |n general, the emphasls of publlc-funded
P&D has been on mllltary and space research rather than on
lndustrlal research, health or other areas of research where
lnnovatlon can lmprove the quallty of llfe for most of the
populatlon. South Aslan countrles requlre aggresslve ST| and
competltlon pollcles and strong lnstltutlonal lnfrastructure to
lmprove co-ordlnatlon and coheslon between the varlous
publlc and prlvate lnstltutlons and enterprlses. 8ulldlng
strong knowledge networks wlthln each country and at the
reglonal level, and llnklng these to lnternatlonal networks,
may result ln the knowledge transfer and knowledge
accumulatlon countrles need to become competltlve ln an
lncreaslngly knowledge-lntenslve global economy.
||||||||S
Archlbugl, D. and Mlchle, 1. (l997) 7echnoloy
Cloool|zot|on onJ lconom|c Petlotmonce. Cambrldge
Unlverslty Press. New ork, USA.
Aslan Development 8ank (2009) ley lnJ|cotots lot As|o
onJ the Poc|l|c 2009. Avallable at:
www.adb.org/Documents/8ooks/Key_|ndlcators/
2009/pdf/Key-|ndlcators-2009.pdf
8a[racharya, D, 8hu[u, P. D, Pokhrel, 1. P. (2006) 5c|ence,
keseotch onJ 7echnoloy |n Neol. UNLSCO
Kathmandu Serles of Monographs and worklng
Papers, l0. Avallable at: www.unesco.org/sclence/
psd/thm_lnnov/country_stud.shtml
346
8ound, K. (2007) lnJ|o: the uneven lnnovotot. 7he Atlos ol
lJeos, Vo|n the new Ceotohy ol 5c|ence. Demos
Publlcatlons, London.
Choe, K.A. and Poberts 8. (forthcomlng) C|ty Clustet
lconom|c 0eveloment |n 5outh As|o: o ltomewotl
Atooch. Aslan Development 8ank, Manlla.
Dahlman, C. (2007) 5outh As|o Ctowth onJ ke|onol
lntetot|on: lmtov|n 7echnoloy, 5l|lls onJ lnnovot|on
|n 5outh As|o. world 8ank, washlngton, DC.
Dasanayaka S. (2003) Technology, Poverty and the Pole of
New Technologles ln Lradlcatlon of Poverty: the Case
of Srl Lanka. South Asla Conference on Technologles
for Poverty Peductlon, New Delhl.
Dutz, M. (2007) unleosh|n lnJ|os lnnovot|on 7owotJ
5usto|noole 8 lnclus|ve Ctowth. world 8ank,
washlngton, DC.
Government of Nepal (2009) Ptotommes onJ Pol|c|es
ol the Covetnment ol Neol lot l|scol eot 2066/2067
(Ld: 2009/20l0), non-offlclal translatlon.
Khadka, N. S. (2009) Nepal turns back on hydropower.
88C Neol| News 5etv|ce. l6 1anuary. Avallable at:
http://news.bbc.co.uk/2/hl/783l9ll.stm
Mahroum, Saml (2008) The crlsls-torn global economy
needs a world Knowledge Pund to revlve lt.
5c|enceous|ness.net
Man[arl, P. (2009) Srl Lanka needs 8old Pollcy |nterventlons
and Creatlon of a Pobust Natlonal |nnovatlon system.
As|on 7t|oune. Avallable at: www.aslantrlbune.com
Mansourl, P. (2006) |ranlan physlclst Peza Mansourl
descrlbes hls natlon's struggle for S&T Peblrth. AAA5
News Atch|ves. Amerlcan Assoclatlon for the
Advancement of Sclence. Avallable at:
www.aaas.org/news/releases/2006/l0l6lran.shtml
Natlonal Academy of Srl Lanka (2009) A PtooseJ Not|onol
5c|ence onJ 7echnoloy Pol|cy ol 5t| lonlo. Avallable at:
www.nassl.org/publlcatlons.htm
Nepal Academy of Sclence and Technology (2009)
5totus ol 5c|ence onJ 7echnoloy |n Neol.
Avallable at: www.nast.org.np
Pahman Atta ur (2009) Paklstan: sense of urgency powered
educatlon reforms. Letter to the Ldltor, Notute, 46l,
pp. 874. Publlshed onllne, l4 October.
ScJt| As|.
347
Sampath, Cehl (2007) |ntellectuol Ptoetty |n leost
0evelo|n Countt|es: Photmoceut|cols, Ato-tocess|n
onJ 7ext|les onJ kVC |n 8onloJesh. Study prepared for
Unlted Natlons Conference on Trade and
Development as background paper for UNCTAD
(2007) leost 0evelo|n Countt|es, Geneva.
Tech Nepalko |nfo (2009) l8V tesence moy tev|ve l7 Potl.
ll October. Avallable at: http://tech.nepalko.lnfo/
UNCTAD (2008) lnwotJ l0l Petlotmonce lnJex 2005 -2007.
Unlted Natlons Conference on Trade and
Development, Geneva, Swltzerland.
(2007) leost 0eveloeJ Countt|es keott. Unlted
Natlons Conference on Trade and Development,
Geneva, Swltzerland. Avallable at: www.unctad.org
(2005) Cloool lnvestment keott. Unlted Natlons
Conference on Trade and Development, Geneva,
Swltzerland.
UNDP (2007) lumon 0eveloment keott 2007/2008.
Unlted Natlons Development Programme, New ork.
UNLSCO (2009) Cloool lJucot|on 0|est: Comot|n lJucot|on
5tot|st|cs octoss the wotlJ. UNLSCO |nstltute for Statlstlcs,
Montreal, Canada. Avallable at: www.uls.unesco.org
USA|D (2006) 5t| lonlo lconom|c Petlotmonce Assessment.
Produced by Nathan Assoclates |nc. for revlew by the
Unlted States Agency for |nternatlonal Development.
USPTO (2007) A Potent 7echnoloy Von|tot|n 7eom keott.
US Patent and Trademark Offlce, Alexandrla. Avalable
at: www.uspto.gov/go/taf/cst_utl.htm
world 8ank (2009) 7he 7owets ol leotn|n, Petlotmonce, Pet|l
onJ Ptom|se ol l|het lJucot|on |n 5t| lonlo. Human
Development Unlt, South Asla Peglon, washlngton, DC.
(2008) lnowleJe Assessment VethoJoloy 2008.
washlngton, DC. Avallable at: http://lnfo.
worldbank.org/etools/kam2/KAM_page3.asp
(2005) 5ttotey lot ko|J lnJustt|ol Ctowth.
wLP (2009) 7he Cloool Comet|t|veness keott (2009-20l0).
world Lconomlc Porum, Geneva, Swltzerland.
\|bS||S
Global Change |mpact Studles Centre: www.gclsc.org.pk
Mlnlstry of Sclence and Technology of Srl Lanka:
www.most.gov.lk
S
o
u
t
h

A
s
l
a
Syeda Tanveer Kausar Naimwas born ln l944. After
completlng a master's degree at the Unlverslty of Slndh
ln Paklstan, she obtalned a PhD ln Organlc Chemlstry
from the Unlverslty of Sussex ln the UK ln l97l.
|n 2000, Dr Nalm was appolnted Chalr of the Paklstan
Councll for Sclence and Technology (PCST), where she was
lnstrumental ln formulatlng strateglc plans and pollcles for
revamplng Paklstan's S&T, P&D and hlgher educatlon
systems, and lntegratlng them ln natlonal development
plans and pollcles. As Chalr of the PCST, she lmplemented
lncentlves and programmes for the promotlon of sclentlflc
research and braln draln reversal. |n addltlon Dr. Nalm
played a plvotal role ln llnklng the Paklstan Pesearch and
Lducatlon Network wlth the GLOP|AD network of the US
Natlonal Sclence Poundatlon. She also played a key role ln
securlng the landmark Agreement on Sclence and
Technology Collaboratlon between Paklstan and the USA
ln 2003. She then co-ordlnated a multldlsclpllnary group
of experts from the publlc and prlvate sectors ln the
preparatlon of the Technology-8ased Development vlslon
for Paklstan approved by the Cablnet ln August 2007.
As a consultant slnce 2004 wlth the Secretarlat of the
Standlng Commlttee on Sclentlflc and Technologlcal Co-
operatlon (COMSTLCH) of the Organlzatlon of the |slamlc
Conference, Dr Nalm has establlshed the COMSTLCH
Centre for Technology and |nnovatlon Pollcy Pesearch.
A||O\|||V||S
The author would llke to thank Professor M. Kamal Uddln,
Dlrector of the |nstltute of Approprlate Technology at the
8angladesh Unlverslty of Lnglneerlng and Technology ln
Dhaka, for hls lmportant contrlbutlon to the sectlons ln the
present chapter on the reform of hlgher educatlon,
lnformatlon technology and emerglng knowledge hubs ln
8angladesh. She would also llke to thank Marlna Patrler
and Cellne 1ensen, educatlon speclallsts at UNLSCO's
offlce ln Kabul, for supplylng the lnformatlon on the
reform of hlgher educatlon ln Afghanlstan. Thanks go
also to Dlnesh Pa[ 8hu[u from the Nepal Academy of
Sclences for hls guldance on lssues relatlng to Nepal.
Natlonal Lducatlon Commlsslon of Srl Lanka: www.nec.gov.lk/
Paklstan Atomlc Lnergy Commlsslon: www.paec.gov.pk
South Aslan Assoclatlon for Peglonal Cooperatlon:
www.saarc-sec.org
Srl Lanka |nstltute of Nanotechnology: www.susnanotec.lk/
8os|n the economy on o|l coulJ
tevent o stton telot|onsh| ltom
Jevelo|n oetween sc|ence onJ
weolth.
Kloomars Ashtarlan
Iran chapter [9] [P3]:Layout 1 18/10/10 19:37 Page 348
16
.
|ran
||ccn..s As|t..|.r
349
|||O|||O|
|n |ran, sclence, technology and lnnovatlon (ST|) pollcy
hlnges on the country's status as an oll economy. Home to
the second-blggest known reserves ln the world after
Saudl Arabla, |ran has lnvested ln the oll lndustry to the
polnt where recelpts now represent more than four-flfths
of GDP. No dlscusslon of the evolutlon of ST| pollcy ln |ran
slnce 2000 would thus be complete wlthout an analysls of
the lmpact of |ran's oll economy on ST| pollcy.
|n the present chapter, we shall argue that oll recelpts can
play a perverse role ln S&T pollcy and development. Thls ls
because the wlndfall from oll revenue tends to stlmulate
consumerlsm and create a schlsm between consumers
and the sclentlflc communlty. wlth S&T pollcy relegated to
the back seat, bureaucratlc preferences take precedence
over the development of sclence as a publlc good.
we shall also argue that an oll economy need not be an
obstacle to the development of sclence and technology
(S&T). Pecent trends ln plannlng and publlc pollcy-maklng
demonstrate that |ranlan offlclals plan to foster S&T,
although the effectlveness of thls pollcy wlll depend on
lts soclo-economlc orlentatlon.
|ranlans have a posltlve attltude towards sclence, so there
ls no ma[or cultural barrler to the evolutlon of S&T.
Sclentlflc advances are easlly accepted wlthln the rellglous
and polltlcal spheres. et, desplte thls posltlve attltude,
sclence ls nelther an lmportant part of economlc llfe, nor
consldered an lntellectual rlght.
Attltudes towards sclence are largely lnfluenced by cultural
and, to some extent, polltlcal conslderatlons. As sclence ls
recognlzed as belng the determlnlng factor ln the
efflclency of |ran's polltlcal system, the ellte has tended to
malnstream sclentlflc progress ln lts polltlcal dlscourse. As
a consequence, expendlture on research and development
(GLPD) and research budgets ln hlgher educatlon have
largely been spared from cuts, even ln hard tlmes.
Over the past decade or so, |ran has reacted to the
lmposltlon of trade embargoes by some western countrles
by developlng lts own sclentlflc and economlc
lnfrastructure. Thls has entalled expandlng hlgher educatlon
and spawned the Southern Pars Oll Pro[ects, natlonal
pro[ects for the productlon of steel, cement and so on, and
the local productlon of goods for domestlc consumptlon,
such as cars or electrlcal appllances. Nevertheless, research
and development (P&D) have falled to target market needs.
|ran has lnstead chosen to focus on such flelds as peaceful
nuclear technology, nanotechnology, satelllte launchlng,
the reproductlon of stem cells, anlmal clonlng and so on.
As a result, S&T pollcy remalns lnsulated from changes ln
the economlc con[uncture.
Hlgh oll recelpts ln recent years have been a boon for
sclence. At the same tlme, however, thls natural wealth has
dlvorced sclence from soclo-economlc needs and favoured
government lnterventlon ln S&T pollcy: as much as 73% of
research ls government-funded. As we shall see later, the
steep cllmb ln oll revenue ln 2004-2005 has been followed
by a spendlng spree on sclence and soclal welfare but also
by a burgeonlng bureaucracy. Thls sltuatlon has not only
favoured a sclence pull lnstead of a technology push, lt has
also nurtured the domlnatlon of S&T pollcy by a sclentlflc
ellte ln academla. Thls dual phenomenon explalns the low
contrlbutlon of S&T pollcy to lndustrlal development and
the hlgh rate of resource-based exports for an lndustrlal
economy, about 50% (|ranlan Centre for Statlstlcs, 2004).
|n addltlon to the country's economlc dependence on oll,
S&T pollcy ln |ran ls typlfled by an lnterventlonlst
bureaucracy whlch can lead to wastage of publlc funds.
The greatest weakness, however, ls the lack of orlentatlon
of ST| pollcy towards problem-solvlng. Although the focus
of sclentlflc research ls gradually shlftlng towards natlonal
problems, much of pollcy research ln |ran demonstrates
no strong relevance to natlonal lssues. Demand push for
research and technology, a knowledge economy and
problem-orlented research are all fashlonable concepts ln
S&T pollcy, yet lt would seem that the lnterrelatlon of
these concepts and thelr lntegratlon lnto the economy
recelve llttle conslderatlon ln the pollcy-maklng process ln
|ran, desplte thelr soclal relevance.
S&T pollcy-maklng ln |ran needs to pay attentlon to such
notlons as technology dlffuslon, standardlzatlon, legal
system reform, commerclallzatlon of research, establlshlng
a trade-off system, lnstltutlonal reform, communlcatlon and
so on, lf lt ls to make a real connectlon between sclentlflc
research and soclety. |n the pollcy agenda, government
preferences and the sclence pull approach should come
after the demand push for research. |ran needs to take
progresslng towards a knowledge economy more serlously
because baslng the economy on oll could prevent a strong
relatlonshlp from developlng between sclence and wealth.
|
r
a
n
Hlgh oll recelpts ln
recent years have
been a boon for
|ranlan sclence
but have dlvorced
sclence from
soclo-economlc
needs.
Photo:
k|cotJo Azouty/
|5toclhoto
|||SO S|||| |||O| 2010
SO|O|O|OV| S||A|O|
Healthy growth in GDP
|ran has en[oyed a healthy rate of economlc growth slnce
200l, wlth a peak ln 2007 of 7.8% (Tables l and 2).
Overshadowlng thls performance, however, ls an lnflatlon
rate that has fluctuated between l0% and 25% slnce 2000.
As a result, |ran's standlng among lts nelghbours, such as
Saudl Arabla, Turkey and Paklstan, has osclllated at tlmes.
GDP per caplta has grown rapldly, from PPP US$ 6 820 ln
2000 to PPP US$ ll 844 ln 2007. Over the same perlod,
|ran's human development ranklng llkewlse lmproved
from 98
th
to 88
th
place. Thls places |ran near the top of the
llst of countrles wlth medlum human development,
between Georgla and Thalland (UNDP, 2009).
Slower population growth and better literacy
|n the past decade, populatlon growth has slowed from
l.6% per annum ln 2000 to l.4% ln 2008. |t ls estlmated
that thls rate wlll further decllne to l.3% by 20l5 when |ran
wlll have a populatlon of about 79.4 mllllon. |ran's young
populatlon could be an opportunlty for the country's
development but the hlgh rate of unemployment could
also cause soclo-economlc problems.
Accordlng to UNLSCO (20l0), 82% of |ranlans over the age
of l5 years were llterate ln 2007, a flgure pro[ected to rlse
to 88% by 20l5. |t ls also expected that the llteracy gap
between men and women wlll shrlnk: 23% of women
were llllterate ln 2006, compared to l2% of men, the
pro[ected flgures for 20l5 are l2% and 8% respectlvely.
At unlverslty, women made up two-thlrds of the student
body ln 2009.
350
An economy dominated by oil
The share of non-oll economlc actlvltles ln GDP has
dropped durlng |ran's fourth l|ve-eot lconom|c, 5oc|ol onJ
Cultutol Plon (2005-2009), compared to the prevlous plan.
|n parallel, oll revenue has cllmbed to US$270 bllllon slnce
Presldent Ahmadlne[ad took offlce ln August 2005. One-
thlrd of the economy ls now dependent on oll, especlally
slnce the downturn ln the constructlon sector
ln 2009 caused by the global recesslon (Plgure l).
The proportlon of non-oll lndustrlal sectors shrank to less
than one-flfth of total gross natlonal lncome (GN|)
between 2002 and 2007 (|ranlan Central 8ank, 2007o).
These sectors lnclude agrlculture, lndustry and mlnlng,
electrlclty, gas, water and constructlon (Plgure 2). Only
mlnlng managed to hold lts own, even though lt was
progresslng from a low startlng polnt: 0.7% of GDP ln
2002 and 0.8% flve years later. The share of oll, on the
other hand, nearly doubled, cllmblng from l5.l% ln 2000
to 27.9% ln 2007 (|ranlan Central 8ank, 2007o).
|mports represent an estlmated 30% of GDP and exports
39% of GDP (2007). The share of goods and servlces ln
lmports has not changed slnce 2006 but has rlsen more than
7% for exports. Lxports of goods and servlces can be broken
down lnto raw materlals (88%), lndustrlal products (9%) and
advanced technologles (3%) ||ranlan Central 8ank, 2008|.
8etween 2004 and 2008, the share of oll revenue allocated
to the government rose to US$60 bllllon. 8y 2007, the
lncrease represented four tlmes that forecast for the perlod
of the loutth Plon (2005-2009). Slnce the revolutlon of
l979, reduclng government fundlng vla taxes and non-oll
revenue had become a prlorlty. Thls led successlve
Table 1: Soclo-economlc lndlcators for |ran, 2000-2007
2000 2001 2002 2003 2004 2005 2006 2007
GDP per caplta (PPP) US$ 6 820 7 l25 7 672 8 264 8 796 9 3l4 9 906 ll 844
GDP growth (%) 5.l4 3.66 7.5l 7.ll 5.08 4.3l 4.57 7.82
|nflatlon rate (%) - - l5.8 l5.6 l5.2 l2.l ll.9 l8.4 ``
Populatlon (mllllons) 63.93 64.97 66.0l 67.04 68.06 69.08 70.09 7l.02
Populatlon growth (%) l.64 l.6l l.58 l.54 l.5l l.48 l.45 l.30
Human development lndex 0.72l 0.7l9 0.732 0.736 0.746 0.773 0.777 0.782
Publlc expendlture on educatlon (as % of GDP) 4.4 4.4 4.9 4.8 4.9 4.7 5.l 5.5
Glnl` 0.4 0.4 0.39 0.38 0.40 0.39 0.4 0.39
` The Glnl coefflclent lndex ls used to measure lnequallty of lncome or wealth. The coefflclent varles between 0 (complete equallty) and l (complete lnequallty).
`` The lnflatlon rate [umped to 25.4% ln 2008 before dropplng back to l6.7% ln 2009 and about l0% ln 20l0, for HD|: UNDP (2009) lumon 0eveloment
keott and earller reports
5outce: UNLSCO |nstltute for Statlstlcs database, November 2009, |ranlan Central 8ank (2009) Not|onol Account|n keott 2001-2009
|..r
35l
|
r
a
n
Table 2: Soclo-economlc lndlcators for |ran and other South west Aslan countrles, 2000 and 2007
GDP (current PPP GNI* per capita (current High-tech exports Internet users
US$ millions) international dollars PPP) (% of manufactured (% of population)
exports)
2000 2007 average 2000 2007 average
growth growth 2000 2007 2000 2007
rate (%) rate (%)
Afghanlstan l9 429 27 l39 5.7 - - - - - 0.l l.84
+l
Armenla 9 733 l7 l39 l0.9 2 080 5 870 26.03 4.54 2.03 l.30 5.74
-l
Azerbal[an 23 634 64 082 24.4 2 080 6 570 30.84 5.37 3.94 0.l5 l0.83
8ahraln l0 053 24 245 20.2 20 030 - - 0.03 0.05 6.l5 33.2l
Georgla - - - 2 l50 4 760 l7.34 l0.77 7.l2 0.49 8.l8
|ran 374 582 776 538 l5.3 6 790 l0 840 8.52 l.89 6.l7 0.98 32.38
1ordan l25 84l l85 883 6.8 3 260 5 l50 8.28 7.98 l.l2 2.65 l9.70
Kazakhstan l9 380 28 038 6.4 4 480 9 600 l6.33 3.94 23.25 0.67 l2.27
Kuwalt 87 293 l67 467 l3.l 35 0l0 - 0.78 - 6.85 33.80
Kyrgyzstan 3l 35l ll4 597 37.9 l 250 l 980 8.34 l7.64 2.44 l.05 l4.33
Lebanon l8 647 4l 43l l7.5 7 5l0 l0 040 4.8l 2.34 2.39 7.95
-2
38.32
Oman 29 0l8 5l 0l9 l0.8 l4 440 - 3.09 0.46 3.75 l3.08
Paklstan 266 l59 409 973 7.7 l 690 2 540 7.l9 0.39 l.37 - l0.77
Qatar 43 8ll 56 303 4.l - - 0.00 0.0l 4.86
-l
4l.98
Saudl Arabla 235 563 554 250 l9.3 l7 490 22 950 4.46 0.40 0.6l 2.23 26.4l
Syrlan Arab Pepubllc 57 56l 89 759 8.0 3 l50 4 430 5.80 0.53 0.82 0.l8
-l
l7.45
Ta[lklstan 7 l05 ll 82l 9.4 800 l 7l0 l6.25 4l.77 - 0.05 7.l8
Turkey 455 336 922 l89 l4.6 8 600 l2 8l0 6.99 4.85 0.38 3.7l l6.45
Turkmenlstan 20 567 22 607 l.4 - - - 4.89 - 0.l3 l.4l
Unlted Arab Lmlrates 48 855 l95 396 42.8 4l 500 - - 0.69 0.66
-l
23.56 5l.78
Uzbeklstan 60 43l 65 l67 l.l l 420 2 430 l0.l6 - - 0.49 9.08
+l
emen l5 634 52 285 33.4 l 7l0 2 200 4.09 - - 0.09 l.6l
+l
` Gross natlonal lncome ls made up of a country's GDP plus any lncome earned abroad, such as dlvldends or lnterest on loans, from whlch ls subtracted
slmllar payments made to other countrles.
Note: The countrles selected for thls table correspond to |ran's 20-year vlslon of topplng thls llst of countrles by 2025 for varlous soclo-economlc lndlcators.
Only |raq ls mlsslng, for lack of data.
5outce: world 8ank, world Development |ndlcators, 1uly 2009
governments to asslgn a US$l6 bllllon celllng for
government wlthdrawals of oll revenue durlng the
country's successlve development programmes, especlally
those slnce l990. Oll revenue ln the elght years of
Presldent Khataml's government (l996-2004) cllmbed to
US$l93 bllllon and ln the flrst four years of Presldent
Ahmadlne[ad's government (2005-2009) to US$258 bllllon.
A trend towards privatization
More than 60% of lndustrlal productlon ln |ran ls supplled
by government companles. |n 2006, the government
announced an ambltlous |ndustrlal Prlvatlzatlon
Programme to sell off the country's ma[or companles to the
prlvate sector, such as the Ahwaz Steel Company or |ran's
Communlcatlon Company.
The flnanclal sector remalns domlnated by state banks,
even though four prlvate banks were establlshed ln early
2000 and ma[or publlc banks were gradually belng
prlvatlzed ln 2009. 8anks have become an lmportant
source of fundlng for the prlvate sector. |n 2007, they
provlded 94% of llquldltles to prlvate companles,
compared to [ust 4% ln l990. Thls lncrease lmplles that
the largely state-controlled banklng system has been a
slgnlflcant contrlbutor to economlc growth. 8orrowlng
facllltles have grown along wlth the lncrease ln the money
supply: 60% of deposlts held ln |ranlan banks were made
avallable to borrowers ln l998, a share whlch had rlsen to
85% by 2007. The |ranlan banklng system has been
harnessed to help the country lmprove lts competltlve
advantage, upgrade technology and stlmulate
|||SO S|||| |||O| 2010
productlvlty and economlc growth. As a consequence of
belng lndexed on the economy, however, the banklng
system has also become dependent on the oll economy.
A slowly shrinking income gap
The lncome gap ls shrlnklng ln |ran but remalns wlde.
whereas the rlchest cltlzens earned 22 tlmes as much as
the poorest ln l990, thls ratlo had dropped to l7 by 2004.
Thls ls hlgher than the ratlo for Paklstan (8:l), |ndonesla
(7:l) or Thalland (l2:l). The plcture ls the same lf we take
some developed countrles: Prance (9:l), Swltzerland (l0:l)
and Germany (7:l) ||ranlan Central 8ank, 2008|.
Some 4.5 mllllon |ranlans, or l.5 mllllon poor households,
are covered by government soclal welfare networks and
charltles. Subsldles have a ma[or lmpact on the economy.
One of the most lmportant challenges for the |ranlan
economy ln recent years has been to reduce non-targeted
energy subsldles, whlch constltute l0% of GDP and do not
always go to those most ln need.
|n all, 48 mllllon |ranlans are entltled to health lnsurance
provlded by thelr prlvate or government employer.
A non-governmental charlty, the Comlt-e Lmdad |mam
Khomelnl, provldes addltlonal coverage for four mllllon
poor. The country's soclal securlty system lncludes health
care, tralnlng, retlrement and unemployment beneflts,
as well as subsldles for energy, food, houslng and other
soclal servlces.
352
S |O||+ |A||S A|| ||||S
S||| 2000
Lven after 60 years of experlence, there remalns a lack of
methodologlcal studles and crltlcal revlews ln pollcy-
maklng and plannlng ln |ran, partlcularly when lt comes
to technology pollcy. Thls dearth of actlon plans,
programmes and overarchlng pollcles seems to be one
of the maln factors behlnd the dlfflcultles encountered
ln lmplementlng publlc pollcles up untll now. S&T
plannlng, llke other areas of pollcy-maklng ln |ran, ls
domlnated by a comprehenslve plannlng model whlch
lgnores prlorltles, thereby preventlng a focus on the
most lmportant problems. 8y refuslng to prlorltlze, thls
model leads to an unfalr system of budget allocatlon
(Toflgh, 2006).
The other characterlstlc of S&T pollcles ls thelr lnadequate
orlentatlon towards problem-solvlng. A centrallzed,
bureaucratlc approach to S&T pollcy-maklng allows
academlc, bureaucratlc or polltlcal elltes to lmpose
thelr own prlorltles on the sclence agenda. Theorles and
models for S&T pollcles are 'lmported' from abroad and
consequently lgnore |ran's soclo-economlc sltuatlon,
be lt the buslness world's preoccupatlons, trade,
lnternatlonal collaboratlon or soclal problems.
Thls weakens the prlvate sector and could be a
determlng factor ln the lnefflcacy and lnefflclency of
S&T pollcles.
0
5
10
15
20
2000 2001 2002 2003 2004 2005 2006 2007 2008 2009
Total 3
rd
Plan
56.8%
Total 4
th
Plan
81.6%
17.4
11.1 10.9
11.1
11.6
12.1
15.2
15.6
16.3
17.1
2001 2002 2003 2004 2005 2006 2
0
20
40
60
80
100
Industry and mining
Services
Agriculture
Oil
15.1
12.8
20.3
53.2
18.3
9.3
27.9
45.5
27.1
9.2
17.6
48.5
28.2
9.3
17.5
47.8
24.1
10.8
18.1
49.5
22.6
11.6
18.4
49.2
22.8
12.2
18.5
48.3
Figure 2: Share of economlc sectors ln |ranlan GDP,
200l-2007 (%)
P
e
r
c
e
n
t
a
g
e
P
e
r
c
e
n
t
a
g
e
5outce: |ranlan Central 8ank (2007o) lconom|c lvolut|on.
Peport. Tehran
5outce: |ranlan Central 8ank (2007o) Not|onol Account|n keott
200l-2007, p.l6
Figure 1: Share of oll revenue ln |ran's budget,
2000-2009 (%)
|..r
353
As Shahmlrzall (l999) observes, 'because of the presence
of a sclence pull approach ln technologlcal development,
aspects llke lndustrlal standardlzatlon, the englneerlng
regulatory system, support for deslgn companles,
collaboratlve research between lndustrlal enterprlses, the
technlcal lnspectlon system, export of technlcal and
englneerlng servlces, spreadlng new technologles to
lndustrles . are lgnored'.
As the hlghest authorlty for publlc pollcy-maklng ln |ran,
lt ls the Lxpedlency Councll whlch develops these 'grand
pollcles' for the Leader of the |slamlc Pepubllc of |ran,
lncludlng ln the area of S&T.
l
Grand pollcles are
elaborated to achleve the goals of the v|s|on document,
whlch ldentlfles the malns goals of |ranlan soclety for the
comlng 20 years.
Once the grand pollcles have been developed by the
Lxpedlency Councll, they are offlclally communlcated
by the Leader of the |slamlc Pepubllc of |ran to the
leglslatlve, executlve and [udlclal branches. The grand
pollcles for S&T ln the loutth 0eveloment Plon
(2005-2009) are:
I Development of the hlgher educatlon system, research
centres, baslc sclence and applled research,
I Optlmlzatlon of educatlon and research lnfrastructure,
together wlth lmprovlng sclentlflc productlvlty and
efflclency,
I Lducatlon and tralnlng of researchers and unlverslty
professors and, for those already ln employment,
development of thelr sclentlflc and practlcal skllls and
ldeologlcal quallty,
I Deslgn of a system for ranklng unlversltles and
researchers based on crlterla such as efflclency and
effectlveness, sclentlflc productlvlty, applled research
and technologlcal development, or the problem-
solvlng nature of thelr research,
I Collectlon of governmental and non-governmental
statlstlcs, development of a sclentlflc lnformatlon
system. Creatlon of structures for applylng the results
of sclentlflc research,
I A greater role for unlversltles and research centres ln
promotlng effectlve government and defendlng
rellglous bellefs,
I Development of technologlcal capacltles and
lmprovement of |ran's posltlon ln global technology,
knowledge productlon, etc.
The Plon sets out to achleve these goals vla actlon plans
and pollcy packages collectlvely known as 'development
documents' and a one-year budgetlng system prepared
by the Management and Plannlng Organlzatlon, whlch
was renamed the Presldent Deputy for Strateglc
Monltorlng
2
ln 2009.
As we have seen above, the centrallzatlon of S&T pollcy-
maklng ls one of the characterlstlcs of government.
The alm of thls centrallzatlon ls to co-ordlnate all agencles
and mlnlstrles. Thls ls reflected ln the transformatlon of
the Mlnlstry of Sclence and Hlgher Lducatlon lnto the
Mlnlstry of Sclence, Pesearch and Technology (MoSPT) ln
the 7h|tJ 0eveloment Plon (2000-2004) and lts new
mandate as co-ordlnator of all sclentlflc actlvltles.
However, ln order to co-ordlnate dlfferent actlvltles and
avold overlap wlth the Mlnlstry of Health and Medlcal
Lducatlon, the Mlnlstry of Lnergy and the Mlnlstry of
Agrlculture, not to mentlon the many other lnstltutlons
wlth a mandate for S&T, a new post was created ln 2005,
that of Presldent Deputy for Sclence and Technology. Thls
deputy reports to the presldent and ls responslble for co-
ordlnatlng all S&T actlvltles for whlch the budget and
plannlng are centrallzed. Up untll the creatlon of thls post,
the mlnlsterlal Supreme Councll of Sclence, Pesearch and
Technology had fulfllled thls role but had falled to fully
achleve lts ob[ectlves.
The other ob[ectlve of centrallzatlon ls to strengthen the
natlonal lnnovatlon system. Thls system ls percelved as a
means of avoldlng the dlspersal of publlc pollcles and
budget wastage by facllltatlng lnteractlon between
|
r
a
n
l. Accordlng to the Const|tut|on, the Leader ratlfles grand pollcles after
'consultatlon wlth the Lxpedlency Councll' (Artlcle ll0). The members of
the Lxpedlency Councll are nomlnated by the Leader (Artlcle ll2),
currently Ayatollah All Khamenel. They are polltlcal personalltles drawn
from dlfferent factlons, as well as experts and offlclals such as the
presldent, the chlef of the [udlclary and the speaker of Parllament.
2. The Presldent Deputy ls a full admlnlstratlon that ls not subordlnated to
any mlnlstry. On the contrary, the varlous mlnlstrles are expected to co-
ordlnate thelr work wlth that of the Presldent Deputy.
|||SO S|||| |||O| 2010
multlple systems and sub-systems such as the natlonal
educatlon and economlc systems.
Pollcy-maklng ln S&T ls executed by dlfferent lnstltutlons
that lnclude the Presldent Deputy for Sclence and
Technology, MoSPT and the Mlnlstry of Health and Medlcal
Lducatlon. Although thls demonstrates broad-based
attentlon to S&T lssues, the complex co-ordlnatlon
mechanlsm and dlvlslon of tasks thls necessltates can
compllcate the executlon of S&T pollcy.
354
|| ||||
Growth in R&D expenditure
GLPD rose by 4l% ln 2004, 64% ln 2005 and 65% ln 2006.
Accordlng to the UNLSCO |nstltute for Statlstlcs, |ran
devoted 5.l bllllon rlals to P&D ln 2002, 8.3 bllllon ln 2004
and as much as l3.7 bllllon ln 2006. Thls translates lnto a
GLPD/GDP ratlo of 0.67% ln 2006, compared to 0.55% seven
years earller (Plgure 3). More than 74% of GLPD ls provlded
by the government, the remalnder comlng from buslness
Figure 3: Publlc expendlture on educatlon and GLPD ln |ran, l999 and 2007 (%)
0
1
2
3
4
5
6
0.0
0.1
0.2
0.3
0.4
0.5
0.6
0.7
0.8
1999
2007
A
r
m
e
n
i
a
A
z
e
r
b
a
j
a
n
I
r
a
n
K
a
z
a
k
h
s
t
a
n
P
a
k
i
s
t
a
n
T
a
j
i
k
i
s
t
a
n
T
u
r
k
e
y
A
r
m
e
n
i
a
A
z
e
r
b
a
j
a
n
I
r
a
n
K
a
z
a
k
h
s
t
a
n
P
a
k
i
s
t
a
n
T
a
j
i
k
i
s
t
a
n
T
u
r
k
e
y
A
r
m
e
n
i
a
A
z
e
r
b
a
j
a
n
I
r
a
n
K
a
z
a
k
h
s
t
a
n
P
a
k
i
s
t
a
n
T
a
j
i
k
i
s
t
a
n
T
u
r
k
e
y
P
u
b
l
i
c

e
d
u
c
a
t
i
o
n

e
x
p
e
n
d
i
t
u
r
e

a
s

a

%

o
f

G
N
P
G
E
R
D

a
s

a

%

o
f

G
D
P 4.0
4.1
0.47
2.2
4.3
4.5
4.3
2.6
2.1
2.6
2.9
5.6
2.0
2.8
3.5
0.21
0.21
0.39
0.55
0.18
0.12
+2
0.09
+2
0.18
0.67
-1
0.21
0.67
-1
0.06
0.71
74.0
7.5
74.6
11.2
Government
Business enterprise
Higher education
18.5 14.2
2001 2006
Figure 4: GLPD by source of funds ln |ran, 200l and 2006 (%)
5outce: UNLSCO |nstltute for Statlstlcs database, Pebruary 20l0
5outce: for educatlon: UNLSCO (20l0) keoch|n the Vot|nol|zeJ. lJucot|on lot All Cloool Von|tot|n keott, Table ll, for P&D:
UNLSCO |nstltute for Statlstlcs database, Pebruary 20l0
|..r
355
|
r
a
n
Figure 5: Pemale unlverslty students ln |ran,
2000 and 2007 (%)
Armenia
Azerbaijan
Iran
Jordan
Kazakhstan
Lebanon
Pakistan
Saudi Arabia
Tajikistan
Turkey
Uzbekistan
44.5
43.2
2000
2007
52.4
45.3
40.9
45.1
27.5
25.2
58.2
54.0
45.7
40.1
54.7
53.7
42.6
39.7
57.9
55.9
54.0
51.7
51.3
51.4
0 20 40 60 80
5outce: MoSPT
(l4%) and hlgher educatlon (ll%). |nterestlngly, the role of
buslness P&D has even decllned somewhat ln recent years,
ln favour of the hlgher educatlon sector (Plgure 4).
when we compare |ran wlth a non-oll economy llke Turkey, the
reallty supports the hypothesls that an oll economy has a
negatlve lmpact on the buslness sector. |n Turkey, buslness
expendlture on P&D made up 48% of total GLPD ln 2007 (up
from 4l% ln 2002), compared to [ust l4% ln |ran (see oe 205).
||||S || ||VA| ||SO|||S
A gender imbalance that favours women
The share of female students ln hlgher educatlon has rlsen
steadlly from 45% ln 2000 to 52% ln 2007 (Plgure 5) and
even more than 65% ln 2009, accordlng to prellmlnary data.
Consequently, publlc pollcy-makers need to acknowledge
the changlng roles of men and women ln |ranlan soclety by
facllltatlng career opportunltles for women and fosterlng a
supportlve cultural cllmate for women wlshlng to comblne
a career wlth ralslng a famlly.
A strong demand for higher education
Por the past 30 years, |ran has been expandlng lts unlverslty
admlsslon capaclty. 8y the turn of the century, unlversltles had
a capaclty of about l60 000 students. 8y 2009, thls number
had rlsen to l 500 000 students. At the graduate level, the
lncrease has been nearly as spectacular: l0 000 graduates ln
2000 and 8l 000 ln 2009. Pull and part-tlme enrollment ln both
publlc and prlvate tertlary lnstltutlons doubled between 2000
and 2007 from l 404 880 to 2 828 528 (Plgure 6).
3 000
2 500
2 000
1 500
1 000
500
0
2000 2001 2002 2003 2004 2005 2006 2007
1405
1570
1567
1714
1955
2126
2399
2829
T
h
o
u
s
a
n
d
s
Note: Data encompass both publlc and prlvate unlversltles and full and part-tlme study.
5outce: MoSPT (2008) keott lot 5c|ent|l|c kooJ Vo
Figure 6: Trends ln unlverslty enrollment ln |ran, 2000-2007
|||SO S|||| |||O| 2010
356
Figure 7: Artlcles publlshed ln lnternatlonal [ournals
by |ranlan sclentlsts, l997-2008
14 000
12 000
10 000
8 000
6 000
4 000
2 000
0
200020012002 199719981999 200320042005200620072008
13 569
10 361
9 790
7 414
5 325
3 934
2 742
1 949
1 625
1 337
1 135
1 027
Figure 8: Share of sclentlflc dlsclpllnes ln |ranlan
publlshlng, l993-2008
19931997 19982003 20032008
Computer
science and
mathematics
Physics and
astronomy
Materials
science
Chemistry
Clinical
medicine
Bioscience
Environmental
science
Engineering
|n the past 20 years, |ran has deployed students and
researchers abroad, elther to study or to present thelr
sclentlflc achlevements ln lnternatlonal sclentlflc
conferences. One example ls collaboratlon between the
UK and |ran ln hlgher educatlon and research (8rltlsh
Councll et ol., 2005). Today, numerous |ranlan students are
pursulng thelr studles abroad ln dlfferent dlsclpllnes. The
cost ls borne malnly by the students themselves but the
government also offers study grants.
|| O|||
Trends in scientific publishing
The expanslon of hlgher educatlon ln general (Plgure 6)
and graduate studles ln partlcular has ln turn lmproved
|ran's standlng ln lnternatlonal [ournals. The number of
|ranlan artlcles publlshed ln the natural and soclal
sclences and englneerlng rose by l23% between l995
and 2005, accordlng to Thomson Peuters' Sclence Cltatlon
|ndex (SC|). |n the seven months to 1uly 2009, |ranlan
sclentlsts publlshed l0 99l artlcles ln lnternatlonal
[ournals. Thls compares wlth l0 36l ln 2007 for the entlre
twelve-month perlod and l3 569 ln 2008, accordlng to
MoSPT (Plgure 7). Not surprlslngly, the number of
researchers per mllllon populatlon has slmllarly rlsen from
500 ln 2000 to 850 ln 2007, accordlng to MoSPT.
Plgure 8 lllustrates the contrlbutlon of dlfferent sclentlflc
dlsclpllnes over the past slxteen years. |ran has been
conslstently strong ln englneerlng but cllnlcal medlclne
has replaced chemlstry as the second most prollflc fleld of
|ranlan sclence ln recent years.
Slnce l999, |ran has overtaken Paklstan, Malaysla and
South Afrlca ln sclentlflc publlshlng. Accordlng to MoSPT,
sclentlflc publlshlng has grown faster ln |ran than
anywhere else ln the world ln recent years. |nternatlonal
collaboratlon as measured by sclentlflc artlcles has also
lncreased markedly (Plgure 9).
Today, the |ranlan government ls attemptlng to use another
lnternatlonal lndex known as the |slamlc world Cltatlon
Database (|SC). Thls database recorded more than 73 000
artlcles for |ranlan sclentlsts from 2000 to 2008. The Councll
of the Cultural Pevolutlon and the MoSPT have put
lncentlves ln place to encourage sclentlsts to submlt papers
to the |SC, such as the promlse of promotlon to a hlgher
grade for unlverslty professors.
|O||+ ||\||O|V|| |O|
b|S|||SS ||
Progress ln developlng new technologles ls hampered ln
|ran by the cost of settlng up a buslness, weak lntellectual
property rlghts and government domlnatlon of large
enterprlses. Over the past l5 years, the government has
set up hlgh executlve counclls ln nanotechnology,
blotechnology, fuel cell technology and lnformatlon and
Iran
357
I
r
a
n
Figure 9: International scientific co-authorship in Iran, 19962008
2 500
2 000
1 500
1 000
500
0
2000 2001 2002 1997 1998 1999 2003 2004 2005 2006 2007 2008 1996
313
2 208
MoSRT data
SCI data
Source: MoSRT (2008) Report for Scientific Road Map; Thomson Reuters Science Citation Index. Compiled for UNESCO by the Canadian Observatoire des
sciences et des technologies
Box 1: Biolarvicides and beauty products from biotechnology research
The Persian Gulf Biotechnology
Research Centre was set up on the
island of Qeshm in southern Iran in
1997 by Nasrin Moazami, founder of
the Biotechnology Research Centre at
the Iranian Research Organization for
Science and Technology (IROST) in
Tehran in 1982. The plant develops
plant propagation using the tissue
culture of bananas, orchids and date
palms to increase agricultural
productivity. It also explores the
qualities of coral for health
applications. Coral is strikingly similar
to bone, with a 98% degree of
compatibility. This makes coral a
potential substitute for bone
transplants in patients, as there is no
risk of rejection by the human body.
The sea offers endless possibilities
for product development using
biotechnology. Algae, for example,
can be used as a biofertilizer for
agriculture; it can be fermented to
produce methane and methanol for
use in cooking and to fuel cars. Algae
can also be marketed on the food,
health and beauty markets.
The centre is also exploring the
potential of Aloe vera. This plant can
be marketed as a highly nutritious
supplement or even in the form of a
moisturizing cream. As it stimulates
the bodys immune system, it is also
effective in healing intestinal diseases.
Qeshm island has also been the
theatre of trials to test a biolarvicide
known as Bacillus thuringiensis M-H-
14, which was also successfully tested
elsewhere in southern Iran and in
Sudan before being registered at the
European Patent Office in 2003. This
toxin hones in a on a receptor in the
gut that only the Anopheles mosquito
possesses, making the biolarvicide
innoccuous to all other living species,
including human beings. The
bacterium was isolated from dead
Anopheles stepehensis larvae, a major
vector of malaria in Iran. The
biolarvicide was developed by a
research team led by Nasrin Moazami
at the Biotechnology Research Centre
in Tehran. Since November 2004, it
has been manufactured under the
trademark of Bioflash by the Iranian
Nature Biotechnology Company,
founded in 1999.
The Biotechnology Research
Centre is a member of UNESCOs
global network of microbial resource
centres in developed and developing
countries, which co-operate in
microbiological and biotechnological
research.
Source: Moazami (2005)
For details: moazami@hotmail.com
The Centre for New Industries was established within
the Ministry of Mining and Industry during the Third
Development Plan. The role of this centre is to define
communication technologies (ICTs) to support the
development of new technologies and protect them from
market fluctuations (see also Box 1).
Iran chapter [1] [Ed2]:Layout 1 10/12/10 12:34 Page 357
|||SO S|||| |||O| 2010
358
pollcles and lmplement strategles to develop new
lndustrles ln hlgh technologles ln partlcular. |t also
promotes a buslness cllmate for prlvate enterprlses.
The centre's flrst step has been to prepare a strateglc plan
for electronlc lndustrles encompasslng communlcatlon
technology, mlcro-electronlcs, the automatlon lndustry
and so on, as well as for new materlals, blotechnologles,
lnformatlon technologles, clvll alrspace, laser technology
and optlcs, and nanotechnologles.
|ran's |ndustrlal Development and Penovatlon
Organlzatlon (|DPO) has establlshed [olnt ventures wlth
the prlvate sector slnce the beglnnlng of the 7h|tJ
0eveloment Plon to develop new lndustrles (8ox 2).
As of 2002, flve forelgn lnvestment pro[ects had been set
up wlth a budget of US$ 300 mllllon (MPO, 2003).
wlth regard to lnfrastructure, the government had
planned to develop the country's technology parks,
lncubators, vlslonary technology lnstltutlons, techno-
markets and clusters durlng the 7h|tJ and loutth
0eveloment Plons.
3
The success of thls klnd of pollcy
3. As of 20l0, |ran had 2l sclence and technology parks and more than
60 technology lncubators.
Box 2: Developlng hlgh-tech lndustrles vla |DPO
S|rco |ts |rcopt|cr |r 196, |..rs
|rJJst.|.| |ovo|cpnort .rJ
|orcv.t|cr O..r|..t|cr (|||O) |.s
ost.b||s|oJ .rJ Jovo|cpoJ oro..|
ccrt..ctc. ccnp.r|os |r J|||o.ort
||o|Js. cJ.y, |t p.cnctos Jcnost|c
.rJ |c.o|r |rvostnort |r n|rc.|ty
|c|J|rs |t c.rs |r ro., |||toc|
.rJ oxpc.tc.|ortoJ |rJJst.|os |r
p..t|cJ|... |oso |||toc| ..o.s
|rc|JJo |s, .Jv.rcoJ n.to.|.|s,
b|ctoc|rc|cy .rJ |||o sc|orcos,
o|oct.cr|cs, n|c.co|oct.cr|cs .rJ
r.rctoc|rc|cy.
Accc.J|r tc A.t|c|o 44 c| |..rs
crst|tJt|cr, .|| |..osc.|o |rJJst.|os
..o pJb||c p.cpo.ty. |||O ccrt.c|s
.bcJt 290 ccnp.r|os, n.k|r |t cro
c| |..rs |..ost |c|J|r ccnp.r|os.
V.c. ccnp.r|os c.roJ by |||O
|rc|JJo |rJJst.|.| |.cocts
V.r.onort c| |..r (||V|), t|o |.||
..rspc.t.t|cr |rJJst.|os cnp.ry
(||), |..s |rto.r.t|cr.| |ovo|cpnort
.rJ |r|roo.|r cnp.ry (||||O),
t|o |..r|.r O||s|c.o |r|roo.|r .rJ
crst.Jct|cr cnp.ry (|O|),
crst.Jct|cr |.cocts V.r.onort c|
|..r (VA|SA), t|o |.r.cJJ .s
|.cJJct|cr cnp.ry (|), t|o A.y.
O|| .rJ .s |ovo|cpnort ccnp.ry
(A|+A) .rJ t|o |..r |rJJst.|.|
crsJ|t.rt |r|roo.|r cnp.ry (||).
|||O sJppc.ts |||toc|
Jovo|cpnort |.cn t|o o..||ost st.os
c| . p.coct, .|or |t |s st||| rc nc.o
t|.r .r |Jo., t|.cJ| tc t|o Jo||vo.y
c| p.cJJcts .rJ so.v|cos tc t|o
n..kot. |||O Jovo|cps .r
ort.op.oroJ.s||p Jovo|cpnort p|.r
.rJ |rrcv.t|cr Jovo|cpnort p|.r |c.
.|||||.toJ ccnp.r|os .|s||r tc sot Jp
p||ct p|.rts tc sc.|o Jp .oso..c|
p.cocts. |t .|sc .Jrs . Sn.|| bJs|ross
|ovo|cpnort ort.o.
As p..t c| |ts n|ss|cr |c. .tt..ct|r
|cc.| .rJ |c.o|r |rvostc.s tc |||
toc| |rJJst.|os, |||O p.op..os .
|o.s|b|||ty stJJy .rJ bJs|ross p|.r,
.rJ |Jort|||os pctort|.| |rvostc.s .rJ
toc|rc|cy p.cv|Jo.s |r c.Jo. tc
ost.b||s| p..tro.s||ps .rJ c|rt
vortJ.os. |||O .|sc sots Jp sn.|| .rJ
noJ|Jns|.oJ orto.p.|sos .|t| |cc.|
.rJ |c.o|r p..tro.s tc oxocJto
.pp.cvoJ p.cocts .rJ ccnno.c|.||.o
toc|rc|cy. |..tro.s |rvost |r
|rJJst.|.| p|.rts sot Jp t|.cJ|
toc|rc|cy t..rs|o..
|||O |.s |cJrJoJ spoc|.|pJ.pcso
ccnp.r|os |r o.c| |||toc| soctc. tc
ccc.J|r.to |rvostnort .rJ bJs|ross
Jovo|cpnort. |oso ort|t|os ..o t|o
|||o Sc|orco |ovo|cpnort cnp.ry
(|||O), |r|c.n.t|cr oc|rc|cy
|ovo|cpnort orto. (VA|A), |..r
|r|coc| |ovo|cpnort cnp.ry
(|||O), AJv.rcoJ V.to.|.|s |rJJst.|.|
|ovo|cpnort cnp.ry (AV||O) .rJ
t|o |n.J Son|ccrJJctc. cnp.ry.
|r 2009, |||O ..s p|.rr|r tc sot
Jp . vortJ.o c.p|t.| |JrJ tc ||r.rco t|o
|rrcv.t|cr cyc|o. |o |JrJ .||| |ccJs cr
t|o |rto.noJ|..y st.os c| p.cJJct .rJ
toc|rc|cyb.soJ bJs|ross
Jovo|cpnort. Oro c| |||Os sJbs|J|..|os,
t|o |rt.op.oroJ.s||p |ovo|cpnort
cnp.ry c| |..r, |.s Jcro . |ct c|
p.op...tc.y .c.k |c. t||s |JrJ.
by V..c| 2010, |t |s oxpoctoJ
t|.t |||O .||| |.vo c||o.oJ p.|v.to
|rvostc.s s|..os |r 150 |rJJst.|.|
ccnp.r|os. |||O |.s p.|v.t|.oJ
140 c| |ts ccnp.r|os |r t|o p.st |c.
. v.|Jo c| .bcJt 2000 b||||cr .|.|s
(.bcJt |S, 200 n||||cr). ||s st..toy
|c||c.s .r .norJnort tc A.t|c|o 44
c| t|o crst|tJt|cr |r 2004 .||c| sot
|r nct|cr . toryo.. p|.r tc p.|v.t|.o
80 c| |..rs st.toc.roJ .ssots
5outce: www.ldro.org , Press Tv (2009)
|..r
359
|
r
a
n
depends on macro-economlc condltlons, lntellectual
property reglmes, lnternatlonal co-operatlon and trade to
reduce the rlsks, partlcularly for small and medlum-slzed
enterprlses and the broader prlvate sector. To create
condltlons that wlll be conduclve to the development of
lnfrastructure, you need to lmprove supportlng networks
and provlders, and to develop P&D ln the prlvate sector.
wlthout these foundatlons, the prlvate sector remalns
weak, lncreaslng the need for government lnterventlon.
As the government ltself ls faced wlth budgetary
llmltatlons, thls creates a ma[or problem. Moreover,
centrallzed publlc pollcy breeds supply-orlented - as
opposed to demand-drlven - S&T pollcy, as stated earller.
8oth publlc and prlvate enterprlses are lnvolved ln
lnternatlonal co-operatlon ln llcenslng and technology
transfer ln varlous areas, such as |CTs and the oll lndustry.
Lxamples are the lnvolvement of the Mou[ enterprlse ln
polnt-to-polnt radlo and dlgltal swltch technology ln
collaboratlon wlth the Pepubllc of Korea and the sale of
the 5omonJ automoblle llcense belonglng to the |ranlan
Khodro company.
|ran ls developlng sclentlflc co-operatlon wlth the
Organlzatlon of |slamlc Countrles (O|C). |t also plays an
actlve role ln the |ndlan Ocean Plm Assoclatlon for
Peglonal Co-operatlon
4
and ln the Lconomlc Cooperatlon
Organlzatlon (LCO),
5
for whlch lt was the host country ln
2004, 2005 and 2006. |ran ls also spearheadlng an
agrlcultural blotechnology network to connect natlonal
blotechnology lnstltutes, researchers, sclentlsts,
englneers, and pollcy-makers from LCO member countrles
and promote the contlnual exchange of knowledge and
research results (see also 8ox 3).
||O||SS O\A||S A|
|||O|VA|O| SO||+
L-readlness refers to the state of play of a country's |CT
lnfrastructure. |n thls lndex, |ran ranked 69
th
ln 2007 and
65
th
a year earller (Lconomlst |ntelllgence Unlt, 2007).
Thls lndex has been developed by the Lconomlst Group.
'The ranklng model evaluates the technologlcal,
economlc, polltlcal and soclal assets of 69 countrles and
thelr cumulatlve lmpact on thelr respectlve lnformatlon
economles.' |ran's ranklng mlght lmprove lf sclentlflc and
educatlonal crlterla were factored lnto the model. The
lndex for hlgh-tech acqulsltlons by developlng countrles
ranges from 0.5l to 0.74. On thls scale, |ran ls lndexed at
0.26 among actlve acqulsltlon countrles llke |ndla, 8razll,
and Lgypt (MPO, 2003).
|n terms of access to technology, |ran has made rapld
progress. About 32% of the populatlon used |nternet ln
2007, for example, up from barely l% seven years earller
(Table 2).
4. The assoclatlon promotes llnkages between buslnesses ln member
states (see Annex | for a llst of countrles). Pro[ects and programmes are run
under the umbrella of three separate worklng groups: the worklng Group
on Trade and |nvestment, the |ndlan Ocean Plm 8uslness Porum, and the
|ndlan Ocean Plm Academlc Group. 5. See Annex | for the LCO and O|C member states.
Box 3: The |ranlan Plsherles Pesearch Organlzatlon
Oro c| t|o ccJrt.ys n.c. .oso..c|
cort.os |s t|o |..r|.r ||s|o.|os |oso..c|
O..r|..t|cr (|||O).
|||O po.|c.ns .pp||oJ .oso..c| tc
Joto.n|ro |c. bost tc p.ctoct .,J.t|c
c..r|sns .rJ t|o|. orv|.crnort.
|o .|n |s tc .op|or|s| ||s| stccks .rJ
oxp|c|t t|on sJst.|r.b|y |r |..r|.r
..to.s. ||s c.| |s nort|croJ |r
A.t|c|o 3 c| t|o ccrst|tJt|cr c| t|o
|..r|.r ||s|o.|os cnp.ry, .JcptoJ |r
1985. |t .|sc ||J.os |r t|o soccrJ |..
cvo.r|r t|o p.ctoct|cr .rJ
oxp|c|t.t|cr c| .,J.t|c .oscJ.cos,
.JcptoJ by |..||.nort cr
5 Soptonbo. 1995.
|||O pJ.sJos sc|ort|||c
cccpo..t|cr .|t| t|o |r|toJ |.t|crs
|ccJ .rJ A.|cJ|tJ..| O..r|..t|cr,
|||O||S|, t|o ScJt|o.st As|.r ||s|o.|os
|ovo|cpnort ort.o, ||S|bAS|, t|o
\c.|J crso.v.t|cr |r|crs |AA
rot.c.k c| .,J.cJ|tJ..| .oso..c|
cort.os .c.css 18 ccJrt.|os |r t|o
As|.|.c|||c .o|cr, t|o |rJ|.r Oco.r
Jr. cnn|ss|cr, \c.|J ||s| ort.o
(O|A|), t|o crvort|cr cr
|rto.r.t|cr.| ..Jo |r |rJ.ro.oJ
Spoc|os c| \||J |.Jr. .rJ ||c..,
.rJ ort |r|vo.s|ty |r bo||Jn.
|||O |s .|sc . nonbo. c| t|o |J.cpo.r
A,J.cJ|tJ.o scc|oty, V..|ro
oc|rc|cy Scc|oty, As|.r ||s|o.|os
Scc|oty, \c.|J A,J.cJ|tJ.o Scc|oty .rJ
\c.|J StJ.ocr crso.v.t|cr Scc|oty.
5outce: |PPO
|||SO S|||| |||O| 2010
360
||b|| A||||S O\A||S S||||
Among resldents of Tehran, as many as 85.8% of respondents
to A Not|onol 5utvey on 5oc|o-cultutol Att|tuJes ln the l990s
consldered sclence and knowledge to be 'a very lmportant
soclal value' (Mohsenl, l996). A further l3.7% consldered
them to be 'more or less lmportant' and [ust 0.6%, or
l5 respondents out of 2320, 'not lmportant at all'. These results
were mlrrored ln the rest of the country. |n the respondents'
ranklng of soclal values, sclence came after reputatlon, health
or honesty but before wealth, posltlon and fame.
Another natlonal survey ln 2005 studled cultural changes
wlthln |ranlan soclety. |t found that |ranlans equated
success ln llfe flrst wlth lndlvldual effort then wlth
educatlon, followed by posltlon then famlllal lnfluence
and, lastly, wealth. |n a slmllar survey ln l975, |ranlans had
placed educatlon ahead of lndlvldual effort, educatlon
belng stlll a scarce resource at the tlme (Goodarzl, 2008).
Thanks to lmprovements ln educatlon, equallty has
progressed ln |ran, maklng lndlvldual effort more
lmportant than before (Plgure l0).
|n sum, we can conclude that |ranlan soclety greatly
values sclence and that thls has been one of the maln
factors behlnd the development of both publlc and
prlvate hlgher educatlon ln |ran. |n splte of economlc
dlfflcultles, people spend a large share of thelr budget on
prlvate tertlary educatlon. Prlvately owned Azad
Unlverslty has even become one of the blggest
unlversltles ln the world thanks to lts paylng students.
O|||S|O|
we have seen ln these pages that the partlcularlty of an oll
economy ls that lt can lnvest ln S&T regardless of the soclal
and sclentlflc contexts. S&T pollcy should lnslst on the role
of the prlvate sector ln P&D. A move towards partlclpatory
plannlng wlth the co-operatlon of the prlvate sector could
offer a valld alternatlve to centrallzed, bureaucratlc
plannlng ln S&T pollcy. Thls would create an envlronment
conduclve to substltutlng the current sclence pull for an
orlentatlon towards technology push, thereby allowlng
soclo-economlc factors to play a role ln S&T pollcy.
b|b||O|A||+
8rltlsh Councll , |SMO and MoSPT (2005) ul onJ lton
Colloootot|on |n l|het lJucot|on onJ keseotch:
Ach|evements onJ Chollenes. 8rltlsh Councll,
|nternatlonal Sclentlflc Meetlngs Organlzatlon and
Mlnlstry of Sclence, Pesearch and Technology.
Councll of Cultural Pevolutlon (2008) lvoluot|on ol the
7echnolo|col 5|tuot|on ol lton. Secretarlat for the
Lvaluatlon of the Technologlcal Sltuatlon of |ran.
Dlvandarl, All (2008) Congress on the Pole of the |ranlan
8anklng System On Lconomlc Development, Paculty
of Management, Unlverslty of Tehran.
Lconomlst |ntelllgence Unlt (2007) 7he 2007 l-teoJ|ness
konl|ns: ko|s|n the 8ot. whlte Paper from the
Lconomlst Group. Avallable at: www.elu.com
Lxpedlency Councll of |ran (2003) CtonJ Pol|c|es lot
5c|ence onJ 7echnoloy lot the loutth 0eveloment
Plon. Tehran.
Goodarzl, Mohsen (2008) Not|onol 5utvey on Cultutol
Chone onJ 5oc|ol Att|tuJes ol lton|ons (2005.
Organlzatlon for |slamlc Propaganda, Tehran.
|ranlan Central 8ank (2009) Not|onol Account|n keott
(2001-2009, Tehran.
60
50
40
30
20
10
0
Education Social position
and inuence
Wealth Individual
eort
Other
1975
2005
P
e
r
c
e
n
t
a
g
e

r
a
t
i
n
g
5outce: Goodarzl (2008) Not|onol 5utvey on Cultutol Chone onJ 5oc|ol
Att|tuJes ol lton|ons 2005, p.2l4.
Figure 10: |ranlan attltudes toward towards success
ln llfe, l975 and 2005
|..r
36l
|
r
a
n
(2008) lvoluot|on ol 8uJet Petlotmonce ol
Covetnment. Peport. Tehran.
(2007o) lconom|c lvolut|on. Peport. Tehran.
(2007o) Not|onol Account|n keott, 2001-2007. Tehran.
|ranlan Centre for Statlstlcs (2004) kesults ol o Census ltom
lnJustt|ol lntett|ses w|th mote thon 50 lmloyees.
Peport of the Management and Plannlng
Organlzatlon.
Lall, S. (20l0) Skllls, competltlveness and pollcy ln
developlng countrles. Cteel lconom|c kev|ew, 20(l).
(2000) Technologlcal change and lndustrlallzatlon ln
the Aslan Newly |ndustrlallzed Lconomles ln: L. Klm
and P. P. Nelson (eds) 7echnolo|col leotn|n onJ
lconom|c 0eveloment: the lxet|ence ol the As|on Nlls,
Cambrldge Unlverslty Press, Cambrldge UK.
Moazaml, N. (2005) Contolllng malarla, the vamplre of the
technologlcal age. A wotlJ ol 5c|ence, vol. 3, no. 2,
Aprll-1une. UNLSCO Parls.
Mohsenl, Manouchehr (l996) Not|onol 5utvey on 5oc|o-
cultutol Att|tuJes. Mlnlstry of Culture and |slamlc
Guldance, Tehran.
MPO (2003) Von|tot|n lmlementot|on ol the 7h|tJ Plon
(oy 5ectot. Lconomlc report of the Management and
Plannlng Organlzatlon of the |slamlc Pepubllc of |ran.
MoSPT (2008) keott lot 5c|ent|l|c kooJ Vo. Tehran.
Mlnlstry of Sclence, Pesearch and Technology.
Press Tv (2009) ltons l0kO to t|vot|ze 150 mote l|tms,
6 1uly 2009. Avallable at: www.presstv.com
Shahmlrzall, Allreza (l999) 0|st|nct|on ol 7echnoloy ltom
5c|ence onJ |ts Pol|cy Outcomes. Congress on Sclence,
and Technology, Puture and Strategles. Lxpedlency
Councll, |ran.
Toflgh, Plroooz (2006) Plonn|n |n lton onJ lts Petsect|ve.
|nstltute for Hlgher Lducatlon and Pesearch on
Management and Plannlng, Tehran.
UNDP (2009) lumon 0eveloment keott 2009. Ovetcom|n
8ott|ets: lumon Voo|l|ty onJ 0eveloment. Unlted
Natlons Development Peport.
UNLSCO (20l0) keoch|n the Vo|nol|zeJ. lJucot|on lot All
Cloool Von|tot|n keott. UNLSCO Parls.
Avallable at www.unesco.org/en/efareport
\|bS||S
|ndlan Ocean Plm Network, lnformatlon focal polnt for the
|ndlan Ocean Plm Assoclatlon for Peglonal
Cooperatlon: www.lornet.com/
|ndustrlal Development and Penovatlon Organlzatlon of
|ran: www.ldro.org
|ranlan Plsherles Pesearch Organlzatlon: www.en.lfro.lr
|slamlc Pepubllc of |ran: www.dolat.lr,
www.lranculture.org/COMM|SS|ON/CSCM_MAP
Kioomars Ashtarian was born ln the |ranlan clty of
Kermanshah ln l963. He has been Asslstant Professor
at the Unlverslty of Tehran wlthln the Paculty of Law
and Polltlcal Sclence slnce l999.
He holds a PhD ln Polltlcal Sclence wlth a focus on
technology pollcy from the Unlverslty of Laval ln
Quebec, Canada. |n 2008, he was Pesearch Supervlsor
of the Plfth |ndustrlal Development Plan Pro[ect co-
ordlnated [olntly by the Unlverslty of Tehran and the
Unlverslty of |ndustrles and Mlnes attached to the
mlnlstry of the same name. |n 200l, he was appolnted
Dlrector-General of the Publlc Sector wlthln |ran's
Management and Plannlng Organlzatlon.
Kloomars Ashtarlan ls the author of more than
30 artlcles and other publlcatlons ln the flelds of
technology pollcy, lnnovatlon pollcy and publlc
pollcy-maklng. Hls maln flelds of research are
lndustrlal development strategles, technology
transfer pollcles and publlc pollcy ln |ran.
A||O\|||V||S
Thanks go to Mr Kayvan 1ameh 8ozorg from the
Unlverslty of Amlr Kablr for gatherlng some of the data
for the present chapter from the UNLSCO |nstltute for
Statlstlcs, lumon 0eveloment keott and offlclal
|ranlan sources. | would also llke to express my
appreclatlon to Susan Schneegans from UNLSCO for
her role ln edltlng thls chapter.
7he mo|n chollene loc|n the
countty w|ll oe to |mtove ooth the
quol|ty onJ quont|ty ol 587
etsonnel. lottunotely, ol|cy-
molets ote se|zeJ ol th|s toolem
onJ hove tolen enetet|c stes to
temeJy the s|tuot|on.
Sunll Manl
India_[11a] [P3]:Layout 1 18/10/10 19:41 Page 362
1
.
|ndla
SJr|| V.r|
363
|||O|||O|
The lmpresslve performance of |ndla's economy slnce
llberallzatlon of the economy got under way ln l99l - and
especlally slnce 2005 - has been much talked about. Along
wlth Chlna, |ndla has become one of the fastest-growlng econ -
omles ln the world, strong enough to wlthstand the brunt of
the global recesslon slnce 2008. |f growth ln GDP dlpped from
9.4% ln 2007 to 5.7% ln 2009, lt was expected to cllmb back to
8.8% ln 20l0 (|MP, 20l0). A number of studles have ldentlfled
technologlcal development as one of the drlvers of |ndla's
strong economlc growth. The country's sclence system has
undergone perceptlble changes over the past flve years or so:
I Although |ndla's P&D lntenslty lncreased only sllghtly
between 2003 and 2007, from 0.80% to 0.88% of GDP, the
share of the buslness enterprlse sector ln gross domestlc
expendlture on research and development (GLPD) leapt
from l8% to an estlmated 28%. As the government share
of GLPD remalned stable at 0.6l% of GDP over the same
perlod, the l0% rlse ln the GLPD/GDP ratlo can be
attrlbuted to the dynamlsm of the prlvate sector,
I The state contlnues to accord great lmportance to
publlc research and development (P&D) ln certaln
hlgh-tech areas, such as space, lnformatlon technology
(|T) and pharmaceutlcals, moreover, publlc P&D ltself
has become more commerclal and market-drlven,
I The state has come to recognlze the need to lmprove
both the quantlty and quallty of sclentlflc personnel by
lnauguratlng a host of new tertlary lnstltutlons
focuslng on sclence and englneerlng educatlon. Thls
lssue ls dlscussed further on page 366,
I There has been a tremendous lncrease ln the number
of forelgn P&D centres, whlch have grown from fewer
than l00 ln 2003 to about 750 by the end of 2009.
Most of these P&D centres relate to lnformatlon and
communlcatlon technologles (|CTs) and the
automotlve and pharmaceutlcal lndustrles,
I |ndlan companles have been lnvestlng abroad and
acqulrlng lmportant technology-based companles ln
medlum-tech and hlgh-tech sectors. Lxamples are Tata
Steel's takeover of the 8rltlsh lndustrlal glant Corus,
8harat Porge's takeover of forglng companles ln
Germany, the UK and the USA, and Suzlon's takeover of
wlnd turblne companles ln Germany.
These flve factors are slowly but steadlly remodelllng the
sclence and technology (S&T) landscape ln |ndla. |n the
pages that follow, we shall survey developments slnce
2005 to the extent that data avallablllty allows.
|| ||S| O| |||O\A|O| || ||||A
|n recent years, there has been much dlscusslon ln the
popular press about the rlse of lnnovatlon ln |ndla. Thls has
most llkely been preclpltated by the followlng factors:
I Indias rank in the Global Innovation Index
1
has
improved. Accordlng to L|U (2009), |ndla's rank ln
the Lconomlst Group's Global |nnovatlon |ndex for
82 countrles progressed from 58
th
place ln 2006 to 56
th
ln 2008, wlth a further progresslon predlcted to 54
th
place by 20l3. |ndla has emerged as the flfth-largest
economy ln the world ln purchaslng power parlty (PPP)
dollars (world 8ank, 2008). However, ln relatlve terms,
|ndla's economy ls [ust half the slze of Chlna's, whlch ls
growlng at a faster rate: 8.7% ln 2009 after progresslng
by l0% or more for slx years ln a row. |ndla's GDP
growth sllpped back to 7% ln 2007 and to less than 6%
ln 2009, after cllmblng from 5% ln 2002 to a steady 9%
ln 2005-2007 (|MP, 20l0).
I There are many instances of innovation in the services
sector, especially as concerns health care. Currently,
the servlces sector accounts for two-thlrds of GDP ln |ndla
(see oe 324). 8oth the servlces and manufacturlng
sectors have been performlng very well. Por a very long
tlme, |ndlan pollcy-makers avolded uslng the expllclt term
of 'lnnovatlon' ln pollcy documents deallng wlth
technologlcal actlvltles. The word 'lnnovatlon' appears ln a
pollcy document for the flrst tlme ln 2008, ln the draft
Natlonal |nnovatlon Act. Thls development reflects a
broad sentlment ln both pollcy and buslness clrcles that
the country ls becomlng more lnnovatlve - or at least
certaln lndustrles. |n the manufacturlng sector, the release
of Tata's Nano brand ln 2008 halled the advent of 'the
world's cheapest car', at US$ 2 200
2
. |n the health sector,
the MAC 400 machlne produced by General Llectrlc's
|
n
d
l
a
l. Thls lndex measures lnnovatlon performance ln 82 countrles, based on
the number of patents awarded to lnventors from dlfferent countrles by
patent offlces ln the USA, Luropean Unlon and 1apan. |t also takes lnto
account factors that help or hlnder the ablllty to lnnovate, such as the
GLPD/GDP ratlo and technlcal skllls of the country's labour force. The lndex
was created by the Lconomlst Group, publlsher of 7he lconom|st magazlne.
A boy holds a
phone to hls
mother's ear.
Photo: uNl5CO /
Ponloj Atoto
|||SO S|||| |||O| 2010
1ohn P. welch Technology Centre ln 8angalore records
a patlent's electrocardlogram, as lt ls portable, lt can be
used ln rural areas to dlagnose heart dlsease.
I The knowledge-intensity of Indias overall output
has expanded. Currently, about l4% of |ndla's net
domestlc product
3
ls composed of knowledge-
lntenslve productlon (Table l), much of lt from the
servlces sector. Also noteworthy ls that growth ln
knowledge-lntenslve productlon surpasses that of the
economy overall. Data show that the ma[orlty of new
companles belong to knowledge-lntenslve sectors and
that the number of knowledge-lntenslve enterprlses
has mushroomed over the past seven years or so. Thls
trend ls corroborated by the technology content of all
lndustrlal proposals lmplemented slnce the flrst
economlc reforms ln l99l. Once agaln, wlth the
exceptlon of the textlle lndustry and a few others, the
ma[orlty of new proposals emanate from technology-
orlented lndustrles ln areas such as chemlcals, energy,
electrlcal equlpment and so on.
I Foreign direct investment (FDI) from India has
grown from just US$ 2 million in 1993 to about
US$ 19 billion in 2009. Thls lncludes some hlgh-
proflle technology-based acqulsltlons abroad by |ndlan
companles. However, lnformatlon on the rate of
survlval of these ventures ls unavallable. The amount of
PD| flowlng from |ndla had always been lnslgnlflcant
untll the trlckle became a torrent from about 2005
onwards. Most of these lnvestments have gone to
technology-based ventures ln the manufacturlng
sector of developed economles. Accordlng to Nayyar
364
(2008), '|ndlan flrms could not have become
lnternatlonal wlthout the capaclty and the ablllty to
compete ln the world market. The attrlbutes of |ndlan
flrms, whlch created such capacltles and abllltles, are
embedded ln the past and have emerged over a much
longer perlod of tlme'. Accordlng to 7he lconom|st
(2009), the pursult of technology ls a powerful motlve
for forelgn acqulsltlons. 8efore Tata Steel's purchase of
Corus, Lurope's second-largest steel producer wlth
annual revenues of around l2 bllllon, the |ndlan
steelmaker dld not hold a slngle Amerlcan patent. The
takeover brought lt over 80 patents, as well as almost
l 000 research staff. Thus, the growlng number of
forelgn acqulsltlons of 'actlve targets', ln technologlcal
[argon, has glven |ndlan companles conslderable
access to the technologlcal capaclty of the acqulred
flrms wlthout thelr havlng to bulld thls up asslduously
from scratch. The same goes for mergers.
I India has become more competitive in high-tech
areas. Although manufactured exports are stlll
domlnated by low-tech products, the share of hlgh-tech
products has doubled ln the past 20 years (Plgure l).
|ndla has become the world's largest exporter of |T
servlces slnce 2005 and exports of aerospace products
2. The Nano car was deslgned at |taly's |nstltute of Development ln
Automotlve Lnglneerlng wlth component parts manufactured by an |ndlan
subsldlary of the Germany company 8osch. Approxlmately two-thlrds of the
technology for 8osch products used ln the Nano car ls sourced from |ndla.
The lnltlal productlon target ls for 250 000 unlts per year.
3. Net domestlc product ls equlvalent to gross domestlc product mlnus
depreclatlon.
Table 1: Share of knowledge-lntenslve productlon ln |ndla's GDP, 2005-2009
ln ks m|ll|ons, 2005 t|ces
GDP Knowledge- Knowledge- Knowledge- Knowledge-
intensive intensive intensive intensive
manufacturing services production production (%)
2005 29 675 990 l 207 670 l 334 650 2 542 320 8.57
2006 32 49l 300 l 454 220 l 65l 780 3 l06 000 9.56
2007 35 646 270 l 677 740 2 034 320 3 7l2 060 l0.4l
2008 38 934 570 l 822 770 2 483 2l0 4 305 980 ll.06
2009 4l 549 730 l 926 630 2 873 500 4 800 l30 ll.55
Note: Knowledge-lntenslve manufacturlng refers to chemlcal and metal pr oducts and machlner y, lncludlng electrlcal machlnery and means of transpor t.
Knowledge-lntenslve servlces refer to telecommunlcatlons and computer-related servlces plus P&D servlces. The data for 2006 exclude telecommunlcatlons,
as the Central Statlstlcs Organlzatlon dld not report thls lnformatlon for thls year.
5outce: |ndlan Central Statlstlcs Organlzatlon, 20l0
|rJ|.
365
have been lncreaslng at a rate of 74% per year, compared
to l5% for world exports of these products. |ndla ls
acknowledged to have conslderable technologlcal
capablllty ln the deslgn and manufacture of spacecraft
and ls now an acknowledged global leader ln remote
senslng (8ox l). Accordlng to Putron's 2009 ranklng of ten
entltles ln lts Space Competltlveness |ndex
4
, |ndla ranks
better than the Pepubllc of Korea, |srael or 8razll.
However, ln |ndla, the bulk of lnnovatlon ln thls area
comes entlrely from the government rather than from
lndustry. 8y evoklng the securlty angle, the government
seems to have thwarted all attempts to create a sectoral
system of lnnovatlon ln the aerospace lndustry. Thls has
prevented the country from emerglng as a serlous player
ln the clvlllan aerospace sector, desplte possesslng all the
requlslte lngredlents. However, thls sltuatlon ls now set to
change. Aerospace exports from |ndla have lncreased
manlfold ln recent years, even lf these tend to be
conflned to alrcraft parts or components. wlth
approxlmately 300 small and medlum-slzed enterprlses
actlve ln thls area
5
, |ndla ls slowly emerglng as one of the
few developlng countrles to have a hlgh-tech lndustry of
the callbre of lts aerospace lndustry.
|
n
d
l
a
0
5
10
15
20
%
1
9
8
8
1
9
8
9
1
9
9
0
1
9
9
1
1
9
9
2
1
9
9
3
1
9
9
4
1
9
9
5
1
9
9
6
1
9
9
7
1
9
9
8
1
9
9
9
2
0
0
0
2
0
0
1
2
0
0
2
2
0
0
3
2
0
0
4
2
0
0
5
2
0
0
6
2
0
0
7
2
0
0
8
7
.
3
2
1
0
.
1
2
9
.
1
7
9
.
1
6
6
.
8
6
7
.
2
1
7
.
5
0
8
.
9
5
1
0
.
1
6
1
0
.
2
3
9
.
1
5
9
.
2
8
9
.
5
9
1
2
.
3
4
1
2
.
1
7
1
2
.
0
4
1
1
.
9
0
1
1
.
1
2 1
3
.
4
1
1
4
.
5
4
1
6
.
9
4
5outce: Unlted Natlons Comtrade database, applylng the UN|DO (2009) deflnltlon of hlgh-tech exports
Figure 1: Hlgh-tech content of |ndla's manufactured exports, l988-2008 (%)
A ||O|||O|S |O||+ ||\||O|V||
|ndla has a long hlstory of pollcles related to technology
development, although no dlstlnctlon was made lnltlally
between sclence and technology. The earllest attempt to
support technlcal change ln lndustry was the adoptlon of a
Sclentlflc Pollcy Pesolutlon by Parllament ln l958. Thls
pollcy lald the groundwork for tralnlng S&T personnel on a
sufflclent scale to satlsfy the needs of the varlous economlc
sectors. Thls move was followed by a Technology Pollcy
Statement ln l983, the maln alm of whlch was to develop
endogenous technology and ensure efflclent absorptlon
and adaptatlon of lmported technology correspondlng to
natlonal prlorltles and avallable resources.
|n 1anuary 2003, the Prlme Mlnlster formally announced a
new Sclence and Technology Pollcy, the maln ob[ectlve of
whlch was to ralse |ndla's overall research lntenslty from
0.80% of GDP ln 2003 to 2.0% of GDP by the end of the
7enth l|ve-eot Plon ln 2007. Although thls target has not
been reached - the GDP/GLPD ratlo stood at 0.88% ln 2007
- thls pollcy contalned four refreshlngly new features:
I for the flrst tlme, a clear recognltlon of the extremely
low denslty of sclentlsts and englneers, even though a
populous country llke |ndla counts a large number,
I an expllclt statement on the need to manage braln
draln,
I an emphasls on lncreaslng the number of patents at
home and abroad,
4. Putron Corporatlon ln the USA offers a comparatlve assessment of ten
leadlng players ln space: 8razll, Canada, Chlna, Lurope, |ndla, |srael, 1apan,
Korea (Pep.), Pussla and the USA. The lndex assesses more than 50 lndlvldual
metrlcs across three underlylng dlmenslons of competltlveness: government,
human capltal and lndustry.
5. The Soclety of |ndlan Aerospace Technologles and |ndustrles had over
300 members ln 2009. Pormed ln l99l and based ln 8angalore, lt brlngs
together P&D, manufacturlng and support servlces ln aerospace. Members
are drawn from both publlc- and prlvate-sector lndustrles and lnstltutlons
deallng ln one way or another wlth the aerospace lndustry.
|||SO S|||| |||O| 2010
I an expllclt mentlon of monltorlng lmplementatlon of
the pollcy, for lnstance statlng that, 'effectlve,
expedltlous, transparent and sclence-based monltorlng
and revlewlng mechanlsms wlll be slgnlflcantly
strengthened and, lf not avallable, wlll be put ln place.
|t wlll be ensured that the sclentlflc communlty ls
lnvolved ln, and responslble for, the smooth and speedy
lmplementatlon'. Thls sald, statlstlcal lndlcators for
measurlng pollcy outcomes are stlll very rudlmentary ln
|ndla and what ls meant by 'sclence-based monltorlng'
remalns unclear. Another dlfflculty relates to the fact
that the ll strategles outllned ln the pollcy document
are extremely general. Much work needs to be done to
glve them a more concrete form. Only then wlll lt be
posslble to evaluate whether or not the 2003 pollcy ls a
real lmprovement over lts predecessor ln l983.
|ndla's lleventh l|ve-yeot Plon (2007-20l2) contalns
provlslons for a masslve rlse ln the publlc outlay for S&T
of 220% over the prevlous plan. |t flxes elght prlmary
ob[ectlves whlch conflrm the growlng emphasls on
lnnovatlon:
I a natlonal mechanlsm ls to be set up to develop pollcles
and provlde orlentatlons for baslc research,
I the pool of S&T personnel ls to be enlarged and
lnfrastructure relnforced (see oelow lot Jeto|ls),
ln parallel, efforts are to be made to attract and retaln
young people to careers ln sclence,
I ten natlonal flagshlp programmes are to be launched ln
areas ranglng from the rural water supply, sanltatlon and
health to telephony and educatlon, wlth a dlrect bearlng
on |ndla's technologlcal competltlveness,
I globally competltlve research facllltles and centres of
excellence are to be establlshed (see oelow),
I an lnnovatlve splrlt ls to be klndled among sclentlsts to
encourage them to translate P&D leads lnto
technologles that can be scaled up,
I new models of publlc-prlvate partnershlp are to be
developed ln hlgher educatlon, partlcularly as concerns
unlverslty research and research ln hlgh-tech areas,
I ways and means are to be ldentlfled of catalyslng
lndustry-unlverslty collaboratlon,
366
I llnkages wlth advanced countrles are to be encouraged,
lncludlng vla partlclpatlon ln lnternatlonal megasclence
lnltlatlves llke the Large Hadron Colllder at the
Luropean Organlzatlon for Nuclear Pesearch (CLPN), the
|nternatlonal Thermonuclear Lxperlmental Peactor
pro[ect (|TLP) |see oe l58| or the rlce genome
sequenclng pro[ect. The latter ls based at the |ndlan
Agrlcultural Pesearch |nstltute and lnvolves
collaboratlon wlth 8razll, 1apan, the Pepubllc of Korea
and the USA, among others.
A key element of the pollcy are the llnkages the
government ls seeklng to establlsh between
lnnovatlon and development. Thls ls exempllfled ln
the lmplementatlon of the natlonal flagshlp programmes
for lmprovlng the quallty of prlmary educatlon through
schemes llke Sarva Slkhya Abhayan
6
and ln the lntentlon
to develop the prlvate sector's role ln establlshlng
research-based unlversltles. The plan also stresses the
oft-repeated maxlm of lmprovlng unlverslty-lndustry tles.
As we near the end of the perlod covered by the plan,
to what extent has the pollcy llved up to lts promlse!
One ma[or outcome of the S&T chapter wlthln the
lleventh l|ve-eot Plon has been the lnltlatlon of a system-
wlde consultatlon of stakeholders on a draft Natlonal
|nnovatlon Act by the Department of Sclence and
Technology wlthln the Mlnlstry of Sclence and
Technology. The maln ob[ectlve of thls Act ls to facllltate
publlc or prlvate lnltlatlves and publlc-prlvate
partnershlps to bulld an lnnovatlon support system,
develop a natlonal lntegrated sclence and technology
plan, and codlfy and consolldate the law of confldentlallty
to protect confldentlal lnformatlon, trade secrets and
lnnovatlon. The proposed Act focuses on lncreaslng
lnvestment ln P&D and enactlng data confldentlallty
clauses to make |ndla a preferred destlnatlon for research-
orlented companles ln sectors llke |T, pharmaceutlcals and
englneerlng. However, the draft Act ls yet to come before
Parllament and, as such, remalns of purely academlc value
for the moment.
|mprovlng the quallty and quantlty of human resources ln
sclence and englneerlng ls another area of great
lmportance to the government. |n hlgher educatlon, the
6. Thls scheme strlves to glve all chlldren elght years of prlmary schoollng
and brldge the gender gap ln elementary educatlon by 20l0, vla
communlty ownershlp of the school system.
|rJ|.
367
government ls seeklng to ralse the gross enrollment ratlo
from ll% ln 2007 to about l5% by 20l2 and 2l% by 20l7.
To achleve the target of 2l mllllon students by 20l2,
compared to l4.8 mllllon ln 2007, enrollment ln
unlversltles and colleges wlll need to grow by an annual
rate of 8.9%. Thls does not seem unattalnable, as tertlary
enrollment grew by l5% between 2006 and 2007.
One-quarter of the student body ls now enrolled ln S&T
flelds, accordlng to the UNLSCO |nstltute for Statlstlcs.
To thls end, the government has opted to establlsh
30 new central unlversltles whlch wlll be owned and
managed by the central government: l6 new unlversltles
for those l6 states whlch dld not have a central unlverslty
|
n
d
l
a
Box 1: A space odyssey
|rJ|. |.s |.J . vo.y Jyr.n|c sp.co
p.c..nno s|rco 1969 .|or t|o
|rJ|.r Sp.co |oso..c| O..r|..t|cr
(|S|O) ..s |cJrJoJ .|t|
|o.J,J..to.s |r b.r.|c.o .rJ
|.c|||t|os sp.o.J t|.cJ|cJt t|o
ccJrt.y. |o s|.o .rJ |npc.t.rco c|
|rJ|.s sp.co p.c..nno c.r bo
.JoJ |.cn t|o |.ct t|.t |t |s soccrJ
cr|y tc t|o |SA |r to.ns c| t|o pJb||c
bJJot ccnn|ttoJ tc sp.co .oso..c|.
.pp.cx|n.to|y 0.10 c| ||. Sp.co
.oso..c| .|cro .cccJrts |c. .bcJt
12 c| ||| |r |rJ|..
|o ||stc.y c| t|o sp.co
p.c..nno s|rco 1969 |.||s |rtc t.c
p|.sos. |J.|r t|o ||.st p|.so
(1901980), |S|O JsoJ oxpo.|nort.|
s.to|||to p.c..nnos ||ko A.y.b|.tt.,
b|.sk..., |c||r| .rJ App|o |c.
oxpo.|nort.| |o..r|r. |J.|r t|o
soccrJ p|.so |r t|o pcst1980
po.|cJ, |S|O |rt.cJJcoJ orJcorcJs
s.to|||to .rJ |.Jrc| vo||c|o Jos|r
p.c..nnos.
|S|Os .ct|v|t|os ccvo. |cJ. ..o.s
c| sp.co .oso..c|.
I |..t| cbso.v.t|crs .rJ .oncto
sors|r,
I s.to|||to ccnnJr|c.t|crs .rJ
r.v|.t|cr,
I sp.co sc|orco .rJ orv|.crnort.
sp.coc..|ts |.rJ...y.r 1 .rJ 2
.o.o t|o ||.st tc ccr||.n t|o
p.osorco c| ..to. .t t|o pc|os cr
t|o Vccr |r Soptonbo. 2009,
I |.Jrc| vo||c|os.
tc Jos|r .rJ n.rJ|.ctJ.o bct| |c|..
S.to|||to |.Jrc| vo||c|os .rJ
ocst.t|cr..y S.to|||to |.Jrc| \o||c|os
(S|\), .|t|cJ| |t |.s . botto. .occ.J
|c. t|o |c.no.. |ocort|y, |t |.s n.r.oJ
tc Jos|r ||||y ccnp|ox c.ycor|c
or|ros |c. |ts S|\, .|t|cJ| t|o
toc|rc|cy |.s yot tc bo po.|octoJ.
.c .spocts c| |rJ|.s sp.co
p.c..nno ..o .c.t| rct|r. ||.st|y,
|S|O |.s |rst|tJt|cr.||.oJ .r oxco||ort
p.ccoJJ.o |c. |o..r|r |.cn p.st
|.||J.os |r toc|rc|cy Jovo|cpnort.
SoccrJ|y, |t |.s n.r.oJ tc Jso t||s
||| toc|rc|cy |c. t|o boro||t c| t|o
c|v|||.r, t|.cJ| t|o ost.b||s|nort c|
\|||.o |oscJ.co ort.os. ||s ccrcopt
|rto..tos t|o c.p.b|||t|os c|
ccnnJr|c.t|crs .rJ |..t| cbso.v.t|cr
s.to|||tos tc p.cv|Jo |r|c.n.t|cr
on.r.t|r |.cn sp.co systons .rJ
ct|o. | tcc|s, |r c.Jo. tc .JJ.oss t|o
c|.r|r .rJ c.|t|c.| rooJs c| .J..|
ccnnJr|t|os. Oro ox.np|o |s t|o
|||SA p.c..nno, |.Jrc|oJ by t|o
S|\ |r Soptonbo. 2004. |||SA |s
|rJ|.s ||.st s.to|||to JovctoJ oxc|Js|vo|y
tc oJJc.t|cr.| so.v|cos, p.cv|J|r cro
..y to|ov|s|cr b.c.Jc.sts, |rto..ct|vo
to|ov|s|cr .rJ v|Joc .rJ ccnpJto.
ccr|o.orc|r, .ncr ct|o. so.v|cos.
|ot.c.ks |.vo boor sot Jp |r .t |o.st
24 st.tos .rJ p.c..nnos .o.c| nc.o
t|.r 35 000 c|.ss.ccns, |rc|JJ|r
sc|cc|s |c. t|o b||rJ v|. . spoc|.||.oJ
rot.c.k.
5outce: Manl (20l0c)
O| t|oso |cJ. ..o.s, |rJ|. oxco|s |r
.oncto sors|r, .|o.o |t |s ccrs|Jo.oJ
. .c.|J |o.Jo., .rJ |r t|o Jos|r .rJ
n.rJ|.ctJ.o c| s.to|||tos .rJ |.Jrc|
vo||c|os.
Oro |npc.t.rt |rrcv.t|cr |r t|o
..o. c| .oncto sors|r |.s boor t|o
Jovo|cpnort .rJ |.Jrc| c| t|o bot.
vo.s|cr c| |ts .obb.soJ t|.oo
J|nors|cr.| s.to|||to |n.o.y tcc|,
b|Jv.r, |r AJJst 2009. b|Jv.r .|||
c||o. |n.o.y c| |rJ|.r |cc.t|crs
sJpo.|c. tc t|.t p.cv|JoJ by ct|o.
\|.tJ.| |cbo sc|t...o ||ko cc|o
|..t| .rJ \|k| V.p|., .|t| sp.t|.|
.osc|Jt|crs ..r|r |.cn 10 n tc
100 n. |c. t|o ncnort, b|Jv.r |s
.v.||.b|o cr|y |c. t|o cbso.v.t|cr c|
|rJ|.r |cc.t|crs, .|t|cJ| |t |s
c.p.b|o c| c||o.|r |n.os c| t|o
ort|.o p|.rot. |t |s c|.|noJ tc pcssoss
. rJnbo. c| c|...cto.|st|cs .||c|
|vo |t .r oJo cvo. |ts |nnoJ|.to
ccnpot|tc., cc|o |..t|. ||s s.|J,
|vor t|o |..o rJnbo. c| toc|r|c.|
||tc|os |.cn .||c| t|o sc|t...o
sJ||o.s, |ts .ctJ.| J|||Js|cr ..to |.s
boor ||n|toJ. |ovo.t|o|oss, b|Jv.r
b.|rs . ro. ..c tc |S|Os bc. by
ccnb|r|r bct| .st.cr.Jt|c .rJ
sc|t...o c.p.b|||t|os.
bot.oor |ts |rcopt|cr |r 195 .rJ
2009, |rJ|.'s s.to|||to |.Jrc|
p.c..nno sort 55 s.to|||tos |rtc c.b|t,
.bcJt |.|| c| t|on |c. |..t|
cbso.v.t|cr .rJ t|o .on.|rJo. |c.
ccnnJr|c.t|cr. |S|O |.s .|sc
Jovo|cpoJ t|o toc|rc|c|c.| c.p.b|||ty
|||SO S|||| |||O| 2010
368
Box 2: The lncredlble feat of |ndlan pharma
|o p|..n.coJt|c.| |rJJst.y |s cro c|
|rJ|.s |c.oncst sc|orcob.soJ
|rJJst.|os, .|t| .|Jo..r|r
c.p.b|||t|os |r t|o ccnp|ox ||o|J c|
J.J n.rJ|.ctJ.o .rJ toc|rc|cy.
|o ccJrt.y p.cJJcos p|..n.coJt|c.|
|c.nJ|.t|crs t|o p.ccoss c|
ccnb|r|r J|||o.ort c|on|c.|
sJbst.rcos tc p.cJJco . J.J .rJ
cvo. 400 .ct|vo c|on|c.|s |c. Jso |r
J.J n.rJ|.ctJ.o, krc.r .s Act|vo
||..n.coJt|c.| |r.oJ|orts (A||s).
|rJJst.y tJ.rcvo. |.s .c.r |.cn
. ncJost |S, 300 n||||cr |r 1980 tc
.bcJt |S, 19 b||||cr |r 2008. |rJ|.
rc. ..rks t||.J .c.|J.|Jo .|to. t|o
|SA .rJ '.p.r |r to.ns c| t|o vc|Jno
c| p.cJJct|cr, .|t| . 10 s|..o c| t|o
.c.|J n..kot. |r to.ns c| t|o v.|Jo c|
p.cJJct|cr, |t ..rks 14
t|
|c. . 1.5
|cb.| s|..o.
A k.|o|Jcsccpo c| |c.o|r .rJ
|rJ|.r ||.ns c| v..y|r s|.os cccJpy
t|o n.rJ|.ctJ.|r |.rJsc.po. |r .||,
t|o.o ..o .bcJt 5 000 ||.ns or.oJ
|r n.rJ|.ctJ.|r p|..n.coJt|c.|s |r
|rJ|., .||c| onp|cy J|.oct|y .bcJt
340 000 |rJ|v|JJ.|s.
VJc| c| |rJJst.|.| .c.t| |s
|Jo||oJ by oxpc.ts. bot.oor 2003 .rJ
2008, oxpc.ts .o. by .r .vo..o
..to c| 22. |rJ|. cJ..ort|y oxpc.ts
J.J |rto.noJ|.tos, bJ|k J.Js, A||s,
||r|s|oJ Jcs.o |c.nJ|.t|crs,
b|cp|..n.coJt|c.|s .rJ c||r|c.| so.v|cos.
|o tcp ||vo Jost|r.t|crs |r 2008 .o.o,
|r JoscorJ|r c.Jo., t|o |SA, o.n.ry,
|Jss|., t|o |r|toJ ||rJcn .rJ ||r..
|o |rJJst.y |.s |cJ. koy
c|...cto.|st|cs.
I |t |s Jcn|r.toJ by |c.nJ|.t|crs,
I |t |s vo.y .ct|vo |r t|o |cb.|
n..kot |c. oro.|cs, sJpp|y|r
ovor Jovo|cpoJ ccJrt.|os,
or|roo.|r. As . sc|orcob.soJ
|rJJst.y, p|..n.coJt|c.|s ..o
pJ.pc.toJ tc |.vo boro||toJ |.cn
t||s .pp..ort b|.s.
Oro sp|rc|| c| |rJ|.s |rrcv.t|vo
c.p.b|||ty |r p|..n.coJt|c.|s |s t|.t |t
|.s boccno . pcpJ|.. Jost|r.t|cr |c.
c||r|c.| t.|.|s, ccrt..ct n.rJ|.ctJ.|r
.rJ || cJtscJ.c|r. |oso
c.p.b|||t|os |c|J .o.t p.cn|so |c. t|o
|rJ|.r p|..n.coJt|c.| |rJJst.y, .s .r
ost|n.toJ |S, 103 b||||cr c| oro.|c
p.cJJcts ..o .t .|sk c| |cs|r p.torts
by 2012. |J.t|o.nc.o, t|o |cb.|
n..kot |c. ccrt..ct n.rJ|.ctJ.|r c|
p.osc.|pt|cr J.Js |s ost|n.toJ tc
.c. |.cn |S, 26 b||||cr tc |S, 44
b||||cr by 2015 c. sc. Accc.J|r tc
oxpo.ts, t|o ccJrt.y |.s ccJ tc
||| sk|||s |r p.oc||r|c.| t.|.|s .rJ
||.so | c||r|c.| t.|.|s .rJ vo.y |||
sk|||s |r ||.so || .rJ ||.so ||| c||r|c.|
t.|.|s.
A vo.y .ocort t.orJ cbso.voJ |r
|rJ|.s p|..n.coJt|c.| |rJJst.y |s t|o
..vo c| c.cssbc.Jo. no.o.s .rJ
.c,J|s|t|crs |r .||c| |rJ|.r
ccnp.r|os |.vo t.kor cvo. |c.o|r
cros .rJ |c.o|r ||.ns |.vo |r tJ.r
t.kor cvo. |rJ|.r ccnp.r|os. |o
p|..n.coJt|c.| |rJJst.y |.s boccno
cro c| |rJ|.s ncst |cb.||.oJ
|rJJst.|os. Oro c| t|o ncst |||
p.c|||o t.kocvo.s ccrco.rs |.rb.xy,
|rJ|.s |..ost p|..n.coJt|c.|
ccnp.ry .rJ t|o ccJrt.ys b|ost
p.cJJco. c| oro.|c J.Js. |r 2008,
t|o '.p.roso p|..n.coJt|c.| |.rt
|.||c|| S.rkyc .c,J|.oJ . n.c.|ty
st.ko (35) |r |.rb.xy, .t . ccst c| Jp
tc |S, 4.6 b||||cr.
5outce: Manl (20l0c)
I |t or.b|os |rJ|. tc bo so||
sJ|||c|ort |r ncst J.Js, .s
.|trossoJ by . .c.|r pcs|t|vo
t..Jo b.|.rco,
I |t |s cro c| t|o ncst |rrcv.t|vo
|rJJst.|os |r |rJ|., |r to.ns c|
|| .rJ t|o rJnbo. c| p.torts
..rtoJ, bct| |r |rJ|. .rJ
.b.c.J.
||s |cJ.t| c|...cto.|st|c n.y
vo.y .o|| bo t|o ncst |npc.t.rt |c.
|rJ|., .cccJrt|r |c. cro cJt c| ovo.y
|cJ. .bb.ov|.toJ ro. J.J
.pp||c.t|crs (oro.|c p.cJJct
.pp.cv.|s) |r 200 .rJ 2008. |o
|rJ|.r p|..n.coJt|c.| |rJJst.y .|sc
.cccJrts |c. .pp.cx|n.to|y 25 c|
t|o J.J n.sto. |||os .|t| t|o |S
|ccJ .rJ |.J AJn|r|st..t|cr
(|S||A). |rJ|. |.s t|o |||ost
rJnbo. c| |S||A.pp.cvoJ p|.rts c|
.ry |c.o|r ccJrt.y.
\|.t oxp|.|rs t|o Jyr.n|c
.c.t| c| |rJ|.r p|..n.coJt|c.|s |r
t|o p.st |o. Joc.Jos` Accc.J|r tc
cro |ypct|os|s, t|o 190 |rJ|.r
|.torts Act .||c.oJ |rJ|.r
p|..n.coJt|c.| ccnp.r|os tc ccno
Jp .|t| vo.y ccsto||oct|vo p.ccossos
|c. |n|t.t|r krc.r p.cJJcts, by rct
.occr|.|r p.cJJct p.torts |c.
p|..n.coJt|c.| p.cJJcts. |.vcJ..b|o
tc |rto||octJ.| p.cpo.ty .||ts, t||s
pc||cy t|Js .||c.JoJ t|o |rJJst.y .
|cr |o..r|r po.|cJ t|.cJ| .
p.ccoss c| .ovo.soor|roo.|r
ossort|.||y. A soccrJ |ypct|os|s |s
t|.t t|o p|..n.coJt|c.| |rJJst.y
boro||toJ |.cn t|o .v.||.b|||ty c|
||||y t..|roJ po.scrro| .|t| . sc||J
sc|ort|||c b.ck.cJrJ. |r |.ct, |c.
n.ry yo..s, t|o |rJ|.r |||o.
oJJc.t|cr syston ..s b|.soJ |r
|.vcJ. c| sc|orco tc t|o Jot.|nort c|
|rJ|.
369
before and l4 world-class unlversltles. The Mlnlstry of
Human Pesource Development plans to set up these
l4 'lnnovatlon unlversltles' across the country from 20l0
onwards to bulld 'dlsclpllnary focl' and drlve P&D. Lach
'lnnovatlon unlverslty' ls expected to focus on one area
or problem of slgnlflcance to |ndla, such as urbanlzatlon,
envlronmental sustalnablllty and publlc health. Two
prlvate companles have announced plans to bulld
world-class unlversltles of thelr own, Pellance and Anll
Agarwal. The latter has even donated US$ l bllllon to get
the vedanta Unlverslty pro[ect off the drawlng board.
|n parallel, the government ls ln the process of doubllng
the number of |ndlan |nstltutes of Technology to l6 and
establlshlng l0 new Natlonal |nstltutes of Technology,
three |ndlan |nstltutes of Sclence Lducatlon and Pesearch,
and 20 |ndlan |nstltutes of |nformatlon Technology to
lmprove englneerlng educatlon. These new unlversltles
and lnstltutes are at varlous stages of creatlon. |n 2006,
the mlnlstry founded the |ndlan |nstltute for Sclence
Lducatlon and Pesearch and the Natlonal |nstltute of
Sclence Lducatlon and Pesearch. The |ndlan |nstltute of
Space and Technology followed a year later.
|n addltlon, ln 20l0, the government was ln the process of
adoptlng a pollcy permlttlng forelgn unlversltles to enter
the hlgher educatlon system ln |ndla by establlshlng thelr
own campuses or [olnt ventures wlth exlstlng unlversltles
and lnstltutes.
All of these changes augur well for the further development
of sclence and englneerlng educatlon ln |ndla.
The impact of the Indian Patent Act
One lmportant pollcy change ln recent years has been
the adoptlon of the |ndlan Patent Act, whlch took effect
on l 1anuary 2005. Thls ordlnance sought to brlng the
country lnto compllance wlth the Agreement on
Trade-Pelated Aspects of |ntellectual Property Plghts
(TP|PS) of the world Trade Organlzatlon. The most
dlstlngulshlng feature of thls pollcy change ls the
recognltlon of both product and process patents, as
opposed to solely process patents ln the earller Act of
l970. |n brlnglng |ndla lnto compllance wlth TP|PS, the
lntentlon was to restrlct lnnovatlon ln the pharmaceutlcal
lndustry ln partlcular, where the lack of product patents
had allowed flrms to reverse-englneer known products at
llttle cost. Thls 35-year learnlng perlod seems to have
glven the pharmaceutlcal flrms the tlme they needed to
|
n
d
l
a
acqulre the skllls that are cruclal to lnventlng new
chemlcal entltles (8ox 2).
After the adoptlon of the |ndlan Patent Act, lt was
expected that P&D spendlng by the pharmaceutlcal
lndustry would slump. Thls reasonlng was based on the
bellef that much of |ndlan P&D ln pharmaceutlcals
conslsted of reverse-englneerlng. 8y requlrlng recognltlon
of both product and process patents, lt was thought that
the amended act would effectlvely reduce the space for
thls type of P&D. However, lt turns out that prlvate
pharmaceutlcal companles ln |ndla have actually been
reglsterlng an lncrease ln P&D lnvestment slnce 2000 of
almost 35% per year (Plgure 2).
|n fact, some of the provlslons ln the |ndlan Patent Act
have protected |ndlan pharma, even lf the ordlnance
lmposes a 20-year protectlon perlod for product patents.
5outce: Author's compllatlon based on Prowess Dataset
0
5
10
0.12
16.30
(2008)
15
20
1
9
9
2
1
9
9
9
1
9
9
8
2
0
0
1
2
0
0
4
2
0
0
7
2
0
1
0
Figure 2: Average P&D expendlture per flrm ln |ndla's
pharmaceutlcal lndustry, l992-2008
ln ks Ctotes
|||SO S|||| |||O| 2010
Por example, there ls a provlslon for grantlng compulsory
llcenses for the export of medlclnes to countrles that have
lnsufflclent or no marketlng capaclty, to meet emergent
publlc health sltuatlons, ln accordance wlth the 0oho
0eclotot|on on 7klP5 onJ Puol|c leolth. Thls allows |ndlan
companles to produce and export A|DS drugs to Afrlcan
and Southeast Aslan countrles. Another safeguard has
been the lntroductlon of a provlslon maklng patent rlghts
for mallbox appllcatlons avallable only from the date of
grantlng the patent rather than retrospectlvely from the
date of publlcatlon. Thls provlslon has saved many |ndlan
companles from belng attacked for lnfrlngement of
patent law by multlnatlonal companles that mlght
otherwlse have obtalned patents for drugs already put on
the market by |ndlan companles (UNLSCO, 2005).
As for the lmpact of the |ndlan Patent Act on lnnovatlon ln
the agrlculture, blotechnology and |T sectors thls stlll
requlres ln-depth analysls.
|| ||||
Complex trends in R&D expenditure
8oth the nomlnal and real growth rates of GLPD have
decllned ln |ndla slnce llberallzatlon of the economy
began ln l99l. The country's overall research lntenslty
has remalned vlrtually constant at about 0.78% (Table 2).
|n Chlna, on the other hand, the GLPD/GDP ratlo has
more than doubled to l.54% (see oe 389).
Care must be exerclsed ln lnterpretlng these flgures to
mean that overall lnvestment ln P&D has decllned, owlng
to the pecullarltles of |ndlan research. Lven now, the
government accounts for over two-thlrds of P&D
performed ln the country, although thls share has
decllned over tlme. Thls trend has been accompanled by
an lncrease ln P&D lnvestment by buslness enterprlses,
whlch now account for about 28% of GLPD, compared to
[ust l4% ln l99l. |n Chlna, buslness enterprlses have
come to perform as much as 7l%, wlth government
research lnstltutes accountlng for only l9%. The growlng
share of P&D performed by the prlvate sector ls generally
consldered to be a deslrable trend, as enterprlses tend to
transform the results of thelr research lnto products and
processes more rapldly than the government sector.
As concerns the breakdown of GLPD by type of research,
the share devoted to baslc research has lncreased qulte
substantlally slnce 2003 (Plgure 3).
370
Government expendlture on P&D ln |ndla tends to focus
on nuclear energy, defence, space, health and agrlculture
(Plgure 4). |n the lleventh l|ve-eot Plon, the publlc-sector
outlay on S&T lncreased by a whopplng 220% ln nomlnal
terms compared to actual expendlture on S&T ln the 7enth
Plon. The blggest beneflclary has been the Department of
Atomlc Lnergy, the budget of whlch nearly trlpled from
Ps 3 50l to Ps ll 000 Crores. Part of thls amount wlll go
towards fundlng |ndla's partlclpatlon ln the |TLP pro[ect,
whlch |ndla [olned ln 2005. The Councll of Sclentlflc and
|ndustrlal Pesearch has also en[oyed a masslve lncrease
(from Ps 2 575 to Ps 9 000 Crores), as has the Department
of 8lotechnology (from Ps l 450 to Ps 6 389 Crores). The
rlse ln the publlc-sector plan outlay for renewable energy
may have been less dramatlc (from Ps 7 l67 to Ps l0 460
Crores) but nevertheless represents a growth rate of
about 46%.
The splllover of government research to clvlllan use ls
very llmlted ln the |ndlan context, although consclous
efforts have been made by the government recently to
orlent research more towards soclo-economlc goals. Thls
ls slowly beglnnlng to produce results, especlally ln the
area of space research wlth the development of
envlronmental monltorlng, satelllte communlcatlons
and so on.
One lnterestlng result hlghllghted by the above analysls
ls that the hlgher educatlon sector constltutes only a
fractlon of P&D performed ln |ndla, desplte the fact that
thls sector encompasses the prestlglous |ndlan |nstltute
of Sclence datlng back to l909, the elght |ndlan
|nstltutes of Technology and over 300 unlversltles. |n
other words, the hlgher educatlon sector ln |ndla ls not a
source of technology for lndustry. Thls may come as a
surprlse, as the |ndlan |nstltutes of Technology do
collaborate wlth prlvate lndustry. Unfortunately,
however, cases of actual technology generatlon are few
and far between, as much of P&D relates to baslc
research. Moreover, the lnstltutes tend to be extremely
teachlng-lntenslve lnstltutlons. |t ls estlmated that the
entlre hlgher educatlon sector ln |ndla contrlbutes no
more than 5% of GLPD. |t does act as an lmportant
reservolr of skllled personnel, however, for the other
actors ln |ndla's natlonal lnnovatlon system.
Thus, the only sector performlng more P&D than before ls
lndustry and the prlvate sector ln partlcular. Currently,
prlvate companles spend approxlmately four tlmes more
|rJ|.
37l
|
n
d
l
a
Figure 4: Government outlay for the ma[or sclence
agencles ln |ndla, 2006 (%)
Figure 3: Dlstrlbutlon of GLPD ln |ndla by type of
research, 2003 and 2006 (%)
5outce: Department of Sclence and Technology (2009) k80 5tot|st|cs 5outce: Department of Sclence and Technology (2009) k80 5tot|st|cs
17.8
41.7
26.0
36.3
31.8
5.9
6.5
34.0
Basic
research
Applied
research
Experimental
development
Other
2003
2006
Defence Research and Development Organization
Department of Space
Department of Atomic Energy
Indian Council of Agricultural Research
Council of Scientic and Industrial Research
Department of Science and Technology
Indian Council of Medical Research
Department of Biotechnology
Ministry of Overseas Development
Ministry of Environment and Forests
Ministry of Communication and Information Technology
Ministry of New and Renewable Energy
34.4
17.4 11.4
11.4
9.3
7.7
2.2
2.0
0.1
1.0
1.5
1.5
Table 2: Trends ln GLPD ln |ndla, l992-2008
GERD Nominal GERD Real GERD/
(current growth (constant 2 000 growth GDP
Rs millions) rates (%) Rs millions) rates (%) ratio
l992 45 l28 l4 83 476 -0.l6 0.76
l993 50 046 ll 85 038 l.87 0.73
l994 60 730 2l 93 824 l0.33 0.77
l995 66 224 9 93 l97 -0.67 0.72
l996 74 839 l3 96 5l0 3.55 0.69
l997 89 l36 l9 l06 647 l0.50 0.7l
l998 l06 ll3 l9 ll9 08l ll.66 0.76
l999 l24 732 l8 l29 542 8.78 0.77
2000 l43 976 l5 l43 976 ll.l4 0.8l
200l l6l 988 l3 l56 879 8.96 0.84
2002 l70 382 5 l60 2l9 2.l3 0.8l
2003 l80 002 6 l63 037 l.76 0.80
2004 l97 270 l0 l72 756 5.96 0.78
2005 2l6 396 l0 l79 600 3.96 0.75
2006 287 767 33 229 538 27.80 0.88
2007 329 4l6 l4 248 954 8.46 0.87
2008 377 779 l5 274 l28 l0.ll 0.88
Note: The GLPD/GDP ratlo here dlffers from that ln the Statlstlcal Annex because the DST data are for the flscal year from l Aprll to 3l March, whereas UNLSCO
has allocated these to the prevlous year. The source of the GDP data used by UNLSCO to calculate the GLPD/GDP ratlo ls the world 8ank's world Development
|ndlcators, whereas the DST uses natlonal data.
5outce: Department of Sclence and Technology (2009) k80 5tot|st|cs
|||SO S|||| |||O| 2010
372
5outce: Department of Sclence and Technology (2009) k80 5tot|st|cs
0
500
1 000
1 500
2 000
2 500
3 000
2
0
0
0
2
0
0
1
2
0
0
2
2
0
0
3
2
0
0
4
2
0
0
5
2
0
0
6
Drugs & pharmaceuticals
Transportation
Electricals & electronic equipment
Information technology
Chemicals (other than fertilizers)
Biotechnology
Metallurgical industries
Misc. mechanical engineering industries
Soaps, cosmetics, toiletries
Telecommunications
478.98
431.37
186.34
110.36
273.64
83.89
54.97
56.45
36.46
30.51
2 826.86
1 047.20
375.40
306.63
300.87
277.74
142.87
137.31
137.22
98.67
Figure 5: Dlstrlbutlon of GLPD ln |ndla by lndustrlal sector, 2000-2006
ln ks m|ll|ons ot cuttent t|ces
|rJ|.
373
than publlc enterprlses on P&D and nearly three tlmes
more when compared to government research lnstltutes.
|n other words, prlvate enterprlses ln |ndla are movlng
towards the core of |ndla's lnnovatlon system.
The veraclty of thls trend ls sometlmes questloned on
the grounds that buslness enterprlses reportlng P&D
expendlture to the Department of Sclence and
Technology may be tempted to exaggerate thelr P&D
expendlture to galn tax lncentlves avallable ln |ndla to
any buslness enterprlse lnvestlng ln P&D. These tax
lncentlves are llnked to the volume of P&D performed -
hence the temptatlon to overstate lt. However, thls
susplclon would appear to be unfounded lf one
compares P&D lnvestment as reported by the
Department of Sclence and Technology wlth the
dataset avallable from the Centre for Monltorlng the
|ndlan Lconomy's Prowess for the perlod l99l-2003.
Thls comparlson shows that, although the level
reported by the Department of Sclence and Technology
ls hlgher over most of the years under conslderatlon
than ln the early l990s, the dlfference has tended to
decrease over tlme. Moreover, both serles have followed
a slmllar curve. The argument that the lncrease ln P&D
expendlture by prlvate companles ls a mere statlstlcal
artlflce would thus appear to be false.
Pour lndustrles account for the llon's share of
lnvestment ln P&D, wlth the pharmaceutlcal and
automotlve lndustrles topplng the llst (Plgure 5). |n fact,
lt ls sometlmes clalmed that |ndla's natlonal system of
lnnovatlon ls led by the pharmaceutlcal lndustry. |t can
therefore be safely concluded that, although GLPD may
not have rlsen, the pharmaceutlcal lndustry has been at
the helm of an lmpresslve rlse ln P&D expendlture by the
prlvate sector. 8ased on thls one lndlcator, the more
correct statement would be that there ls lnsufflclent
evldence to show that the entlre lndustrlal sector ln
|ndla has become more lnnovatlve slnce l99l but
sufflclent evldence to poslt that |ndla's pharmaceutlcal
lndustry hos become more lnnovatlve. we shall confront
thls statement later wlth trends ln the number of patent
appllcatlons and grants ln |ndla (see oe 375).
Scientists and engineers in short supply
|t ls generally held that |ndla has a coplous supply of
sclentlsts and englneers, yet the actual denslty of
personnel engaged ln P&D and lnnovatlon ls falrly
modest, at [ust l37 per mllllon populatlon (see oe 328).
|
n
d
l
a
The recent growth of knowledge-lntenslve lndustrles
ls promptlng many commentators to profess that
|ndla ls becomlng a knowledge economy. |ndla's
'coplous supply' of technlcally tralned personnel ls
consldered one of the key drlvers of thls growth.
However, of late, lndustry has been complalnlng of
serlous shortages ln technlcally tralned personnel.
Por lnstance, a study by the Pederatlon of |ndlan
Chambers of Commerce and |ndustry (P|CC|, 2007)
has revealed that rapld lndustrlal expanslon ln a
globally lntegrated |ndlan economy has stlmulated a
huge demand for skllled personnel. However, the lack
of quallty hlgher educatlon has become a hlndrance
to satlsfylng thls demand. 8ased on a study
conducted ln 25 lndustrlal sectors, the survey also
revealed that there ls currentlya 25% shortage of
skllled personnel ln the englneerlng sector. Plgure 6
compares the present supply and denslty of sclentlsts
and englneers ln |ndla wlth the sltuatlon ln Chlna.
Two lssues have an lmpact on the potentlal supply of
sclentlsts and englneers for domestlc buslnesses ln
partlcular. The flrst ls the long-standlng lssue of the
mlgratlon of hlghly skllled personnel from |ndla to
the west prlmarlly, wlth every lndlcatlon that thls
braln draln has lncreased recently (Manl, 2009).
Accordlng to some estlmates, the emlgratlon by
hlghly skllled |ndlans as a share of those ln tertlary
educatlon has lncreased from 2.6% ln the l990s to
about 4.2% ln the early 2000s. The second lssue
concerns the growlng amount of PD| flowlng lnto
P&D. Porelgn P&D centres are able to offer domestlc
researchers and P&D personnel better lncentlves,
both pecunlary and otherwlse, than domestlc
buslnesses. As a result, |ndla's small stock of sclentlsts
and englneers may be lured to the forelgn P&D
centres, causlng a 'crowdlng out' of sorts to take
place. Lan and Llang (2006) have already observed
thls phenomenon ln Chlna. |n addltlon to the supply
questlon, doubts have been expressed as to the
quallty of educatlon ln sclence and englneerlng ln
|ndla, although quallty ls often a dlfflcult parameter
to measure ob[ectlvely.
The central government ln partlcular has reacted by
puttlng ln place a number of measures whlch
comblne quantlty and quallty, not only ln hlgher
educatlon but also ln technlcal educatlon. Por detalls
of these ambltlous schemes, see page 366.
374
Figure 7: Total scientific publications in India, 2002
and 2008
Brazil and China are given for comparison
Source: Thomson Reuters Science Citation Index Expanded, compiled
for UNESCO by the Canadian Observatoire des sciences des techniques
0
20
40
60
80
100
120
India
18 911
36 261
12 573
26 482
2002
2008
38 206
104 968
Brazil China
Total (millions)
Density (per 10 000 labour force)
India China
70.34
1.36
1.18
India
933.49
9.06
3.48
China
914.98
17.69
15. 35
40.20
0.39
0.15
Total human
resources in S&T
R&D personnel
Researchers
Figure 6: Stock of scientists and engineers engaged in R&D in India, 2005
China is given for comparison
Note: The definition of human resources in S&T is broad and covers people actually or potentially employed in occupations requiring at least a first
university degree in S&T, which includes all fields of science, technology and engineering. The term R&D personnel, as defined by the OECD Frascati
Manual (2002), covers all persons employed directly on R&D, which includes those providing direct services such as R&D managers, administrators and
clerical staff. The Frascati Manual defines researchers as professionals engaged in the conception or creation of new knowledge, products, processes,
methods and systems and in the management of the projects concerned.
Source: Computed from OECD (2008) Reviews of Innovation Policy: China; Department of Science and Technology (2009) R&D Statistics; NCAER (2005)
India Science Report, Science Education, Human Resources and Public Attitudes towards Science and Technology
R&D OUTPUT
A sharp rise in scientific publications
According to Thomson Reuters data, Indias publication
record shows a steep rise, especially since 2003 (Table 3 and
Figure 7). If this growth rate is maintained, Indias publication
record will be on par with most G8 nations within 78 years.
India could even overtake them between 2015 and 2020.
Indias publications are evenly distributed between the
physical and life sciences. The most recent data confirm
earlier findings that Indias strength truly lies in the basic
sciences such as chemistry, physics, pharmacology and
toxicology (Figure 8).
The USA continues to be Indias top research partner but the
level of international collaboration defined as a fraction of
GDP is much lower for India than for other emerging
India [1] [Ed2]:Layout 1 10/12/10 12:36 Page 374
India
375
economies like Brazil. However, the period since 2004 has
seen greater collaboration with Asian countries, notably
Japan and the Republic of Korea. One important finding is
the relatively sparse collaboration with European partners
and especially the UK. This shortcoming is now being
explicitly addressed by the European Union (EU) and British
government through a host of new partnerships. The UK
India research partnership and recent initiatives under the
EUs Seventh Framework Programme for Research and
Technological Development (20072013) are two
illustrations of research partnerships between India and the
developed world in a host of S&T areas ranging from health
to space and nanotechnology.
Foreign companies dominate patents
India has improved its patenting record in the USA,
with an acceleration over the past decade. Most Indian
patents are utility patents, defined as being those for new
inventions (Figure 9). However, most of these patents are in
chemistry-related areas and the great majority are being
granted to foreign companies located in India, based on
R&D projects they have carried out in India, in a growing
trend (Mani, 2010a).
Similarly, the number of national patents granted by the
India Patent Office has increased tremendously but over
three-quarters are still being granted to foreign entities.
Once again, most of these patents concern chemistry and
pharmaceutical-related areas. Thus, although the TRIPS
compliance of the Indian Patents Act appears to have had a
positive effect on patenting by Indian inventors, most of the
I
n
d
i
a
Table 3: Indias scientific publication record, 19992008
19992003 20042008
Count Word share Count Word share
(%) (%)
Chemistry 21 206 4.42 33 504 5.71
Agricultural sciences 4 303 5.91 5 634 5.65
Materials science 6 960 4.08 11 126 4.81
Pharmacology & toxicology 2 034 2.80 3 866 4.25
Plant & animal science 8 132 3.58 10 190 3.77
Physics 11 700 3.00 17 295 3.7
Engineering 8 101 2.69 14 103 3.57
Geosciences 2 839 2.64 4 266 3.13
Space science 1 322 2.44 1 665 2.79
Microbiology 1 078 1.62 2 273 2.79
Total for the top 10 elds 67 675 103 922
Source: Thomson Reuters (2009) Global Research Report: India
Source: Thomson Reuters Science Citation Index Expanded, compiled for
UNESCO by the Canadian Observatoire des sciences et des technologies
2
0
0
2
2
0
0
8
CHINA
2
0
0
2
2
0
0
8
BRAZIL
0 20 40 60 80 100
INDIA
2
0
0
2
8 10 24 18 6 16 15
2
0
0
8
9 11 20 21 6 17 14
13 13 13 26 6 10 18
21 13 9 33 4 9 9
5 7 25 10 6 23 5 20
6 8.5 22 13 6 22 5 19
Biology
Earth and space Engineering & technology
Mathematics Physics
Biomedical research
Chemistry Clinical medicine
Figure 8: Focus of Indian publications by major
field of science, 2002 and 2008 (%)
Brazil and China are given for comparison
|||SO S|||| |||O| 2010
376
personnel. Portunately, pollcy-makers are selzed of thls
problem and have taken energetlc steps to remedy the
sltuatlon. The future success of |ndla's ST| system wlll
depend on how well they succeed.
||||||||S
Department of Sclence and Technology (2009) k80
5tot|st|cs. Government of |ndla, New Delhl.
7he lconom|st (2009) Health care ln |ndla: Lessons from a
frugal lnnovator. 7he lconom|st, l6 Aprll. Avallable at:
www.economlst.com/buslnessflnance/dlsplayStory.cfm
!story_ldl3496367
L|U (2009) A New konl|n ol the wotlJs most lnnovot|ve
Countt|es. Lconomlst |ntelllgence Unlt. Avallable at:
www.elu.com/sponsor/clsco/lnnovatlonlndex09C
P|CC| (2007) 5utvey ol lmet|n 5l|ll 5hottoes |n lnJ|on
|nJustty. Pederatlon of the |ndlan Chamber of
Commerce and |ndustry. Avallable at: www.flccl-
hen.com/Sklll_Shortage_Survey_Plnal_l_.pdf
Putron Corporatlon (2009) luttons 2009 5oce
Comet|t|veness lnJex. A Comotot|ve Anolys|s ol how
Not|ons lnvest |n onJ 8enel|t ltom the 5oce lnJustty.
Avallable at:
www.futron.com/resource_center/store/Space_
Competltlveness_|ndex/PSC|-2008.htm
|MP (20l0) wotlJ lconom|c Outlool. |nternatlonal Monetary
Pund. Avallable at:
www.lmf.org/external/pubs/ft/weo/20l0/0l
/pdf/text.pdf
Lan, Xue and Zheng, Llang (2006) Multlnatlonal P&D ln
Chlna: Myth and Pealltles (unpubllshed). School of
Publlc Pollcy and Management, Tslnghua Unlverslty,
8el[lng.
Manl, S. (20l0o) Are lnnovatlons on the rlse ln |ndla slnce
the onset of the reforms of l99l! Analysls of lts
evldence and some dlsquletlng features. lntetnot|onol
1outnol ol 7echnoloy onJ Cloool|zot|on, vol. 5, Nos. l
and 2, pp 5-42.
(20l0o) love Ch|no onJ lnJ|o oecome mote |nnovot|ve
s|nce the onset ol telotms |n the two countt|es/ worklng
Paper Serles 430. Centre for Development Studles,
Trlvandrum, |ndla.
Figure 9: Trends ln the number of patents granted
to |ndlan lnventors ln the USA, l99l-2008
5outce: Manl (20l0o) love Ch|no onJ lnJ|o oecome mote |nnovot|ve
s|nce the onset ol telotms |n the two countt|es/
0
100
200
300
400
500
600
700
800
Total India
Utility India
Design India
1991 1997 2003 2009
671
634
37
23
22
1
patents granted to |ndlan lnventors both ln |ndla and
abroad are golng to forelgn companles.
O|||S|O|
we have seen that economlc growth has taken off ln |ndla,
especlally ln the past flve years. Thls performance has
been very lopslded, however, tendlng to favour certaln
reglons and lncome groups over others. |n order to make
economlc growth more lncluslve, the government has
been placlng greater emphasls on S&T, as wltnessed by
the masslve lncrease ln the budget allocatlon to S&T
durlng the Lleventh Plve-year Plan (2007-20l2). |t ls also
maklng an effort to orlent lnnovatlon ln the government
sector more towards soclo-economlc goals.
The country has certalnly made great strldes ln
space research, llfe sclences and especlally ln
blopharmaceutlcals and lnformatlon technology.
Although domestlc sclence contlnues to domlnate, there
ls also a growlng presence of forelgn entltles ln |ndla's
technology system. The maln challenge faclng the country
wlll be to lmprove both the quallty and quantlty of S&T
India
377
(2010c) The Flight from Defence to Civilian Space:
Evolution of the Sectoral System of Innovation. Working
Paper Series. Centre for Development Studies, 428,
Trivandrum, India.
(2009) High-skilled Migration from India. An Analysis
of its Economic Implications. Working Paper Series 416.
Centre for Development Studies, Trivandrum, India.
Ministry of Science and Technology (2007) China Science
and Technology Statistics Data Book. Beijing. Available
at: www.most.gov.cn/eng/statistics/2007/200801
/P020080109573867344872.pdf
Nayyar, D. (2008) Internationalization of firms from India:
investment, mergers and acquisitions. Oxford
Development Studies, Vol. 20, No. 1, pp. 111-131.
NCAER (2005) India Science Report, Science Education,
Human Resources and Public Attitudes towards Science
and Technology. National Council of Applied
Economic Research, New Delhi.
OECD (2008) Reviews of Innovation Policy: China.
Organisation for Economic Co-operation and
Development, Paris.
Thomson Reuters (2009) Global Research Report: India.
Available at: http://science.thomsonreuters.com/m
/pdfs/grr-India-oct09_ag0908174.pdf
UNESCO (2005) UNESCO Science Report 2005. UNESCO
Publishing Paris. Available at:
www.unesco.org/science
/psd/publications/science_report2005.shtml
UNIDO (2009) Industrial Development Report 2009.
UNIDO Vienna.
WEBSITES
Department of Science and Technology:
www.dst.gov.in /stsysindia/st_sys_india.htm
Department of Scientific and Industrial Research:
www.dsir.gov.in/
Eleventh Five-Year Plan (20072012):
www.dst.gov.in/about_us/11th-plan/rep-rd.pdf
National Science and Technology Management System
(R&D Statistics): www.nstmis-dst.org/rndstst07-08.htm
I
n
d
i
a
Sunil Mani is Professor and Planning Commission
Chair at the Centre for Development Studies in
Trivandrum in the Indian State of Kerala. He is also a
visiting faculty at the Indian Institute of Management
Calcutta and an Honorary Fellow of the National
Institute of Science, Technology and Development
Studies in New Delhi.
Born in 1959, he obtained his PhD in Economics from
Jawaharlal Nehru University in New Delhi before
completing postdoctoral research at the University of
Oxford in the UK.
Prior to joining the Centre for Development Studies,
he worked as Research Fellow at the United Nations
Universitys Institute for New Technologies, today
known as UNU-MERIT, in Maastricht, in the
Netherlands, where he was also Head of Graduate
Studies.
Dr Manis research interests include innovation
indicators, innovation policy instruments and the
telecommunications industry. He has published
extensively in these areas and in 2010 was invited to
edit a special issue of the International Journal of
Technology and Globalization on the theme of the Rise
of Innovation in India (Vol. 5, Nos 1 and 2, 2010).
7he |nnovot|on t|sl ol entett|ses
neeJs to oe shoteJ v|o |ncent|ve
ol|c|es onJ the Jeveloment ol uol|c
|nltosttuctute to suott |nnovot|on.
Mu Pongplng
China [12] [P3]:Layout 1 18/10/10 19:48 Page 378
18
.
China
Mu Rongping
379
INTRODUCTION
China has made great strides in system reform and
economic development over the past decade. The
worlds fastest-growing large economy, it will overtake
Japan by the end of 2010 to become the worlds
second-biggest economy in terms of GDP
1
.
The country has emerged more or less unscathed from
the global economic recession triggered by the sub-
prime crisis in the USA in 2008. After an initial slump in
employment caused by falling demand for exports to
Europe and the USA, Chinas economy bounced back in
2009, growing by 8.7% (IMF, 2010). The key driver of this
growth is government-led investment. For example, the
government has implemented a plan for injecting an
additional 4 trillion Yuan (circa US$ 590 billion) into the
economy over a two-year period. According to this plan,
the central government is investing 1.18 trillion Yuan to
leverage local governments and private firms to spend
more than 2.82 trillion Yuan. Another government plan
aims to restructure and invigorate ten key industries:
automobile, iron and steel, textiles, equipment
manufacturing, shipbuilding, petrochemicals, light
industry, electronic information, non-ferrous metal and
logistics. The central governments investment rose from
420.5 billion Yuan in the previous years budget to
924.3 billion Yuan (circa US$ 62.8 billion) in 2009. Of this,
16% was earmarked for innovation, restructuring,
energy-saving, reducing greenhouse gas emissions and
environmental protection. This not only effectively
compensated for the shortfall created by shrinking
external demand but also strengthened weak links and
laid a solid foundation for long-term socio-economic
development (Wen Jiabao, 2010).
The government has given environmental protection
high priority in the Tenth (20012005) and Eleventh
Five-Year Plans (20062010). It has imposed the
mandatory objective of reducing energy consumption
per unit of GDP by 20% and emissions of major
pollutants by 10% by the end of the Eleventh Five-Year
Plan in 2010, in order to reverse the trend of ecological
and environmental deterioration over the past two
decades. In April 2010, Chinese Premier Wen Jiabao
announced plans to adopt a binding target for cutting
carbon dioxide emissions (Box 1). Local government
leaders and entrepreneurs are expected to assume a
greater role than before in achieving these targets and
will be evaluated for their performance in saving
energy and reaching emission-reduction targets.
Over the past decade, China has not only multiplied gross
domestic expenditure on R&D (GERD) by a factor of six
but also improved its capacity for generating intellectual
property rights (IPRs) via scientific papers and patents.
Today, only the USA publishes more scientific articles (see
page 10). The Eleventh Five-Year Plan for capacity-building
in innovation foresees the rapid development of
infrastructure to implement the knowledge innovation
programme and the programme for science and
technology (S&T) platforms: 12 megafacilities are to be
established by 2010, as well as about 30 national science
centres and national laboratories
2
and 300 national key
laboratories.
In 2005, the government issued the Outline of the
Medium- and Long-Term Plan for National Science and
Technology Development (20062020), which proposed
that China become an innovation-driven country by
2020 (State Council, 2006). The government then issued
a series of supportive policies to encourage
endogenous innovation, as well as 76 detailed policy
documents for implementing these supportive policies
by the end of 2008. This series of policies has had a
great impact on innovation in China and especially on
the innovative capacity of enterprises. It shall thus be
discussed in detail in the following section.
Chinas goal of becoming an innovation-driven country
by 2020 is a highly ambitious one. Today, the R&D
intensity of high-tech industry remains much lower in
China than in developed countries. China faces
daunting challenges in narrowing this innovation gap,
not least of which will be to find the right balance
between economic development and capacity-building
in science, technology and innovation (STI).
C
h
i
n
a
1. China ranks third in terms of annual output measured in US dollars but,
in terms of purchasing power parity (PPP), it has been the worlds second-
largest economy for years.
2. National laboratories are designed to conduct complex research and
innovation, whereas national key laboratories usually focus on research in
a specific discipline. Some national laboratories consist of several national
key laboratories.
Shanghai
Synchrotron
Radiation Facility
Photo:
Shanghai
Institute of
Applied Physics
China [1] [Ed2]:Layout 1 25/11/10 14:31 Page 379
|||SO S|||| |||O| 2010
A ||A| |O| VA||| |||A
|||O\A|O||||\|| b+ 2020
Priority areas for R&D to 2020
Lxperts have played an lmportant role ln the elaboratlon of
the Outl|ne ol the VeJ|um- onJ lon-7etm Plon lot Not|onol
5c|ence onJ 7echnoloy 0eveloment (2006-2020, the
elghth ln Chlna's hlstory. Once the 20 strateglc lssues had
been selected ln 2003 by the State Councll and an expert
consultatlon group composed of 20 sclentlsts, more than
2 000 experts were lnvlted to conduct studles on these
toplcs. A broader consultatlon was also undertaken vla
e-mall, workshops and other means to enable people from
all walks of llfe to contrlbute ldeas. The Outl|ne groups all
technologles lnto flve hlgh-prlorlty clusters:
I technologles ln the flelds of energy, water resources
and envlronmental protectlon,
I lnformatlon technology (|T), advanced materlals and
manufacturlng,
I blotechnologles and thelr appllcatlons ln the flelds of
agrlculture, lndustry and human health,
I space and marlne technology,
I baslc sclences and frontler technology.
The Outl|ne launches l6 megapro[ects ln S&T. These
pro[ects have been selected accordlng to flve baslc
prlnclples. l|tstly, each pro[ect should correspond to
soclo-economlc needs, ln order to cultlvate strateglc
lndustrles. 5econJly, each pro[ect should focus on key
common technologles that wlll have a profound lmpact
on lndustrlal competltlveness. 7h|tJly, each pro[ect should
380
be capable of absorblng the maln bottlenecks of soclo-
economlc development. loutthly, each should protect and
enhance natlonal securlty. lost out not leost, each should
be affordable for the Chlnese government. |n 2008, the
government lnvested 3.6 bllllon uan ln 8 of the
l6 speclal megapro[ects for clvll S&T, correspondlng to
about l67 smaller pro[ects. Thlrteen of the l6 mega
pro[ects are llsted ln the Outl|ne:
I core electronlc devlces, hlgh-end generlc chlps and
baslc software,
I extra large-scale lntegrated clrcult manufacturlng
technology and assoclated technology,
I next-generatlon broadband wlreless moblle
communlcatlon,
I advanced computerlzed numerlcal control machlnery
and baslc manufacturlng technology,
I large-scale oll and gas flelds and coal-bed methane
development,
I advanced large-scale pressurlzed water reactors and
nuclear power plants wlth hlgh-temperature, gas-
cooled reactors,
I water pollutlon control and governance,
I cultlvatlon of new varletles of genetlcally modlfled
organlsms,
I development of ma[or new drugs,
I preventlon and treatment of A|DS, vlral hepatltls and
other ma[or lnfectlous dlseases,
I large alrcraft,
I hlgh-resolutlon Larth observatlon systems,
I human space fllght and the Moon exploratlon
programme.
Box 1: Acceleratlng development and use of renewable energles
At t|o ||.st noot|r c| t|o |.t|cr.|
|ro.y cnn|ss|cr |r bo||r cr
22 Ap.|| 2010, ||roso |.on|o. \or
'|.b.c c.||oJ |c. .o.to. o||c.ts tc
or|.rco t|o ccJrt.ys |rrcv.t|vo
c.p.c|ty |r oro.y toc|rc|cy tc ccpo
.|t| .|s|r Jcnost|c |Jo| Jon.rJ .rJ
sovo.o oro.y s|c.t.os. \o nJst
.cco|o..to t|o Jovo|cpnort .rJ Jso
c| .oro..b|o oro.|os tc orsJ.o t|o
ccJrt.ys oro.y socJ.|ty .rJ botto.
ccpo .|t| c||n.to c|.ro, |o s.|J.
|o cvo.rnort sot Jp t|o
|.t|cr.| |ro.y cnn|ss|cr |r
'.rJ..y 2010 tc |np.cvo ccc.J|r.t|cr
c| oro.y pc||cy .|o ccnn|ss|cr |s
.ospcrs|b|o |c. J..|t|r t|o r.t|cr.|
oro.y Jovo|cpnort p|.r, |c.
.ov|o.|r oro.y socJ.|ty .rJ n.c.
oro.y |ssJos .rJ |c. ccc.J|r.t|r
Jcnost|c oro.y Jovo|cpnort .rJ
|rto.r.t|cr.| cccpo..t|cr.
5outce: Xlnhua News Agency, 22 Aprll 20l0
\or .ort cr tc s.y t|.t ||r.
cJ|t tc t.ko no.sJ.os tc orsJ.o
t|.t rcr|css|| |Jo|s .cccJrtoJ |c.
15 c| ||r.s oro.y ccrsJnpt|cr
by 2020. |o .|sc st.toJ t|.t t|o
ccJrt.y .cJ|J n.ko |t . b|rJ|r
t..ot tc cJt c..bcr J|cx|Jo
on|ss|crs po. Jr|t c| || by 4045
by 2020 |.cn 2005 |ovo|s. |o t..ot
.||| bo |rcc.pc..toJ |rtc t|o
ccJrt.ys |crto.n occrcn|c .rJ
scc|.| Jovo|cpnort p|.r, |o s.|J.
||r.
38l
|n recent years, there have been a number of breakthroughs
ln prlorlty areas for P&D. |n 2003, Chlna became the thlrd
country after Pussla and the USA to send astronauts lnto
space, for example, and there are plans to land a rover on the
Moon by 20l2. |n lnformatlon technology, a team at the
Unlverslty of Sclence and Technology of Chlna bullt the
world's flrst photonlc telephone network ln Aprll 2009 (8ox 2),
slx months before Chlna's fastest supercomputer was released
ln Changsha (8ox 3). Also of note ls the completlon of the
Shanghal Synchrotron Padlatlon Paclllty ln Aprll 2009, the
blggest sclentlflc platform ln Chlna so far (8ox 4).
Policies for building an innovation-driven nation
Slnce the adoptlon of the Outl|ne ol the VeJ|um- onJ lon-
7etm Plon lot Not|onol 5c|ence onJ 7echnoloy 0eveloment,
the government has lssued a serles of lnnovatlon pollcles
wlth a vlew to establlshlng an enterprlse-centred natlonal
lnnovatlon system and maklng Chlna an lnnovatlon-drlven
natlon by 2020. Capaclty-bulldlng for lnnovatlon has
become the core of the country's natlonal strategles,
marklng an lmportant shlft ln pollcy. Thls shlft ln focus ls
reflected ln the elght prlmary thrusts of the lnnovatlon
pollcles descrlbed overleaf.
Box 3: Chlna's supercomputers
||r.s |.stost sJpo.ccnpJto.,
|.r|o1 (|1), ..s .o|o.soJ |r
|.rs|. cr 29 Octcbo. 2009. \|t| .
t|oc.ot|c.| po.k po.|c.n.rco c|
1.206 |ot.||cp po. soccrJ, |1
n.kos ||r. cr|y t|o soccrJ ccJrt.y
.|to. t|o |SA tc Jovo|cp .
sJpo.ccnpJto. cr sJc| . sc.|o. |r
2009, |1 ..rkoJ |||t| .c.|J.|Jo cr
t|o cp500 c..r|..t|crs ||st c|
sJpo.ccnpJto.s. by 2010, |t |.J
c||nboJ tc soccrJ p|.co, .ccc.J|r
òcr p.ccossc.s .rJ ||s |.cn
AJv.rcoJ V|c.c |ov|cos |rc. |t |.s
.|Jo .pp||c.t|crs |r t|o ||o|Js c|
.oscJ.co oxp|c..t|cr, b|c|c|c.|
noJ|c|ro Jovo|cpnort, .|.c..|t .rJ
sp.co c..|t Jovo|cpnort, ||r.rc|.|
or|roo.|r .rJ ro. n.to.|.|s
Jovo|cpnort.
Source: Xlnhua News Agency,
www.top500.org/llsts/20l0/06/press-release
tc . |obJ|.o .opc.t, .|t| . ||rp.ck
po.|c.n.rco c| 1.21 |||cp po.
soccrJ. |1 ..s vctoJ cro c|
||r.'s tcp tor .c||ovonorts |r S
|c. 2009 by 563 .c.Jon|c|.rs c| t|o
||roso Ac.Jony c| Sc|orcos .rJ
||roso Ac.Jony c| |r|roo.|r.
|JrJoJ by t|o |.t|cr.|
|.c..nno |c. |||toc| || (t|o
863 p.c..nno), t|o |1 p.coct
..s |.Jrc|oJ |r 2008. |1
.op.osorts . |yb.|J Jos|r .|t| |rto|
Box 2: The world's flrst photonlc telephone network
J.rtJn ccnnJr|c.t|cr pcssossos
t|o |o.tJ.o c| .bsc|Jto socJ.|ty .||c|
t..J|t|cr.| no.rs c| ccnnJr|c.t|cr
|.ck. |c.ovo., JJo tc t|o |npo.|oct
r.tJ.o c| .o.| systons .rJ t|o |.ck c|
t.Jo ,J.rtJn s|r|op|ctcr scJ.cos,
t|o socJ.o ccnnJr|c.t|cr ..to c|
,J.rtJn ccnnJr|c.t|cr systons
Joc||ros s|..p|y .|t| |rc.o.s|r
J|st.rco. ||s no.rt t|.t, |c. . |cr
t|no, ,J.rtJn ccnnJr|c.t|cr ..s
stJck .t t|o |.bc..tc.y st.o.
|r Ap.|| 2009, |.c|ossc. |.r
'|.r.o| .rJ ||s .oso..c| .cJp |.cn
t|o |r|vo.s|ty c| Sc|orco .rJ
J|st.rt |JtJ.o |r ycJ. c.r |cno.
As |cr .c .s 2008, t|o .cJp
ost.b||s|oJ ,J.rtJn ort.r|onort
bot.oor t.c orsonb|os c| cc|J
.tcns ccrroctoJ by 300 n ||b.os,
po.|oct|y .o.||.|r ,J.rtJn
.opo.to.s, .||c| |s v|t.| tc |cr
J|st.rco ,J.rtJn ccnnJr|c.t|cr.
||s s|r|||c.rt cJtccno ..s
pJb||s|oJ |r t|o |ssJo c| Nature J.toJ
28 AJJst 2009. |t ..s ||stoJ .s cro c|
||r.s tcp tor .c||ovonorts |r S
|c. 2008.
Source: MOST, Unlverslty of Sclence and
Technology of Chlna
oc|rc|cy c| ||r. bJ||t t|o .c.|J's
||.st p|ctcr|c to|op|cro rot.c.k |r
|o|o|. ||s s|c.s t|.t .bsc|Jto|y
socJ.o ,J.rtJn ccnnJr|c.t|cr c.r
bo .pp||c.b|o tc J.||y |||o. |o .cJp
sJccoss|J||y Jovo|cpoJ . ,J.rtJn
p|cro p.ctctypo .rJ ccrst.JctoJ .
p|ctcr|c to|op|cro rot.c.k .||c|
c.r bo |.oo|y oxp.rJoJ b.soJ cr t|o
ccnno.c|.| ||b.o rot.c.k.
||s .oso..c| |.s t.kor t|o |o.J
.c.|J.|Jo |r t|o ||o|J c| p..ct|c.|
,J.rtJn ccnnJr|c.t|cr. As Science
pJt |t, \|t| sJc| . p.osort.t|cr,
,J.rtJn p.|v.cy .||| rct bo . vo.y
C
h
l
n
a
|||SO S|||| |||O| 2010
First thrust: a boost for investment in R&D
I The government has establlshed a dlverslfled
lnvestment system for S&T development to ensure that
government lnvestment ln S&T malntalns a faster
growth rate than that of regular government revenue,
ln order to guarantee the lmplementatlon of natlonal
megapro[ects ln sclence and englneerlng and natlonal
S&T programmes.
I The government has optlmlzed the structure of
government expendlture on P&D by focuslng on baslc
research, publlc goods research and frontler
technology research and by provldlng the requlslte
preferentlal pollcles to solve ma[or challenges for
natlonal, reglonal and lndustrlal development.
Lxpendlture on baslc research nearly doubled between
2004 and 2008, from ll.72 to 22.08 bllllon uan.
Desplte thls effort, the share of GLPD devoted to baslc
research actually dropped from 5.96% to 4.78% over
the same perlod (see oe 389).
I The government has devlsed a new mechanlsm for
managlng government expendlture on P&D, ln order
to lmprove efflclency and effectlveness, wlth a focus on
expendlture on sclentlflc research, the development of
talent and natlonal S&T programmes. |t has also
establlshed a performance evaluatlon system to assess
government expendlture on P&D.
Second thrust: tax incentives for investment in STI
I The government has formulated addltlonal
preferentlal pollcles to enable enterprlses to upgrade
thelr experlmental facllltles and lnstruments, by
speedlng up the depreclatlon of lmported facllltles
and lnstruments for P&D. Por example, the
government shares l2.5% of enterprlse expendlture
on P&D by means of tax deductlons.
382
I Government pollcy provldes tax lncentlves for the
technology development centre of enterprlses
3
,
natlonal englneerlng research centres
4
, natlonal
megapro[ects for S&T and natlonal P&D pro[ects
lnvolvlng sophlstlcated technologlcal equlpment, to
bulld lnnovatlon capaclty ln enterprlses. Lnterprlses
are entltled to deduct the tarlff and related value-
added tax from lmported goods that are to be used ln
P&D and when undertaklng pro[ects wlthln natlonal
S&T programmes.
I The pollcles devlsed by the Mlnlstry of Plnance and the
State Admlnlstratlon of Taxatlon ln 2006-2007 promlse
to walve the lncome tax of transformed research
lnstltutes
5
to strengthen thelr capaclty for lnnovatlon
(8ox 5). |n order to promote the development of small
and medlum-slzed enterprlses, tax lncentlves extend to
venture capltal and servlce organlzatlons actlve ln S&T,
such as sclence parks on unlverslty campuses and
lncubators of technology-based enterprlses. The pollcy
also encourages soclal organlzatlons to support
lnnovatlon vla tax-deductlble donatlons.
Third thrust: a government procurement policy to
promote innovation
I The government has establlshed a system for
purchaslng the product of endogenous lnnovatlon
uslng government funds. Thls scheme lncludes settlng
Box 4: The Shanghal Synchrotron Padlatlon Paclllty
|o S|.r|.| Syrc|.ct.cr
|.J|.t|cr |.c|||ty (SS||) ..s
ccnpotoJ |r Ap.|| 2009 .|to.
52 ncrt|s c| ccrst.Jct|cr. |t |s t|o
b|ost sc|ort|||c p|.t|c.n |r ||r.
sc |.. .rJ .op.osorts .r |rvostnort
c| .bcJt 1.43 b||||cr +J.r by t|o
cort..| cvo.rnort.
SS|| |.s t|o c.p.c|ty tc so.vo
|JrJ.oJs c| sc|ort|sts .rJ or|roo.s
|r v..|cJs J|sc|p||ros |.cn
Jr|vo.s|t|os, |rst|tJtos .rJ |rJJst.y
ovo.y J.y.
Source: http://ssrf.slnap.ac.cn/
\|t| o|oct.cr bo.n oro.y c|
3.5o\, |t |s cro c| t|o bost t||.J
oro..t|cr |||t scJ.cos |r t|o .c.|J.
SS|| ccrs|sts c| . 150Vo\ ||ro..
p..t|c|o .cco|o..tc., . bccsto. t|.t
c.r |rc.o.so t|o o|oct.cr oro.y |.cn
150Vo\ tc 3.5o\ |r 0.5 soccrJs, .s
.o|| .s . 3.5o\ o|oct.cr stc..o .|r.
3. Creatlon of a technology development centre wlthln an enterprlse ls
authorlzed by the Natlonal Development and Peform Commlttee and
three other government agencles.
4 . The term natlonal enterprlse research centre also refers to a natlonal
englneerlng technology research centre.
5. Transformed research lnstltutes have been transformed from state-
owned research lnstltutes lnto enterprlses (see 8ox 5).
||r.
383
up a system for authorlzlng endogenous lnnovatlon
and glvlng hlgh prlorlty to the product of endogenous
lnnovatlon ln ma[or natlonal constructlon pro[ects and
other relevant pro[ects.
I The government has taken admlnlstratlve steps to
purchase lnltlally and order products arlslng from
endogenous lnnovatlon, ln order to encourage
enterprlses to lnvest more ln lnnovatlve product
development and capaclty-bulldlng.
I The government ls establlshlng a scheme that wlll glve
hlgh prlorlty to forelgn companles prepared to transfer
technology to Chlna
6
, thls scheme wlll comprlse a
system for authorlzlng domestlc goods and an audltlng
system for the purchase of forelgn goods.
Fourth thrust: innovation based on assimilating imported
advanced technology
I Henceforth, key natlonal pro[ects are requlred to draw
up a plan for bulldlng lnnovatlon capaclty based on
the asslmllatlon of lmported advanced technology.
I The government has modlfled the llst of technologles
for whlch lmportatlon ls elther encouraged or
restrlcted. Lnterprlses and other bodles are
encouraged to lmport advanced technology for the
purposes of deslgn and manufacture.
I The government ls glvlng hlgh prlorlty to key natlonal
pro[ects leadlng to the manufacture of a flrst batch of
equlpment ln Chlna based on the asslmllatlon of
lmported advanced technology.
I The government ls supportlng co-operatlon among
lndustrles, unlversltles and research lnstltutes ln
asslmllatlng lmported advance technologles and
lnnovatlon. |t ls also glvlng hlgh prlorlty to the technology
platform ln the natlonal programme for S&T lnfrastructure.
Fifth thrust: capacity-building in generating and
protecting IPRs
I |n 2007, the Mlnlstry of Sclence and Technology
complled a llst of key technologles and products
for whlch Chlna should hold related patents and
whlch the country should develop wlthln natlonal
S&T programmes (MOST, 2007o). The mlnlstry also
establlshed a platform for an |PP lnformatlon servlce
to support enterprlses ln applylng for patents.
I The government supports technology standard-settlng
and ls encouraglng enterprlses to set endogenous
technology standards [olntly wlth unlversltles and
research lnstltutes, and to lntegrate these standards ln
P&D, deslgn and manufacture.
I The government has created an envlronment conduclve
to |PP protectlon by maklng laws and regulatlons more
effectlve and by rewardlng lnventors and ma[or
contrlbutors to the commerclallzatlon of |PPs held by
publlc organlzatlons.
I The government has shortened the examlnatlon cycle
for lnventlon patents.
Sixth thrust: building national infrastructure and platforms
for STI
I The government has constructed lnfrastructure and
platforms for P&D, lncludlng sclentlflc facllltles, large
equlpment and sclentlflc databases. These have been
establlshed for use by natlonal laboratorles, natlonal
englneerlng laboratorles and natlonal englneerlng
research centres.
I 8y fosterlng co-operatlon between enterprlses,
unlversltles and research lnstltutes, the government ls
supportlng enterprlses ln thelr efforts to establlsh a
technology development centre and natlonal
englneerlng laboratorles ln thelr mldst ln key P&D
flelds. The greatest beneflclarles of thls scheme so far
have been the transformed research lnstltutes and
large enterprlses. Natlonal englneerlng laboratorles
tend to focus on developlng pre-competltlve
technology and frontler technology.
I The government has establlshed a mechanlsm for
sharlng platforms for S&T and lnnovatlon among users
and for evaluatlng the openness and effectlveness of
these platforms.
Seventh thrust: cultivate and utilize talents for STI
I |n order to cultlvate home-grown talents that are
world-class and glve them an lnternatlonal
perspectlve, Chlna has recrulted more than 800 top
forelgn sclentlsts and other experts worklng ln Chlna
6. One example ls the openlng of the Alrbus (8el[lng) Lnglneerlng Centre ln
early 2006, wlthln a [olnt venture between Alrbus and Chlna's two largest
avlatlon companles, the Chlna Avlatlon |ndustry Corporatlon | and ||.
C
h
l
n
a
|||SO S|||| |||O| 2010
384
Box 5: Mllestones on the road to a natlonal lnnovatlon system
|r 198, ||r. |r|t|.toJ t|o ||.st c| .
so.|os c| |...o.c||r .o|c.ns .rJ
bo.r cpor|r Jp tc t|o cJts|Jo
.c.|J. |o ||.st .o|c.n .s |.. .s t|o
sc|orco syston ..s ccrco.roJ
ccrs|stoJ |r oxtorJ|r t|o Joc|s|cr
n.k|r pc.o. c| || |rst|tJtos .rJ
.o|c.n|r t|o || |JrJ|r syston.
||s ..s |c||c.oJ by t|o ..JJ.|
|rt.cJJct|cr c| . n..kot noc|.r|sn
|rtc t|o S syston .rJ by S.o|.toJ
|o|s|.t|cr. |o |.st st.o |.s soor t|o
ost.b||s|nort c| . r.t|cr.| |rrcv.t|cr
syston |.vcJ.|r Sb.soJ scc|c
occrcn|c Jovo|cpnort. |o .o|c.n c|
t|o sc|orco syston c.r bo J|v|JoJ |rtc
|cJ. ||stc.|c st.os.
Reconstructing the scientific
management system (19781985)
|o |.t|cr.| Sc|orco cr|o.orco |r
V..c| 198 n..koJ . tJ.r|r pc|rt |r
||r.. |o ccr|o.orco onp|.s|.oJ
t|.t S |s t|o p.cJJct|vo |c.co .rJ
t|.t t|o ncJo.r|..t|cr c| S |s t|o
koy c| t|o |cJ. ncJo.r|..t|crs, t|o
ct|o. t|.oo bo|r |rJJst.y, ..|cJ|tJ.o
.rJ Jo|orco. |o 198 ccr|o.orco |.|J
v|t.| |Joc|c|c.| .rJ t|oc.ot|c.|
|cJrJ.t|crs |c. t|o .oJ|sccvo.y c| t|o
pcs|t|cr, |Jrct|cr .rJ |r||Jorco c| S
|r p.cnct|r occrcn|c Jovo|cpnort.
|o ccr|o.orco .pp.cvoJ t|o Outline
of the National Science and Technology
Development Plan (1981985) .rJ
|ssJoJ t|.oo ccnp|onort..y
JccJnorts. Main Tasks of Scientific and
Technological Research, . National Plan
for Basic Science .rJ . National Plan for
Technological Sciences. .c c.|t|c.|
no.sJ.os .o.o .JcptoJ |r t||s po.|cJ.
t|o r.t|cr.| ox.n|r.t|cr syston |c.
|||o. oJJc.t|cr ..s .ostc.oJ |r 198
tc Jovo|cp ,J.||||oJ S po.scrro|
.rJ t|o |.t|cr.| |o.J|r .cJp |c.
oc|rc|cy crt..ct |.. (198) .rJ
cpy.||t |.. (1990).
|t .|sc |np.cvoJ t|o r.t|cr.| S
....Js syston by .JJst|r ox|st|r
....Js .rJ sott|r Jp ro. cros,
|rc|JJ|r t|o. |.t|cr.| |.tJ..| Sc|orco
A...J, |.t|cr.| |rvort|cr A...J .rJ
|.t|cr.| Sc|orco .rJ oc|rc|cy
|.c.oss A...J. |r p...||o|, ||r.
.JcptoJ . so.|os c| |npc.t.rt pc||cy
no.sJ.os tc .J.pt |rst|tJt|crs .rJ
pc||c|os tc t|o rooJs c| scc|coccrcn|c
Jovo|cpnort, |rc|JJ|r. ost.b||s||r
t|o |.t|cr.| |.tJ..| Sc|orco
|cJrJ.t|cr c| ||r., |r|t|.t|r t|o
|.t|cr.| |||oc| || |.c..nno,
.|sc krc.r .s t|o 863 p.c..nno
boc.Jso |t ..s p.cpcsoJ by |cJ. tcp
||roso sc|ort|sts |r V..c| 1986,
c.o.t|r |||toc| |rJJst.|.|
Jovo|cpnort .cros .rJ, orccJ..|r
t|o Jovo|cpnort c| toc|rc|cyb.soJ
orto.p.|sos.
Making S&T an integral part of the
economy (19921998)
|r 1992, ||r. p.cpcsoJ ost.b||s||r .
scc|.||st n..kot occrcny. |r c.Jo. tc
n.ko S .r |rto..| p..t c| t|o
occrcny, t|o cvo.rnort p.cpcsoJ
.JJst|r t|o .||cc.t|cr p.tto.r |c.
.oscJ.cos Jost|roJ |c. S. A koy pc||cy
no.sJ.o ..s t|o |rst|.t|cr c| t|o
cnb|r.t|cr |ovo|cpnort |.coct |c.
|rJJst.|os, |r|vo.s|t|os .rJ |oso..c|
|rst|tJtos |r Ap.|| 1992 by t|o St.to
|ccrcn|c .rJ ..Jo cnn|ss|cr,
|r t.rJon .|t| t|o St.to |JJc.t|cr
cnn|ss|cr .rJ ||roso Ac.Jony c|
Sc|orcos.
|o Sc|orco .rJ oc|rc|cy
|.c.oss |.., p.cnJ|.toJ |r 'J|y |993,
.osc|voJ scno |JrJ.nort.| |o.| |ssJos.
|c. |rst.rco, |t Jo||roJ t|o cboct|vo
.rJ koy t.sks c| S .ct|v|t|os .rJ
Sc|orco .rJ oc|rc|cy c| t|o St.to
cJrc|| ..s ost.b||s|oJ |r |oconbo.
1981 tc st.ort|or sc|ort|||c
n.r.onort.
Reforming the science system
(19851992)
|r V..c| 1985, t|o ort..|
cnn|ttoo c| t|o cnnJr|st |..ty
c| ||r. (|) p.cpcsoJ .
st..to|c J|Jo||ro t|.t occrcn|c
Jovo|cpnort nJst .o|y cr S, .|||o
t|o Jovo|cpnort c| S nJst bo
c.|ortoJ tc...Js so.v|r occrcn|c
Jovo|cpnort (|, 1985). ||s
J|Jo||ro so.voJ .s . .c.Jn.p |c. t|o
.o|c.n c| t|o sc|orco syston. |t |.J
||vo n.|r t|.Jsts, r.no|y tc.
I .o|c.n t|o |JrJ|r syston |c. S
.rJ n.r.o |JrJ|r,
I |np|onort . toc|rc|cy ccrt..ct
syston, sc .s tc Jovo|cp t|o
n..kot |c. toc|rc|cy .rJ
p.cncto t|o ccnno.c|.||..t|cr c|
.oso..c| .osJ|ts,
I |rt.cJJco . n..kot noc|.r|sn
.rJ .JJst t|o c..r|..t|cr.|
st.JctJ.o c| S, |r c.Jo. tc
st.ort|or orto.p.|sos c.p.c|ty
|c. toc|rc|cy Jovo|cpnort,
I onpc.o. .oso..c| |rst|tJtos by
|v|r t|on t|o .||t tc so||
Joto.n|r.t|cr .rJ |rJoporJort
st.tJs,
I .o|c.n t|o syston c| S po.scrro|
n.r.onort .rJ |np|onort .
no.|tb.soJ p.y syston.
bot.oor 1982 .rJ 1990,
||r. p.cnJ|.toJ sovo..| |..s .rJ
.oJ|.t|crs t|.t |rc|JJoJ t|o ..Jon..k
|.. (1982), |.tort |.. (1984),
||r.
385
.o|.toJ pc||c|os. c n.ko sJ.o || ..s
rct |rc.oJ |r t|o p.ccoss c|
|rto..t|r S |r t|o occrcny, t|o
| .rJ St.to cJrc|| |ssJoJ t|o
|oc|s|cr cr Acco|o..t|r t|o |.c.oss c|
Sc|orco .rJ oc|rc|cy (1995), .||c|
onp|.s|.oJ, .s |r 1985, t|.t occrcn|c
ccrst.Jct|cr nJst .o|y cr S, .|||o t|o
Jovo|cpnort c| S nJst bo c.|ortoJ
tc...Js so.v|r occrcn|c Jovo|cp
nort bJt, s|r|||c.rt|y, .JJoJ tc t||s t|o
nort|cr tc...Js sc.||r t|o |o||ts c|
.c.|J S.
|r c.Jo. tc p.cncto t|o occrcn|c
|rto..t|cr c| S, ||r. |c.nJ|.toJ
t|o |.. cr |.cnct|r t|o
..rs|c.n.t|cr c| Sc|ort|||c .rJ
oc|rc|c|c.| Ac||ovonorts |r V.y
1996. ||s |.. p.cv|Jos |o.| p.ctoct|cr
|c. t|o ccnno.c|.||..t|cr c| .oso..c|
.osJ|ts. |o.o.|to., t|o cvo.rnort
.Jvcc.toJ c.|ort|r sc|ort|||c .oso..c|
|rst|tJtos tc...Js occrcn|c
Jovo|cpnort by |.v|r t|on. c|r .r
orto.p.|so .s . toc|rc|cy
Jovo|cpnort ..n |c. t|o orto.p.|so c.
.r |rJJst.|.| soctc., |Jrct|cr .ccc.J|r
tc t|o cpo..t|cr.| noc|.r|sn c|
cc.pc..t|crs, sot Jp orto.p.|sos c.
boccno .r orto.p.|so t|onso|vos,
boccno . toc|rc|c|c.| so.v|co
c..r|..t|cr (St.to cJrc||, 1996).
|r c.Jo. tc sc.|o t|o |o||ts c|
.c.|J S, t|o cvo.rnort |r|t|.toJ t|o
|.t|cr.| |oy b.s|c || |.c..nno. ||s
|s .|sc krc.r .s t|o 93 p.c..nno
boc.Jso |t ..s .pp.cvoJ by t|o St.to
|o.J|r .cJp |c. Sc|orco .rJ
|JJc.t|cr
11
c| t|o St.to cJrc|| |r
V..c| 199.
Building a national innovation
system (19982005)
|r 'Jro 1998, t|o St.to |o.J|r .cJp
|c. Sc|orco .rJ |JJc.t|cr Joc|JoJ tc
|r|t|.to t|o |rc.|oJo |rrcv.t|cr
orto.p.|sos c.roJ by t|o cort..|
cvo.rnort. |r c.Jo. tc sJppc.t
t|o |rJJst.|.||..t|cr c| t|oso
242 |rst|tJt|crs, t|o cort..| cvo.rnort
.JcptoJ p.o|o.ort|.| pc||c|os
ccrco.r|r t.x.t|cr, |c.rs, sJbs|J|os
.rJ po.scrro|.
|r 'Jro 1999, t|o cvo.rnort
ost.b||s|oJ t|o |rrcv.t|cr |JrJ |c.
oc|rc|cyb.soJ Sn.|| |rto.p.|sos.
|t .|sc |np|onortoJ . St..toy |c.
|oJvor.t|r ..Jo by Vo.rs c|
Sc|orco .rJ oc|rc|cy, .|t| . v|o.
tc p.cnct|r ,J.||ty |||toc|
oxpc.ts. |o |oc|s|cr |ssJoJ by
| .rJ St.to cJrc|| |r AJJst
1999 cr Strengthening Technological
Innovation to Develop and Industrialize
High-tech .vo .r .JJ|t|cr.| bccst tc
t|o ccnno.c|.||..t|cr c| .oso..c|
.osJ|ts. |r 'Jro 2000, t|o cvo.rnort
.JcptoJ p.o|o.ort|.| pc||c|os
ccrco.r|r |rvostnort, ||r.rc|r,
t.x.t|cr, t.|ortoJ po.scrro| .rJ t|o
|rto||octJ.| p.cpo.ty p.ctoct|cr tc
p.cncto t|o Jovo|cpnort c|
sc|t...o .rJ |rto..toJ c|.cJ|t
|rJJst.y (St.to cJrc||, 2000).
|r 'Jro 2002, ||r. p.cnJ|.toJ
t|o Outline of the National Talents
Construction Plan (20022005) .rJ
p.cpcsoJ . St..toy |c.
|o|rv|c..t|r ||r. .|t| |ts .|ortoJ
|Jn.r |oscJ.cos. |r |oconbo.
2003, t|o | .rJ t|o St.to
cJrc|| |ssJoJ . Decision on Further
Strengthening the Work of Talented
Personnel. |t onp|.s|.oJ t|.t ||r.
nJst |rcc.pc..to t|o .c.k c|
t.|ortoJ po.scrro| |r t|o cvo..||
p|.rr|r c| r.t|cr.| scc|coccrcn|c
Jovo|cpnort, v|c.cJs|y Jovo|cp
|Jn.r .oscJ.cos .rJ .o|rv|c..to
t|o r.t|cr by Js|r |ts t.|ort.
Source: author
|.c..nno (|||) by sJppc.t|r t|o
p||ct p.coct c| t|o ||roso Ac.Jony c|
Sc|orcos, |r c.Jo. tc c.o.to . r.t|cr.|
|rrcv.t|cr syston .rJ krc.|oJo
occrcny. |o c.| c| ||| ..s tc bJ||J
t|o ||roso Ac.Jony c| Sc|orcos |rtc .
|o.J|r .c.Jon|c |rst|tJt|cr .rJ
ccnp.o|ors|vo || cort.o |r t|o
r.tJ..| .rJ or|roo.|r sc|orcos .rJ |r
|||toc| |rrcv.t|cr, tJ.r |t |rtc .
sc|ort|||c .oso..c| b.so c| |rto.r.t|cr.|
st.rJ|r, .r |rcJb.tc. c| t.|ortoJ S
po.scrro| .rJ . sp.|rbc..J |c. t|o
Jovo|cpnort c| ||r.'s |||toc|
|rJJst.|os.
|r c.Jo. tc st.ort|or ||rk.os
bot.oor t|o J|||o.ort .ctc.s c| S .rJ
Jovo|cp .r orto.p.|socort.oJ
toc|rc|c|c.| |rrcv.t|cr syston, t|o
cvo.rnort Joc|JoJ tc t..rs|c.n 242
st.toc.roJ .oso..c| |rst|tJtos |rtc
st.toc.roJ orto.p.|sos |r |ob.J..y
2009. ||s p.ccoss c.r cr|y t.c t.ko
|c.ns. o|t|o. t|o |rst|tJto c|rs .r
ox|st|r orto.p.|so c. |t boccnos .
st.toc.roJ orto.p.|so |tso||.
|oso 242 .oso..c| |rst|tJtos .o.o
.|||||.toJ tc 10 |c.no. n|r|st.|os t|.t
|rc|JJoJ t|o V|r|st.y c| V.c||ro
bJ||J|r, t|o V|r|st.y c| t|o Vot.||J.y
|rJJst.y .rJ t|o V|r|st.y c| c.|. by t|o
orJ c| 1999, .|| |.J boor t..rs|c.noJ
|rtc st.toc.roJ orto.p.|sos. 131 |.J
c|roJ |..o orto.p.|sos, 40 |.J boccno
orto.p.|sos, 18 |.J boccno toc|rc
|c|c.| so.v|co c..r|..t|crs .rJ 29 |.J
boor t..rs|c.noJ |rtc 12 |..o so||
sJppc.t|r, toc|rc|cyb.soJ
11. crs|st|r c| t|o |.t|cr.| |ovo|cpnort .rJ
|o|c.n cnn|ss|cr, V|r|st.y c| |JJc.t|cr, V|r|st.y
c| Sc|orco .rJ oc|rc|cy, V|r|st.y c| ||r.rco,
V|r|st.y c| A.|cJ|tJ.o, V|r|st.y c| ..|||c .rJ
..rspc.t.t|cr, ||roso Ac.Jony c| Sc|orcos,
||roso Ac.Jony c| Scc|.| Sc|orcos, ||roso
Ac.Jony c| |r|roo.|r, |.t|cr.| |.tJ..| Sc|orco
|cJrJ.t|cr .rJ ||roso Asscc|.t|cr |c. Sc|orco
.rJ oc|rc|cy.
C
h
l
n
a
|||SO S|||| |||O| 2010
386
7. The Spark Programme was launched ln l986 to promote S&T development
ln rural areas, ralse rural productlvlty and promote an S&T-based rural economy.
8. Launched ln August l988, the Torch Programme focuses on the
development of hlgh-tech lndustrles. |mplemented vla pro[ect demonstratlon,
the Torch Programme alms to commerclallze those hlgh-tech products wlth
good market prospects and to develop new products ln hlgh-tech and related
lndustrles. Thls lncludes establlshlng some hlgh-tech lndustrlal development
zones around Chlna.
9. Soft sclence ls lnterdlsclpllnary research lnvolvlng natural and soclal sclences,
englneerlng and mathematlcs ln support of the declslon-maklng process.
|| |A|O|A| S ||O|AVV|S
Chlna's natlonal S&T programmes encompass three ma[or
programmes:
I the National Programme for High-tech R&D
(the 863 programme), whlch recelved an allocatlon
from the central government of 5.6 bllllon uan
(US$ 805.2 mllllon) ln 2008,
I the National Programme for Key Technology R&D,
whlch recelved an allocatlon of 5.l bllllon uan
(US$ 729.5 mllllon) ln 2008,
I the National Programme for Key Basic R&D
(the 973 programme), whlch recelved l.9 bllllon uan
(US$ 273.6 mllllon) ln 2008.
|n 2008, these three programmes represented two-thlrds
(l2.6 bllllon uan) of the central government's allocatlon
to natlonal S&T programmes (l7.6 bllllon uan). A further
l.8 bllllon uan went to the natlonal programme for the
constructlon of baslc lnfrastructure llke natlonal key
laboratorles, whlch consumed most of lts budget
(l.6 bllllon uan).
A further 3.2 bllllon uan went to natlonal pollcy-orlented
programmes and speclal programmes. Thelr budget
encompasses the:
I |nnovatlon Pund for Small Technology-based Plrms
(l.462 bllllon uan),
I |nternatlonal S&T Co-operatlon Programme
(400 mllllon uan),
I Agrlcultural S&T Transfer Pund (300 mllllon uan),
I Speclal Technology Development Pro[ect for
Pesearch |nstltutes (250 mllllon uan),
I Spark Programme
7
(200 mllllon uan),
I Torch Programme
8
(l52 mllllon uan),
I Natlonal New Products Programme (l50 mllllon uan),
I Soft Sclence Programme
9
(25 mllllon uan),
I other speclal programmes (300 mllllon uan).
Last but not least, the Natlonal Natural Sclence
Poundatlon of Chlna lncreased lts pro[ect fundlng
for baslc research from 4.l bllllon uan ln 2006 to
6.3 bllllon uan ln 2008. However, the growth rate of
expendlture on baslc research remalns lower than that
of P&D expendlture because of the rapld expanslon of
experlmental development ln enterprlses (see oe 389).
vla lts Pecrultment Programme of Global Lxperts,
known as the Thousand Talents Programme. Thls
programme plans to recrult 2 000 overseas experts
over the next flve to ten years for natlonal laboratorles,
leadlng enterprlses and selected research lnstltutes,
as well as a number of unlversltles.
I |n order to woo talented Chlnese sclentlsts and
englneers llvlng abroad ln partlcular, the government
ls backstopplng efforts by enterprlses to reform
lncome dlstrlbutlon and lncentlve measures for staff by
lmplementlng preferentlal pollcles that lnclude speclal
government subsldles, tax breaks and beneflt-sharlng
arrangements for orlglnal patents.
Eighth thrust: support endogenous innovation via
financial measures
I The government has lnstructed pollcy-orlented
fundlng bodles to glve prlorlty to flnanclng natlonal
megapro[ects for S&T, natlonal pro[ects for the
lndustrlallzatlon of hlgh technology, the asslmllatlon of
lmported advanced technology and the export of
hlgh-tech products.
I To ease the flnanclal burden on small and medlum-
slzed enterprlses, the government has lmproved the
flnanclal servlces avallable to them for lnnovatlon,
establlshed a credlt system for them and facllltated
venture capltal. |n parallel, lt has lmproved the legal
framework for lnnovatlon by maklng lt easler for
venture capltal to lnvest ln start-ups.
I The government has establlshed multlple capltal
markets to support endogenous lnnovatlon, lncludlng
a stock market for technology-based small and
medlum-slzed enterprlses, stock transactlons for hlgh-
tech enterprlses and a reglonal transactlon market for
property rlghts.
||r.
387
The R&D priorities of the three main programmes
Chlna's natlonal S&T programmes have set thelr prlorltles
for P&D accordlng to the flve strateglc areas ldentlfled ln
the Outl|ne ol the VeJ|um- onJ lon- 7etm Plon lot Not|onol
5c|ence onJ 7echnoloy 0eveloment (2006-2020). Durlng
2006-2008, the central government's approprlatlon for
these flve strateglc areas accounted for 90% of the budget
allocated to the three ma[or natlonal S&T programmes
(MOST, 2009o):
I Lnergy resources and envlronmental protectlon:
l0.l bllllon uan (l9.8% of the total approprlatlon),
I |T, new materlals and manufacturlng: l2.2 bllllon uan
(23.8% of the total approprlatlon),
I Agrlculture, populatlon and health: ll.9 bllllon uan
I Space and ocean technology: 2.5 bllllon uan
I 8aslc sclences and frontler technology: 9.7 bllllon uan
(l9% of the total approprlatlon).
National Programme for High-tech R&D
The 863 programme covers l0 flelds of technology.
|n 2008, the programme approved l 220 new pro[ects
spread falrly evenly across all l0 flelds, half of the pro[ects
belng related to agrlculture, materlals sclence, blotech-
nology and |T. Pundlng, on the other hand, tended to
favour |T (see, for example, 8ox 3), followed by materlals
sclence, energy, blotechnology and ocean sclence
(Plgure l). Unlversltles undertake 57.9% of ongolng
pro[ects wlthln the 863 programme, compared to 28.5%
for research lnstltutes and [ust l3.5% for enterprlses.
|nterestlngly, enterprlses fund much more P&D than they
perform wlthln the 863 programme: (24.4%), compared to
43.7% for unlversltles and 3l.7% for research lnstltutes.
National Programme for Key Technology R&D
The Natlonal Programme for Key Technology P&D covers
ll flelds. |n 2008, lt approved l40 new pro[ects (Plgure 2).
The central government approprlatlon was largest by far
for agrlculture (20.l%). wlthln thls programme,
Other
1.3
Information
technology
12.7
Biotechnology
13.9
Materials
13.9
Manufacturing
9.3
Energy
6.0
Environment
7.9
Ocean
7.2
Agriculture
14.3
Transportation
6.5
Earth
observation
7.0
Other
3.7
Information
technology
20.5
Biotechnology
10.0
Materials
14.3
Manufacturing
5.2
Energy
10.2
Environment
6.0
Ocean
9.7
Agriculture
5.0
Transportation
8.1
Earth
observation
7.3
Figure 1: Prlorltles of Chlna's Natlonal Programme for Hlgh-tech P&D, 2008 (%)
0|stt|out|on ol new tojects oy l|elJ
5outce: MOST (2009o) Annuol keott ol the 5tote Ptotoms ol 5c|ence onJ 7echnoloy 0eveloment
0|stt|out|on ol ouJet lot new tojects oy l|elJ
C
h
l
n
a
|||SO S|||| |||O| 2010
388
Agriculture
12.7
Energy
11.4
Information
science
10.1
Resources and
environment
15.2
Population
and health
17.7
Materials
8.9
Synthesis
science
12.7
Frontier
science
11.4
Agriculture
8.9
Energy
8.8
Information
science
8.1
Resources and
environment
9.6
Population
and health
13.7
Materials
9.9
Synthesis
science
9.2
National Special Science
Research Programme
20.8
Frontier
science
10.9
Figure 3: Prlorltles of Chlna's Natlonal Programme for Key 8aslc P&D, 2008 (%)
5outce: MOST (2009o) Annuol keott ol the 5tote Ptotoms ol 5c|ence onJ 7echnoloy 0eveloment
0|stt|out|on ol ouJet oy l|elJ
Note: The new pro[ects here do not lnclude those wlthln the Natlonal Speclal Sclence Pesearch Programme, the breakdown of whlch ls as follows:
nano-research (34.3%), development and reproductlon research (25.7%), proteln research (22.9%) and quantum manlpulatlon (l7.l%).
Agriculture
22.1
Environment
13.6
Public security and
other social undertakings
11.4
Population and health
10.0
Materials
9.3
Resources
9.3
Information
and services
7.9
Urbanization and
urban development
6.4
Manufacturing
5.7
Energy
2.1
Trac and transport
2.1
Agriculture
20.1
Environment
6.6
Public security and
other social undertakings
11.0
Population and health
9.4
Materials
10.2
Resources
8.6
Information
and services
9.2
Urbanization and
urban development
5.3
Manufacturing
8.9
Energy
4.8
Trac and transport
6.1
Figure 2: Prlorltles of Chlna's Natlonal Programme for Key Technology P&D, 2008 (%)
5outce: MOST (2009o), Annuol keott ol the 5tote Ptotoms ol 5c|ence onJ 7echnoloy 0eveloment, N85 onJ VO57 (2010 Ch|no 5tot|st|col eotoool on
5c|ence onJ 7echnoloy 2009
0|stt|out|on ol ouJet oy l|elJ
||r.
389
0.5
1.0
1.5
2.0
%
2000 2001 2002 2003 2004 2005 2006 2007 2008
0.90
0.95
1.07
1.13
1.23
1.34
1.42
1.44
1.54
Figure 4: GLPD/GDP ratlo ln Chlna, 2000-2008 (%)
5outce: Adams et ol. (2009) Cloool keseotch keott Ch|no: keseotch
onJ Colloootot|on |n the New Ceotohy ol 5c|ence. Thomson Peuters
unlversltles undertake 26.4% of pro[ects, compared to
l8.l% for research lnstltutes and 44.4% for enterprlses.
Other players account for ll.l% of these pro[ects.
National Programme for Key Basic R&D
The 973 programme covers elght flelds. Slnce, 2006, lt has
also been supportlng the Natlonal Speclal Sclence Pesearch
Programme, whlch conslsts of four evenly balanced key
research pro[ects: nano-research, development and
reproductlon research, proteln research and quantum
manlpulatlon. |n 2008, the Natlonal Speclal Sclence
Pesearch Programme accounted for 20.8% of the
government approprlatlon (Plgure 3). The same year, the
973 programme approved 79 new pro[ects ln the elght
tradltlonal flelds and 35 new pro[ects wlthln the Natlonal
Speclal Sclence Pesearch programme. |n addltlon to these
new pro[ects, there were 274 ongolng pro[ects wlthln the
973 programme ln the elght tradltlonal flelds and 82 wlthln
the Natlonal Speclal Sclence Pesearch Programme.
Unlversltles undertake more than half (54.5%) of all ongolng
pro[ects wlthln the 973 programme, research lnstltutes and
enterprlses performlng 4l.9% and 3.l% of P&D respectlvely.
|| ||||
A steep rise in R&D expenditure
|n less than a decade, Chlna has become one of the
world's blggest spenders on P&D
l0
. 8etween 2000 and
2008, GLPD leapt from 89.6 bllllon uan (US$ l0.8 bllllon)
to 46l.6 bllllon uan (US$ 66.5 bllllon), at an average
annual growth rate of 22.8%. The ratlo of GLPD to GDP ln
Chlna has llkewlse lncreased: from 0.90% ln 2000 to
l.54% 2008 (Plgure 4). Desplte thls performance, Chlna's
P&D lntenslty stlll lags behlnd that of most developed
countrles. At US$ 368.l bllllon, GLPD ln the USA was
about 5.5 tlmes that of Chlna ln 2007, for example, and
58.5 tlmes that of |ndla (world 8ank, 2009). |n 2008, the
GLPD/GDP ratlo was 2.67% ln the USA, 3.40% ln 1apan
and l.80% ln the UK (see oe 62). The VeJ|um- onJ
lon- 7etm Plon does, however, flx the target of ralslng
Chlna's GLPD/GDP ratlo to 2.50% by 2020.
|n Chlna, the llon's share of GLPD goes to experlmental
development (83%), compared to [ust 5% for baslc
research (Plgure 5). Desplte baslc sclences and frontler
research belng one of the flve strateglc areas for P&D to
2020, the share of GLPD devoted to baslc research
actually dropped ln Chlna between 2004 and 2008
from 5.96% to 4.78%, even lf expendlture on baslc
research nearly doubled from ll.72 to 22.08 bllllon
uan over the same perlod. Although the P&D
expendlture of enterprlses leapt from l3l.40 bllllon to
338.l7 bllllon uan over the same perlod, the ma[orlty
of thls expendlture goes to experlmental development.
Among lndustrlal enterprlses wlth total revenue from
product sales of over 5 mllllon uan for example, P&D
expendlture amounted to 307.3l bllllon uan ln 2008,
98.55% of whlch was destlned for experlmental
development (N8S and MOST, 20l0).
8uslness enterprlses have become blg P&D spenders,
contrlbutlng 59.95% of GLPD ln 2000 and 73.26% ln
2008 (Table l). There are two reasons for
thls rapld growth. l|tstly, more and more enterprlses
have come to regard lnnovatlon capaclty as a core
competence. Some Chlnese flrms are expandlng thelr
P&D actlvltles globally. Por example, Huawel has set
up flve research lnstltutes ln Slllcon valley and Dallas
(USA), 8angalore (|ndla), Sweden and Pussla to access
l0. P&D expendlture ln the present chapter refers to lntramural P&D
expendlture.
C
h
l
n
a
|||SO S|||| |||O| 2010
390
Table 2: Pesearchers ln Chlna, 2000-2008
2000 2001 2002 2003 2004 2005 2006 2007 2008
Pesearchers (thousands) 695.l0 742.70 8l0.50 862.ll 926.20 l ll8.70 l 223.76 l 423.40 l 592.40
GDP per researcher (mllllon uan) l4.27 l4.76 l4.85 l5.75 l7.26 l6.38 l7.32 l7.53 l8.88
GLPD per researcher (thousand uan) l28.85 l40.36 l58.87 l78.59 2l2.30 2l9.00 245.40 260.66 289.88
Note: Here, the term 'researcher' refers to sclentlsts and englneers among P&D personnel ln Chlnese statlstlcal yearbooks, a comparable lndlcator to
'researchers' ln OLCD statlstlcs.
5outce: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ 7echnoloy 2009, N8S (20l0) Ch|no 5tot|st|col eotoool 2009
Table 1: GLPD ln Chlna by performlng sector, 2000-2008
Total R&D institutes Enterprises Higher education Other Enterprises
(Yuan billions) (Yuan billions) (Yuan billions) (Yuan billions) (Yuan billions) (% of total)
2000 89.6 25.8 53.7 7.7 2.4 59.96
200l l04.3 28.8 63.0 l0.2 2.2 60.43
2002 l28.8 35.l 78.8 l3.l l.8 6l.l8
2003 l54.0 39.9 96.0 l6.2 l.8 62.37
2004 l96.6 43.2 l3l.4 20.l 2.0 66.83
2005 245.0 5l.3 l67.4 24.2 2.l 68.32
2006 300.3 56.7 2l3.5 27.7 2.4 7l.08
2007 37l.0 68.8 268.2 3l.5 2.6 72.28
2008 46l.60 8l.l3 338.2 39.0 3.3 73.26
5outces: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ 7echnoloy 2009
world knowledge (OLCD, 2008). Other enterprlses llke
Lenovo and GLLL are accesslng forelgn P&D resources
by means of transnatlonal acqulsltlons. Thls phenomenon
ls also belng observed ln |ndla (see oe 363). Secondly,
many publlc research lnstltutes have been transformed
lnto technology-based enterprlses and are thus also
playlng a role ln lmprovlng the lnnovatlon capaclty of
lndustry.
One of the worlds biggest reservoirs of R&D
personnel
Chlna has become one of the world's blggest reservolrs
of P&D personnel. The number of sclentlsts and
englneers more than doubled between 2000 and 2008
to l.59 mllllon (Table 2). Over the same perlod, both the
share of GDP and the share of GLPD spent on each
researcher llkewlse lncreased. Desplte thls feat, the
denslty of researchers ln Chlna remalns lower than that
of developed countrles, even lf Chlna ls rapldly closlng
the gap. |n 2007, there were l 07l researchers per mllllon
populatlon ln Chlna, compared to 5 573 ln 1apan, 4 663
ln the USA (2006), 3 532 ln Germany and 4 l8l ln the UK
(see oe 8).
0
20
40
60
80
100
%
2000 2001 2002 2003 2004 2005 2006 2007 2008
5.21 4.78
16.96
12.46
77.82
82.76
Basic research
Applied research
Experimental development
Figure 5: GLPD ln Chlna by type of research, 2000-2008
5outce: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ
7echnoloy 2009
||r.
39l
|| O|||
Only the USA and Japan now publish more
Chlna has become one of the world's most prollflc
countrles for sclentlflc authorshlp. |n 2000, lt ranked elghth
ln the world, accordlng to the database of Thomson
Peuters' Sclence Cltatlon |ndex (SC|). 8y 2007, lt had
cllmbed to thlrd place. Over the same perlod, the number
of SC| papers publlshed by Chlnese researchers nearly
trlpled from 30 499 to 89 l47, representlng an average
growth rate of l7.3% (N8S and MOST, 20l0). However, the
average cltatlon rate for Chlnese papers ln the Lssentlal
Sclence |ndlcators database durlng the perlod l999-2008
was only 4.6l (Table 3). Thls lndlcates that there ls stlll a
wlde gap ln the quallty of sclentlflc publlcatlons between
Chlna and the world leaders ln S&T. Of note ls that Chlna
and |ndla share a slmllar cltatlon rate. (See pages 374 and
375 for a comparlson of 8razlllan, |ndlan and Chlnese
papers recorded ln the SC| database between 2000 and
2008.) Chlna ls most lnfluentlal ln materlals sclence,
where lt represented 20.83% of global output between
2004 and 2008 (Table 4).
Rapid growth in patents
Chlna has become one of the most prollflc countrles
ln terms of appllcatlons for, and grants of, domestlc
resldent lnventlon patents (Plgure 6). Moreover, ln 2008,
a total of 77 50l domestlc resldent lnventlon patents
were granted ln the USA, about l.66 tlmes as many as ln
Chlna.
Table 3: Cltatlon rate for Chlnese sclentlflc papers, l998-2008
USA Japan Germany UK China France Italy India Korea
LS| papers 2 959 66l 796 807 766 l46 678 686 573 486 548 279 394 428 237 364 2l8 077
Cltatlons 42 269 694 7 20l 664 8 787 460 8 768 475 2 646 085 5 933 l87 4 044 5l2 l 088 425 l 256 724
Cltatlon rate l4.28 9.04 ll.47 l2.92 4.6l l0.82 l0.25 4.59 5.76
Note: These data cover Lssentlal Sclence |ndlcators for the perlod from l 1anuary l998 to 3l August 2008.
5outce: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ 7echnoloy 2009, OLCD (2009) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots, volume 2009/l
Table 4: Chlna's global share of publlcatlons by ma[or fleld of sclence, l999-2008
19992003 20042008
Count World share Count World share
% %
Materlals sclence 20 847 l2.22 48 2l0 20.83
Chemlstry 44 573 9.29 99 206 l6.90
Physlcs 3l l03 7.97 66 l53 l4.l6
Mathematlcs 7 32l 7.37 l6 029 l2.82
Lnglneerlng l9 343 6.42 43 l62 l0.92
Computer sclence 3 943 4.54 l6 009 l0.66
Geosclences 5 322 4.95 l2 673 9.30
Pharmacology & toxlcology 2 259 3.ll 6 6l4 7.28
Lnvlronment/ecology 3 l7l 3.26 9 032 6.85
Space sclence 2 055 3.80 3 5l4 5.8b
8lology & blochemlstry 6 697 2.66 l5 97l 5.86
Plant & anlmal sclence 5 9l5 2.6l l4 646 5.42
Agrlcultural sclences l 082 l.48 4 872 4.88
Mlcroblology 92l l.38 3 863 4.74
Molecular blology & genetlcs l 642 l.43 6 2l0 4.49
|mmunology 493 0.87 2 ll4 3.5l
5outce: Adams et ol. (2009) Cloool keseotch keott Ch|no: keseotch onJ Colloootot|on |n the new Ceotohy ol 5c|ence
C
h
l
n
a
392
Table 5: Domestic invention patent grants and PCT patent filings in China, 2007
Japan Rep. Korea USA China Russia Germany France UK
Domestic invention patents granted 145 040 91 645 89 823 31 945 18 431 12 977 10 697 2 058
PCT patent lings 27 749 7 065 51 296 5 465 735 17 825 6 264 5 539
Researchers (thousands FTE) 710.0 221.9 1425.6 1423.4 469.1 284.3 211.1 175.5
Domestic invention patents granted 204.3 412.9 63.0 22.4 39.3 45.6 50.7 11.7
per thousand researchers
PCT ling per thousand researchers 39.1 31.8 36.0 3.8 1.6 62.7 29.7 31.6
Note: Data are 2006 for the USA and France.
Source: WIPO database; OECD database
The efficiency of Chinese researchers in terms of
invention patents is much lower than that of most
developed countries. Some 22.4 domestic resident
invention patents were granted per thousand
researchers in China in 2007, compared to 412.9
in the Republic of Korea, 204.3 in Japan, 45.6 in
Germany and 63.0 in the USA (2006). The landscape
for filing within the Patent Co-operation Treaty
(PCT) offers almost the same view. In 2007, China
filed 3.8 PCT patents per thousand researchers, far
fewer than Germany (62.7), Japan (39.1) or the USA
(36.0) [Table 5].
0
50
100
150
25 346
6 177 5 395 5 868
11 404
18 241
20 705
25 077
31 945
46 590
30 038
39 806
56 769
65 786
93 485
122 318
153 060
194 579 200
in thousands
2000 2001 2002 2003 2004 2005 2006 2007 2008
Domestic applications
Domestic grants
Figure 6: Growth in Chinese domestic resident invention patents, 20002008
Source: NBS and MOST (2010) China Statistical Yearbook on Science and Technology 2009
A CLOSER LOOK AT HIGHTECH
INDUSTRIES
Rapid growth in high-tech industries since 2000
High-tech industries in China consist in the manufacture of:
I medicines, medical equipment and measuring
instruments;
I aircraft and spacecraft;
I electronic equipment;
I telecommunications equipment;
I computers and office equipment.
||r.
393
0
10
20
30
40
50
60
70
2003
2.77
2.23
13.85
2.57
0.83
2.53
18.85
3.96
1.06
2.78
23.47
4.34
1.66
3.33
27.69
7.29
2.07
4.26
32.45
8.18
3.05
5.20
40.29
8.09
4.03
2.82
4.00
5.26 6.59
7.91
2004 2005 2006 2007 2008
Measuring equipment & measuring instruments
In billions of Yuan
Computers & oce equipment
Electronics & telecommunications
Aircraft & spacecraft
Medicines
Figure 7: |ntramural expendlture on P&D by Chlna's hlgh-tech lndustrles, 2003-2008
5outce: N8S, NDPC and MOST (2008) Ch|no 5tot|st|cs eotoool on l|h 7echnoloy lnJustty, N8S, NDPC and MOST (2009) Ch|no 5tot|st|cs eotoool
on l|h 7echnoloy lnJustty
C
h
l
n
a
Hlgh-tech lndustrles ln Chlna have experlenced rapld
growth ln the past l0 years. The value of gross lndustrlal
output of hlgh-tech lndustrles leapt between 2000 and
2008 from l 04l.l bllllon uan (US$ l25.8 bllllon) to
5 708.7 bllllon uan (US$ 822.0 bllllon). Over the same
perlod, the number of employees more than doubled
from 3.9 mllllon to 9.5 mllllon.
P&D expendlture by hlgh-tech lndustrles trlpled ln [ust flve
years: from 22.2 bllllon uan ln 2003 to 65.5 bllllon uan ln
2008, growlng at an average annual rate of 24.l%.
Llectronlcs and telecommunlcatlons accounted for 6l.5% of
all hlgh-tech expendlture on P&D ln 2008 (Plgure 7). Desplte
these lmpresslve flgures, the P&D lntenslty of hlgh-tech
lndustry ln Chlna remalns much lower than that of
developed countrles. |n 2008, the ratlo of P&D expendlture
to the value of gross lndustrlal output of hlgh-tech
lndustrles was [ust l.l5% ln Chlna. Thls was much lower
than the 2006 ratlo for the USA (l6.4l%), the UK (ll.04%),
1apan (l0.64%), Germany (8.34%) or the Pepubllc of Korea
(5.98%), accordlng to the 2008 databases of the
Organlsatlon for Lconomlc Co-operatlon and Development
(OLCD) on Structural Analysls Statlstlcs (STAN) and Analytlcal
8uslness Lnterprlse Pesearch and Development (2009).
P&D personnel ln hlgh-tech lndustrles ln Chlna has
experlenced remarkable growth, after a fleetlng dlp from
2003 to 2004. |n 2008, there were 285 l00 full-tlme
equlvalent researchers, more than twlce the number ln
2003. Not surprlslngly, 60.4% of P&D personnel worklng
for hlgh-tech lndustrles were employed ln electronlcs and
telecommunlcatlons ln 2008 (Plgure 8).
The number of appllcatlons for lnventlon, utlllty model and
deslgn patents ln hlgh-tech lndustrles grew annually by
36.8% durlng 2003-2008. Agaln, electronlcs and
telecommunlcatlons accounted for 65.3% of the total ln
2008. However, the fastest annual growth (50.6%) concerned
medlcal equlpment and measurlng lnstruments (Plgure 9).
The share of hlgh-tech exports ln manufactured exports
grew steadlly ln Chlna between 2000 and 2008, at 8.l%
per year. Many domlnant players ln S&T saw thls
percentage decllne over the same perlod (Plgure l0).
Notwlthstandlng thls, Chlna ls stlll a net technology
lmporter. |n 2008, Chlna pald US$ l0.3 bllllon ln royaltles
and llcense fees, earnlng recelpts of only US$ 570.5 mllllon
(State Admlnlstratlon of Porelgn Lxchange, 20l0). The
same year, Chlna spent US$ 27.l bllllon on lmported
technology from 82 countrles. Of thls, US$ 23.5 bllllon
corresponded to technology and US$ 3.6 bllllon to
equlpment. Pour countrles account for two-thlrds of
Chlna's technology lmports: the USA (l8.7l%), 1apan
(l7.93%), Pepubllc of Korea (l2.l5%) and Germany (ll.75%).
|||SO S|||| |||O| 2010
394
0
5
10
15
20
25
30
35
40
2003 2004 2005 2006 2007 2008
Medicines
3 917
1 305
1 036
282
25 909
4 890
1 243
550
1 696
155
6 986
1 334
855
2 708
328
11 022
1 863
902
2 383
510
16 708
3 221
1 479
3 056
810
24 680
3 266
2 634 4 450
4 254
in thousands
Figure 9: Domestlc patent appllcatlons by Chlnese hlgh-tech lndustrles, 2003-2008
2003 2004 2005 2006 2007 2008
0
50
100
150
200
250
300
In thousands of FTE researchers
Medicines
17.5
28.2
61.6
12.4
8.1
13.9
24.0
60.5
13.6
8.8
19.6
29.9
95.1
17.5
11.1
25.4
27.4
97.4
24.6
13.8
30.8
27.2
142.4
29.7
18.1
22.3
31.1
172.2
31.1
22.3
Figure 8: P&D personnel ln Chlna's hlgh-tech lndustrles, 2003-2008
5outce: N8S, NDPC and MOST (2008) Ch|no 5tot|st|cs eotoool on l|h 7echnoloy lnJustty, N8S, NDPC and MOST (2009) Ch|no 5tot|st|cs
eotoool on l|h 7echnoloy lnJustty
5outce: N8S, NDPC and MOST (2008) Ch|no 5tot|st|cs eotoool on l|h 7echnoloy lnJustty, N8S, NDPC and MOST (2009) Ch|no 5tot|st|cs
eotoool on l|h 7echnoloy lnJustty
||r.
395
Measuring Chinas capacity to innovate
The National Innovative Development Index
The Natlonal |nnovatlve Development |ndex (N|D|) covers
flve areas, namely:
I |ndustrlallzatlon: thls represents the transltlon from a
rural economy to an lndustrlal economy characterlzed
by a hlgh S&T content, good economlc returns, lower
resource consumptlon, less envlronmental pollutlon
and a wlde spectrum of human resource advantages,
I '|nformatlonlzatlon': thls refers to the development of an
lnformatlon soclety vla the utlllzatlon of lnformatlon
technology, lnformatlon exchange and knowledge sharlng.
I Urbanlzatlon,
I Lducatlon and health,
I Sclence, technology and lnnovatlon.
Accordlng to the Ch|no lnnovot|on 0eveloment keott (CAS,
2009), Chlna's N|D| experlenced falrly rapld growth between
2000 and 2006 of 5.3% per annum. Lven so, there remalns a
yawnlng gap between Chlna and developed countrles for thls
lndex. Chlna's N|D| amounted to [ust 20.94, placlng lt far
behlnd the leader, Sweden (67.0l), and 32
nd
out of the
34 countrles studled ln 2006, whlch lncluded the member
C
h
l
n
a
5outce: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ 7echnoloy 2009, for other countrles: world 8ank (20l0) l|h-technoloy lxotts
0
5
10
15
20
25
30
35
40
34.8
33.7
28.3
18.6
18.0
17.2
16.6
7.0
4.8
2000 2001 2002 2003 2004 2005 2006 2007 2008
%
India
Brazil
China
South Africa
Germany
Korea (Rep.)
Russia
Japan
USA
33.4
30.8
27.1
17.9
13.5
12.0
6.5
5.7
5.2
Figure 10: Share of hlgh-tech exports ln manufactured exports ln Chlna, 2000-2008
states of the Luropean Unlon, Canada, 1apan, the Pepubllc of
Korea and USA. Chlna ranked hlgher than South Afrlca (33
rd
)
and |ndla (34
th
) but tralled 8razll (27
th
), Mexlco, Pussla,Turkey
and Pomanla. Chlna performed best for educatlon (28
th
) and
worst when lt came to lndustrlallzatlon that was respectful of
the envlronment (34
th
).
The National Innovation Capacity Index
|n a broad sense, a country's natlonal lnnovatlon capaclty ls
lts ablllty to transform ST| lnto wealth. The Natlonal
|nnovatlon Capaclty |ndex (N|C|) ls determlned not only by
the efflclency and lntenslty of lnnovatlon but also by the
scale of lt. Accordlng to the Ch|no lnnovot|on 0eveloment
keott (2009), Chlna's N|C| shot up from 6.96 ln 2000 to
l9.59 ln 2007. Thls performance was more the result of
greater lntenslty ln lnnovatlve actlvlty than a reflectlon of
lts efflclency. 8etween 2000 and 2006, Chlna experlenced
the fastest growth ln natlonal lnnovatlon capaclty of all
38 countrles under study, wlth an annual growth rate of
over l6% whlch saw lt cllmb to l7
th
place by 2006, between
|reland and Austrla. However, Chlna's N|C| stlll fell far short
of the countrles whlch topped the lndex, the USA (56.96),
1apan (36.75) and Sweden (26.63). Por thls lndlcator, Pussla
ranked 25
th
, 8razll 32
nd
, South Afrlca 33
rd
and |ndla 37
th
.
|||||A|O|A| OO|||A|O| || S
|n recent years, Chlna has expanded the scale and scope of
lnternatlonal co-operatlon conslderably. 8y the end of 2008,
Chlna had establlshed collaboratlve partnershlps ln S&T wlth
l52 countrles and reglons, and slgned l04 agreements wlth
the governments of 97 countrles and reglons (MOST, 2009o).
The Chlnese government ls paylng great attentlon to
developlng lnternatlonal co-operatlon ln order to lmprove
the country's capaclty for lnnovatlon. |n 2006, lt lssued the
Outl|ne lot the lleventh l|ve-eot Plon lot lmlement|n
lntetnot|onol 587 Cooetot|on to dlverslfy the flelds
covered by co-operatlon and lmprove the effectlveness of
these partnershlps.
|n 200l, the government launched the |nternatlonal
Sclence and Technology Co-operatlon Programme (|STCP).
The |STCP budget lncreased steadlly over the next seven
years from l00 mllllon uan to 400 mllllon uan ln 2008
(N8S and MOST, 2009). |n 200l, the Natlonal Natural
Sclence Poundatlon of Chlna created a speclal fund for
|||SO S|||| |||O| 2010
396
0
20
40
60
80
48 616
21 574
4 862
11 101
11 079
69 125
20 681
8 503
18 543
21 848
100
2001 2002 2003 2004 2005 2006 2007 2008
Total
Thousands
Field trip
Co-operative research
International conference
Others
0
20
40
60
80
100
2001 2002 2003 2004 2005 2006 2007 2008
32 472
9 484
11 078
7 698
4 212
35 201
24 664
29 507
10 583
99 955
Thousands
Figure 11: Travel by Chlnese and forelgn sclentlsts by type of pro[ect, 200l-2008
Chlnese sclentlsts golng abroad Porelgn sclentlsts travelllng to Chlna
5outce: N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence onJ 7echnoloy 2009.
lnternatlonal S&T co-operatlon, the budget of whlch had
nearly doubled by 2008 from 63.9 mllllon uan to
l44.4 mllllon uan.
Over the same seven-year perlod, the flow of forelgn
sclentlsts to Chlna exceeded the number of Chlnese
sclentlsts golng abroad, even lf the number of moblle
Chlnese sclentlsts lncreased gradually from 48 6l6 ln 200l
to 69 l25 ln 2008. A growlng number of Chlnese sclentlsts
are attendlng lnternatlonal conferences and partlclpatlng
ln lnternatlonal collaboratlve research. The number of
sclentlsts comlng to Chlna has almost trlpled from 32 472
ln 200l to 99 955 ln 2008 (Plgure ll).
|nternatlonal co-operatlon ln Chlna has gradually evolved
from personal exchanges, communlcatlons among
academlcs and the lmportatlon of technology to [olnt
research pro[ects, the [olnt establlshment of research
lnstltutlons and Chlnese partlclpatlon ln, or lnltlatlon, of
megapro[ects. Chlna has partlclpated, or ls partlclpatlng,
ln ma[or lnternatlonal pro[ects that lnclude the Luropean
Unlon's Gallleo Global Navlgatlon Satelllte System,
China
397
C
h
i
n
a
Box 6: Chinas role in an international clean energy project
First proposed in 1985, the International
Thermonuclear Experimental Reactor
(ITER) is the second-biggest inter-
national science and engineering
project after the International Space
Station.
ITER is also the most ambitious
international project in which China
has taken part so far. China began
negotiating its participation in ITER in
2003 before officially signing the ITER
Agreement in November 2006. As one
of the discretionary and independent
obligations vis--vis ITER and make full
use of the facility once construction has
been completed in 2018 or thereabouts.
ITER Director-General Kaname
Ikeda has commented that, Like other
big powers in the world, China,
realizing fully the significance of clean
energy, is actively taking part in this
ITER project, which I think is key to the
success of the project.
Source: www.iterchina.cn/;
http://news.xinhuanet.com/
For details of ITER, see page 158.
members, China will assume 9.09% of
the cost of construction and spend
over US$ 1 billion in total. Some
1 000 Chinese scientists will participate
in the ITER project.
According to the Procurement
Arrangement, China will be in charge
of developing, installing and testing
12 components, including magnet
supports, correction coils and feeders. In
February 2007, the State Council
authorized the launch of a domestic
support programme to fulfil Chinas
the Human Genome Project, the Global Earth Observation
System, the Integrated Ocean Drilling Programme and the
International Thermonuclear Experimental Reactor (Box 6).
Among programmes initiated by China, both the
International S&T Co-operation on Traditional Chinese
Medicine Programme launched in 2006 and the
International S&T Co-operation on New and Renewable
Energy Programme launched in 2007 are noteworthy.
International co-operation has produced some
remarkable results, as manifested by the rapid growth in
joint scientific publications and the rise in both patent
applications and technology trade. Chinese scientists
co-author articles mostly with their peers from the USA,
Japan, the UK, Germany, Canada and Australia. However,
co-publications are growing fastest with scientists from
Sweden and the Republic of Korea, followed by Canada,
Singapore, Australia and the USA (Figure 12).
0 5 10 15 20 25 30 35 40
USA
Sweden
Netherlands
Russia
Italy
Chinese Taipei
Rep. Korea
Singapore
France
Australia
Canada
UK
Germany
Japan
19992003
40 35 30 25 20 15 10 5 0
944
970
1 042
1 221
1 471
1 565
1 782
2 195
2 796
2 806
4 433
4 480
7 251
16 389
20042008
39 428
2 311
2 261
1 880
2 114
3 219
4 485
4 635
4 997
7 116
7 547
9 987
8 263
13 418
Figure 12: Chinas leading research partners, 19992008
Source: Adams et al. (2009) Global Research Report China: Research and Collaboration in the New Geography of Science. Thomson Reuters
|||SO S|||| |||O| 2010
398
O|||S|O|
The serles of pollcles lssued by the Chlnese government ln
the past four years for maklng Chlna an lnnovatlon-drlven
natlon by 2020 provlde a wlde spectrum of measures for
lncltlng enterprlses to lnvest more ln lnnovatlon and
woolng talented sclentlsts llvlng overseas back to serve
thelr homeland.
However, a host of barrlers stlll restraln the development
of natlonal lnnovatlon capaclty ln Chlna, especlally that of
enterprlses. Thls supposes paylng greater attentlon to the
three followlng factors ln promotlng the development of
ST|:
I l|tstly, the lnnovatlon rlsk of enterprlses needs to
be shared vla lncentlve pollcles and the development
of publlc lnfrastructure to support lnnovatlon.
|n parallel, lt should be made dlfflcult for enterprlses
to generate enormous proflts wlthout lnvestlng
masslvely ln lnnovatlon.
I 5econJly, systematlc lnnovatlon and the exploratlon of
emerglng technology must be supported so that
breakthroughs become commonplace and Chlnese
lndustry ls able to leapfrog over leadlng or emerglng
lndustrles elsewhere.
I 7h|tJly, the government should contlnually lncrease
lnvestment ln lnnovatlon and shape favourable market
demands for technology, ln order to stlmulate the flow
of lnnovatlve talents from unlversltles and research
lnstltutes to enterprlses.
||||||||S
Adams, 1., Klng, C., Ma, N. (2009) Cloool keseotch keott
Ch|no: keseotch onJ Colloootot|on |n the New Ceotohy
ol 5c|ence. Thomson Peuters. Avallable at:
http://researchanalytlcs.thomsonreuters.com/m/pdfs/
grr-chlna-nov09.pdf
CAS (2009) Ch|no lnnovot|on 0eveloment keott. Center
for |nnovatlon and Development. Chlnese Academy of
Sclences. Sclence Press, 8el[lng.
CCCPC and State Councll (2006) 0ec|s|on on lmlement|n
the Outl|ne ol 5c|ence onJ 7echnoloy Plon w|th o v|ew to
5ttenthen|n lnJoenous lnnovot|on Cooc|ty,
26 1anuary 2006. Central Commlttee of the Communlst
Party of Chlna and the State Councll.
CCCPC (l985) 0ec|s|on on kelotm|n the 5c|ence onJ
7echnoloy 5ystem No. 6. Central Commlttee of the
Communlst Party of Chlna.
Chlnese Academy of Sclences (20l0) l|h 7echnoloy
0eveloment keott 2010. Sclence Press, 8el[lng.
|MP (20l0) wotlJ lconom|c Outlool: keoolonc|n Ctowth.
|nternatlonal Monetary Pund, Aprll. washlngton DC.
MOST (2009o) Ch|nos och|evements |n 587 |n the ost
60 yeots. Mlnlstry of Sclence and Technology. Avallable
at: www.xlnhuanet.com/zhlbo/200909l7/zhlbo.htm
(2009o) Annuol keott ol the 5tote Ptotoms ol 5c|ence
onJ 7echnoloy 0eveloment.
(2007o) The detalled rules for lmplementlng natlonal
S&T programs to support the development of
technology standards. Cuolelo 1|Z|, No. 24.
(2007o) The tentatlve measures for strengthenlng
the cultlvatlon of lnnovatlon talents ln the process of
lmplementatlon of slgnlflcant pro[ect. Cuolelo 1|z|,
No. 2.
N8S (20l0) Ch|no 5tot|st|col eotoool 2009. Natlonal
8ureau of Statlstlcs. Chlna Statlstlcs Press, 8el[lng.
N8S and MOST (20l0) Ch|no 5tot|st|col eotoool on 5c|ence
onJ 7echnoloy 2009. Natlonal 8ureau of Statlstlcs and
Mlnlstry of Sclence and Technology. Chlna Statlstlcs
Press, 8el[lng.
||r.
399
N8S, NDPC and MOST (2009) Ch|no 5tot|st|cs eotoool on
l|h 7echnoloy lnJustty. Natlonal 8ureau of Statlstlcs,
Natlonal Development and Peform Commlsslon and
Mlnlstry of Sclence and Technology. Chlna Statlstlcs
Press, 8el[lng.
(2008) Ch|no 5tot|st|cs eotoool on l|h 7echnoloy
lnJustty. Natlonal 8ureau of Statlstlcs, Natlonal
Development and Peform Commlsslon, and Mlnlstry
of Sclence and Technology. Chlna Statlstlcs Press,
8el[lng.
OLCD (2009) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots.
volume 2009/l. Organlsatlon for Lconomlc
Co-operatlon and Development, Parls.
(2008) OLCD kev|ews ol lnnovot|on Pol|cy: Ch|no.
Oton|sot|on lot lconom|c Co-oetot|on onJ
0eveloment, Pot|s.
State Admlnlstratlon of Porelgn Lxchange (20l0) Ch|no
lntetnot|onol 8olonce 5heet 2008. Avallable at:
www.safe.gov.cn/
State Councll (2007) Clrcular of the State Councll on
statlstlcs, monltorlng and evaluatlon methods of
energy savlng and emlsslon reductlon. Cuolo, No. 36.
December 2007.
(2006) Clrcular of the State Councll on Some
supportlve pollcles for lmplementlng the Outllne of
Medlum- and Long-term Plan for Natlonal Sclence and
Technology Development (2006-2020). Guofa, No.6.
Pebruary 2006.
(2000) Not|ce on Pt|nt|n onJ 0|stt|out|n Pol|c|es lot
lncouto|n 0eveloment ol 5oltwote onJ lntetoteJ
C|tcu|t lnJustty oy the 5tote Counc|l.
(l996) 0ec|s|on on 0eeen|n the kelotm ol 5c|ence
onJ 7echnoloy 5ystem 0ut|n the Pet|oJ ol the N|nth
l|ve-eot Plon, l5 September l996.
The General Offlce of the State Councll (2007), The ll
th
flve-year natlonal plan for capaclty-bulldlng of
endogenous lnnovatlon. Cuooonlo, No.7.
wen 1labao (20l0) keott on the wotl ol the Covetnment.
Dellvered at the Thlrd Sesslon of the Lleventh Natlonal
People's Congress, 5 March 20l0.
world 8ank (20l0) l|h-technoloy lxotts.
Avallable at: http://data.worldbank.org
Mu Rongping was born ln l960 ln the clty of Hefel
ln Anhul Provlnce. He recelved hls 8Sc and MSc
degrees from the Unlverslty of Sclence and
Technology of Chlna and hls PhD degree from the
Technlsche Unlversltat 8erlln ln Germany.
Dr Mu has been worklng at the |nstltute of Pollcy
and Management (|PM) under the Chlnese Academy
of Sclences (CAS) slnce l990. He ls currently
Dlrector-General and Professor at |PM. He ls also
Dlrector of the CAS Center for |nnovatlon and
Development and the Ldltor-ln-Chlef of the 1outnol
ol 5c|ence keseotch Vonoement, an academlc
blmonthly publlshed by CAS/|PM.
Dr Mu ls vlce-Presldent and Secretary-General of the
Chlna Hlgh-tech |ndustry Promotlon Soclety (CH|PS)
and vlce-Presldent of the Chlnese Assoclatlon for
the Sclence of Sclence and Sclence and Technology
Pollcy Pesearch.
C
h
l
n
a
\|bS||S
Chlnese Academy of Sclences: http://engllsh.cas.cn/
|nternatlonal co-operatlon ln S&T (ln Lngllsh):
www.clstc.gov.cn/engllshverslon/
Mlnlstry of Sclence and Technology (ln Lngllsh):
www.most.gov.cn/eng/lndex.htm
Natlonal Development and Peform Commlsslon:
http://en.ndrc.gov.cn/
Natlonal Natural Sclence Poundatlon:
www.nsfc.gov.cn/Portal0/defaultl06.htm
Supportlve pollcles and pollcy documents for Outl|ne ol
VeJ|um- onJ lon-7etm Plon lot Not|onol 5c|ence onJ
7echnoloy 0eveloment (2006-2020:
www.gov.cn/ztzl/k[fzgh/
whethet 1oonese monuloctutets con
teto|n the|t un|que sttenths w|ll oe o
v|tol quest|on lot the lutute ol
1oonese |nJustty.
asushl Sato
Japan chapter [8] [P3]:Layout 1 18/10/10 19:53 Page 400
19
.
1apan
+.sJs|| S.tc
40l
|||O|||O|
1apan's soclo-economlc system underwent a ma[or structural
reform ln the flrst decade of the 2l
st
century. The top prlorlty
for the natlon at the turn of the century was to recover from
the prolonged economlc dlstress caused by the collapse of
the 'bubble economy' ln the l990s. |n an effort to regaln lts
lndustrlal vlgour ln an lncreaslngly competltlve global
envlronment, 1apan opted for small government. 8y
streamllnlng the publlc sector and promotlng market
competltlon, lt sought to rebulld lts economlc strength.
The central flgure ln the reform was 1unlchlro Kolzuml,
Prlme Mlnlster of 1apan from 200l to 2006. 8acked by
strong publlc support, Kolzuml made bold pollcy moves.
Plrst and foremost, hls Cablnet accelerated the dlsposal of
the huge bad debts that 1apanese banks had accumulated
ln the l990s, by supplylng them wlth taxpayers' money.
Thls lnltlatlve actually succeeded ln mendlng 1apan's
flnanclal system. Other factors, such as near-zero lnterest
rates, depreclatlon of the yen (whlch favours 1apan's export
lndustry) and expanslon of the forelgn economy, also
contrlbuted to a gradual, yet sustalned recovery of 1apan's
economy. |n Pebruary 2002, 1apan entered a perlod of
economlc upturn whlch lasted untll October 2007.
1apan would not escape the global recesslon, however.
The flnanclal crlsls trlggered by the upset of the US
flnanclal market, along wlth the rlslng prlces of oll and
other natural resources, has serlously affected 1apan's
economy: 1apan's real GDP growth, whlch had hovered
around 2% from 2003 to 2007, plunged below zero ln
2008.
l
The world's largest automoblle manufacturer,
Toyota, whlch ln 2007 had made lts blggest proflt ever,
suddenly found ltself ln the red ln 2008. A number of ma[or
companles flled for bankruptcy and the unemployment
rate rose from 3.9% ln 2007 to over 5% ln 2009.
Apart from thls acute crlsls, 1apan's economy faces more
fundamental, long-term challenges. |n the past 20 years and
partlcularly durlng the second half of the l990s, the 1apanese
government has spent extravagantly on publlc works to
stlmulate the economy. As a result, government debt has
soared to the polnt where lt easlly exceeds annual GDP.
|n addltlon, the cost of soclal securlty has been rlslng rapldly
because of the steady growth ln the aged populatlon
2
(Table l). Thls crltlcal flscal sltuatlon ls becomlng a serlous
hlndrance to pollcy plannlng and lmplementatlon ln 1apan.
Today, 1apan ls struggllng to ldentlfy the rlght approach to
cope wlth these lmpendlng and long-term problems. The
reform promoted by Kolzuml temporarlly buoyed 1apan's
economy but lt also brought about grave soclal changes.
whereas large corporatlons have beneflted from the
deregulatlon of labour pollcles, many young people are
dlscoverlng employment lnsecurlty. |ncome dlsparltles are
growlng, erodlng the stable consumptlon capaclty of the
large mlddle class that has long characterlzed 1apanese
soclety. The Kolzuml reform has also magnlfled dlsparltles
between large cltles llke Tokyo and rural areas, whlch now
suffer from depopulatlon and agelng.
Slnce Kolzuml reslgned ln 2006, 1apan's prlme mlnlster
has changed often, leavlng 1apanese pollcy-makers stlll
searchlng for the rlght pollcy dlrectlon.
Addlng to the uncertalnty has been the surprlse
oustlng of the Llberal Democratlc Party ln the electlons
of August 2009, after half a century of nearly unbroken
rule. The new 1apanese Prlme Mlnlster uklo Hatoyama
of the Democratlc Party vowed to radlcally change how
the country was run, declarlng an end to bureaucratlc
control over pollcy-maklng. However, Hatoyama's polltlcal
and dlplomatlc lnexperlence led to hls reslgnatlon ln 1une
20l0. The formldable array of polltlcal and economlc
problems faclng 1apan were thus passed on to the new
Prlme Mlnlster Naoto Kan.
|n thls perlod of uncertalnty, however, there ls a flrm
consensus among 1apanese polltlclans, bureaucrats and
lndustrlallsts on the cardlnal lmportance of sclence and
technology (S&T) and the need to foster lnnovatlon.
They all conslder that the survlval and prosperlty of 1apan,
a country lacklng ln natural resources and now faclng a
shrlnklng labour force, crltlcally depends on lts capacltles
ln S&T. Lven ln today's extremely tlght flscal sltuatlon,
S&T recelves a hlgh prlorlty ln the natlon's publlc spendlng.
At the same tlme, shaplng effectlve S&T and lnnovatlon
pollcles has cllmbed to the top of the natlonal agenda.
1
a
p
a
n
l. Accordlng to the |nternatlonal Monetary Pund's forecast publlshed ln
October 2009, 1apan's economy contracted by 5.4% ln 2009 and would
achleve only l.7% growth ln 20l0.
2. The Unlted Natlons estlmates that those aged over 60 years wlll
represent 3l% of the 1apanese populatlon by 2020.
Solar and wlnd
energy used to
power street
llghtlng ln Tokyo.
Thls locallsed
power generatlon
ls belng used
wldely
Photo:
7 l|muto/
|5toclhoto
|||SO S|||| |||O| 2010
|O||+ ||\||O|V||
The 5IJSE#BTJD1MBO for S&T
|n 1apan, lt ls the Councll for Sclence and Technology Pollcy
(CSTP) whlch draws up the 5c|ence onJ 7echnoloy 8os|c
Plon, the most fundamental document on S&T pollcy ln
1apan. The Sclence and Technology 8aslc Law (l995)
stlpulated that the government should formulate such a
plan every flve years. The one currently ln effect ls the 7h|tJ
5c|ence onJ 7echnoloy 8os|c Plon, lssued ln 2006 to cover
the flscal years 2006-20l0. |t ls a comprehenslve
programme for the promotlon of S&T ln 1apan, deallng wlth
such lssues as government fundlng, development of human
resources, unlverslty-lndustry collaboratlon and so on.
The 7h|tJ 5c|ence onJ 7echnoloy 8os|c Plon has lnherlted
some key pollcles from lts predecessor lssued ln 200l. 8oth
plans pledged to promote baslc research on a broad front,
whlle settlng dlfferentlated prlorltles for research and
development (P&D) correspondlng to natlonal and soclal
needs, both prlorltlzed fundlng for four areas (llfe sclences,
lnformatlon/telecommunlcatlons, envlronmental sclences
and nanotechnology/materlals sclence) over four others
(energy, manufacturlng technology, soclal lnfrastructure
and frontler exploratlon |oceans and space|). 8oth plans
also speclfled the amount of necessary government
fundlng for P&D, the 5econJ 8os|c Plon called for 24 trllllon
yen (PPP US$ l85 mllllon) for flscal years 200l-2005 and
the 7h|tJ 8os|c Plon for 25 trllllon yen (PPP US$ l93 mllllon)
for 2006-20l0. The actual spendlng for 200l-2005 was
2l trllllon yen (PPP US$ l62 mllllon), however, that for
2006-20l0 ls also expected to fall short of the target.
wlth regard to the development of human resources,
both 8os|c Plons have hlghllghted the need to lncrease
the moblllty of researchers and promote the actlvltles of
young, female and forelgn researchers.
402
The 7h|tJ 8os|c Plon dld contaln some new pollcy
lnltlatlves, however. whlle lt granted fundlng prlorltles to
the same four areas as the 5econJ 8os|c Plon, lt also
lntroduced such new concepts as 'a crltlcal P&D toplc',
'strateglc prlorltlzed S&T' and 'key technology of natlonal
lmportance,' for the purpose of detalled prlorltlzlng. Then,
ln a separate pollcy document, CSTP speclfled 273 'crltlcal
P&D toplcs', from whlch lt selected 62 under the category
of 'strateglc prlorltlzed S&T'. CSTP also speclfled flve 'key
technologles of natlonal lmportance' requlrlng focused
fundlng: the next-generatlon supercomputer, the space
transportatlon system, the marlne-Larth observatlon and
exploratlon system, fast-breeder reactor-cycle technology
and the X-ray free electron laser. Thus, the 7h|tJ 8os|c Plon
created an elaborate framework for focused P&D lnvestment.
Another key feature of the 7h|tJ 8os|c Plon has been the
heavy emphasls on returnlng the frults of P&D to
taxpayers through lnnovatlon. Por that purpose, the plan
called for the further expanslon and reflnement of
competltlve P&D funds, actlve support for hlgh-rlsk
research and lnnovatlve P&D, and closer collaboratlon
between unlversltles, lndustry and government.
The plan also polnted to the goal of 'enhanclng the
competltlveness of unlversltles', envlslonlng 1apanese
unlversltles as leadlng the world ln S&T and attractlng
forelgn scholars and students.
These baslc pollcles materlallzed ln some new fundlng
programmes. |n 2006, the programme for the Creatlon of
|nnovatlon Centres for Advanced |nterdlsclpllnary
Pesearch was launched to bulld human and lnstltutlonal
P&D capacltles through close co-operatlon between
unlversltles, lndustry and government. |n 2007, the Global
Centres of Lxcellence Programme succeeded the 2l
st
Century Centres of Lxcellence Programme to provlde
l50 centres of excellence wlth support for flve years.
Table 1: Soclo-economlc lndlcators for 1apan, 2003 and 2008
Year Real GDP Government debt Population Aged dependency
growth (%) per GDP (%)* (millions) ratio (%) **
2003 l.4 l58.0 l27.7 28.5
2008 -0.7 l72.l l27.7 34.3
` general government gross flnanclal llabllltles
`` thls ratlo ls calculated by dlvldlng the number of those aged 65 years and more by the number of those aged l5-64 then multlplylng thls flgure by l00
5outce: Lconomlc and Soclal Pesearch |nstltute, Cablnet Offlce, System of Natlonal Accounts, OLCD (2009) lconom|c Outlool No. 85, Statlstlcs 8ureau, Mlnlstry
of |nternal Affalrs and Communlcatlons (2009) 1oon 5tot|st|col eotoool 2009
'.p.r
403
The same year, the world Premler |nternatlonal Pesearch
Centre |nltlatlve was launched to focus lnvestment on [ust
flve lnstltutlons to make them truly promlnent research
centres wlth hlgh vlslblllty ln the lnternatlonal communlty.
These flve lnstltutlons are the: Advanced |nstltute for
Materlals Pesearch at Tohoku Unlverslty, |nstltute for the
Physlcs and Mathematlcs of the Unlverse at the Unlverslty
of Tokyo, |nstltute for |ntegrated Cell-Materlal Sclences at
Kyoto Unlverslty, |mmunology Prontler Pesearch Centre at
Osaka Unlverslty, and the |nternatlonal Centre for
Materlals Nanoarchltectonlcs at the Natlonal |nstltute for
Materlals Sclence.
As a whole, the 7h|tJ 8os|c Plon reflected the global trends
encoded ln the 5c|ence AenJo - ltomewotl lot Act|on,
adopted by governments at the world Conference on
Sclence ln 8udapest, Hungary, ln l999. As the 5c|ence
AenJo called for a closer partnershlp between sclence and
soclety, the 7h|tJ 8os|c Plon made a commltment to 'S&T
supported by soclety and people, and returnlng frults to
them'. The Plon also adopted baslc stances that are
conslstent wlth the 5c|ence AenJo, such as the promotlon
of lnternatlonal collaboratlon and the bulldlng-up of
human resources. Such prlnclples structure 1apan's S&T
pollcles today.
Promoting innovation
|n keeplng wlth the 7h|tJ 8os|c Plon's pollcy of promotlng
lnnovatlon, the 1apanese government has taken a wlde
range of measures. |n October 2006, the Cablnet Offlce
establlshed a commlttee to dellberate on a long-term
strategy dubbed lnnovot|on 25. Authorlzed by the Cablnet ln
1une 2007, thls strategy envlsloned what 1apanese soclety
would look llke ln 2025 and produced a roadmap of the
lnnovatlon needed to reallze thls vlslon. Meanwhlle, the
Mlnlstry of Lconomy, Trade and |ndustry (MLT|) launched
the |nnovatlon Superhlghway |nltlatlve ln 2006, thls scheme
set out to accelerate lnnovatlon through transdlsclpllnary
P&D, a smooth flow of knowledge between the P&D slde of
product development and the market slde, and close
collaboratlon among lndustry, unlversltles and government.
Thls lnltlatlve led to an amendment of the |ndustrlal
Technology Capablllty Lnhancement Act ln 2007, whlch
now mandates the government to relnforce the natlon's
capablllty ln technology management.
Some parllamentarlans are also greatly concerned wlth
promotlng lnnovatlon. |n 1une 2008, the 1apanese
parllament, the Dlet, passed the Pesearch and Development
Capablllty Lnhanclng Act. |n 1apan, most new bllls are
lntroduced to the Dlet by the relevant mlnlstrles, ln the case
of thls partlcular blll, lt was drafted by parllamentarlans, llke
the Sclence and Technology 8aslc Law of l995. On the
whole, lts content was conslstent wlth the pollcles
presented ln the 7h|tJ 5c|ence onJ 7echnoloy 8os|c Plon:
lmprovlng sclence educatlon, fosterlng the moblllty of
researchers, harnesslng the capabllltles of young, female
and forelgn researchers, promotlng lnternatlonal
collaboratlon and exchanges, allocatlng P&D funds
strateglcally, augmentlng the flexlblllty of flscal regulatlons
and so on. The overall alm of the Act was to shape an
efflclent P&D system that would constantly generate
lnnovatlon. Parllamentarlans have also taken lnltlatlves ln
speclflc S&T areas. The Aerospace 8aslc Act passed ln May
2008 called for a new reglme to shape strategles for 1apan's
space actlvltles, urglng a shlft ln the focus of 1apan's space
efforts from the development of new technologles et se to
uslng these technologles for the sake of soclety. Space
technologles can be used for envlronmental monltorlng, for
dlsaster preventlon vla hazard mapplng and monltorlng of
earthquakes and volcanoes, for telecommunlcatlons, global
posltlonlng and so on.
The promotlon of lnnovatlon ls a global trend but lt takes
on speclal slgnlflcance ln the context of 1apanese
lndustrlal pollcy. 1apanese manufacturers have
tradltlonally excelled ln steadlly lmprovlng productlon
processes and accumulatlng productlon know-how wlthln
thelr organlzatlons, ultlmately achlevlng a hlgh
performance and quallty at competltlve costs. 8ut thls
1apanese model ls loslng lts effectlveness ln many
lndustrlal flelds, as Chlna, the Pepubllc of Korea and other
natlons wlth gross advantages ln terms of labour costs
emerge as tough competltors. Under such clrcumstances,
1apanese manufacturers have come to belleve that they
must constantly lnnovate to survlve ln the global market.
|n short, they are experlenclng a fundamental shlft ln the
premlse of thelr enterprlses.
One can see some clear slgns of change ln 1apan's
lnnovatlon system. Por example, collaboratlon between
unlversltles and lndustry has greatly expanded ln recent
years. The number and scale of [olnt research pro[ects and
contract research pro[ects between the two sectors more
than doubled ln the perlod 2002-2007. As we shall see
later, the number of patent llcenses and transfers from
unlversltles to lndustry has also lncreased dramatlcally.
On the other hand, the number of new unlverslty
1
a
p
a
n
|||SO S|||| |||O| 2010
start-ups has begun to drop after peaklng at 245 ln 2004,
venture capltallsts are becomlng less wllllng to lnvest ln
new start-ups. Also, many unlverslty start-ups are faclng
flnanclal dlfflcultles, desplte multlfaceted support from
the government. Unlverslty-lndustry collaboratlon wlll
contlnue to be a key lssue ln the reform of 1apan's
lnnovatlon system (Table 2).
Reforming universities: a sector under intense pressure
Currently, unlversltles ln 1apan are under lntense pressure
to change thelr mode of operatlon. |n 2004, all natlonal
unlversltles ln 1apan were seml-prlvatlzed and transformed
lnto 'natlonal unlverslty corporatlons'. whlle these
unlversltles stlll recelve taxpayers' money, they have
adopted new accountlng systems lncorporatlng corporate
accountlng prlnclples. They have strengthened thelr lnternal
governance by augmentlng the authorlty of thelr
presldents, by settlng up boards of dlrectors whose
membershlp lncludes some members selected from beyond
the unlverslty walls and by sub[ectlng themselves to a
system of external evaluatlon. Many regulatlons have been
abollshed and both faculty and staff have lost thelr status as
publlc servants. Thls reform has lncreased the flnanclal
autonomy and flexlblllty of natlonal unlversltles, as well as
that of thelr personnel, thereby encouraglng unlverslty-
lndustry collaboratlon. |t was also ln llne wlth 1apan's
natlonal effort to promote lnnovatlon and, more generally,
wlth the natlon's fundamental pollcy of streamllnlng the
publlc sector and reallzlng small government.
|n polnt of fact, however, many natlonal unlverslty
corporatlons are now faclng flnanclal dlfflcultles. |n the
tlght flscal sltuatlon of recent years, the government has
begun cuttlng back the amount of money regularly
allocated for thelr operatlng costs by l% each year. As
these unlversltles rely on thls fundlng source for nearly
half of thelr total lncome, thls pollcy has dealt them a
severe blow. They have been expected to make up the
404
dlfference by collectlng more donatlons and obtalnlng
more P&D funds but only a small number have actually
been able to make up the loss. whlle powerful unlversltles
such as the Unlverslty of Tokyo and Kyoto Unlverslty now
prosper, thanks to a deluge of competltlve funds, others
have slowed the pace at whlch they hlre new faculty and
are spendlng less on P&D.
The amount of government subsldles for prlvate
unlversltles also began to decrease ln 2007. wlth the
l8-year-old populatlon shrlnklng ln 1apan, many prlvate
unlversltles wlll be forced to close down or merge wlth
one other. The academlc sector as a whole ls deeply
concerned about all of these trends and pollcy-makers
themselves are now re-examlnlng the proper balance
between regular and competltlve fundlng.
International co-operation: using S&T for soft power
CSTP has always stressed the lmportance of lnternatlonal
co-operatlon ln S&T but, ln the past few years, lt has gone
a step farther. After calllng for the 'strateglc promotlon of
lnternatlonal actlvltles' ln the 7h|tJ 8os|c Plon, CSTP lssued
7owotJs the ke|nlotcement ol 5c|ence onJ 7echnoloy
0|lomocy ln May 2008. |n thls document, CSTP proposes
a new ratlonale for lnternatlonal actlvltles: llnklng S&T and
dlplomacy. |n other words, lt proposes enhanclng 1apan's
'soft power' by actlvely utlllzlng lts capaclty ln S&T to help
resolve global lssues and carry out co-operatlve
programmes wlth other countrles. Thus, the ldea of 'S&T
dlplomacy' reflects 1apan's natlonal lnterests - but also
espouses the ldeals set out ln the 5c|ence AenJo adopted
ln 8udapest ln l999 to use S&T for the welfare of
humanklnd. Ultlmately, the goal of S&T dlplomacy ls to
contrlbute to the world's sustalnable development and
construct mutually beneflclal relatlonshlps wlth partners.
To materlallze the concept of S&T dlplomacy, relevant
mlnlstrles have begun deslgnlng new frameworks for
Table 2: Collaboratlon between unlversltles and lndustry ln 1apan, 2002 and 2007
Year Number of Amount of money Number of Amount of money Number
joint research received by universities contract received by universities of new
projects in joint research research in contract research university
projects (yen millions) projects projects (yen millions) start-ups
2002 6 767 l5 773 6 584 40 6l8 l90
2007 l6 2ll 40 l26 l8 525 l60 745 l3l
5outce: MLXT (2008) 7he 5totus ol un|vets|ty-lnJustty Colloootot|on |n l|nonc|ol eot 2007, N|STLP (2008o) 5utvey ol the Ptesent 5totus onJ Ptoolems ol
un|vets|ty 5tott-us |n l|nonc|ol eot 2007
'.p.r
405
lnternatlonal co-operatlon. |n 2008, the Mlnlstry of
Lducatlon, Culture, Sports, Sclence and Technology
(MLXT) and the Mlnlstry of Porelgn Affalrs (MoPA)
launched a [olnt programme called the Sclence and
Technology Pesearch Partnershlp for Sustalnable
Development. Under thls scheme, researchers from 1apan
and developlng countrles co-operate to tackle problems
ln such areas as envlronment, energy, natural dlsasters
and lnfectlous dlseases. These mlnlstrles have also
launched a programme to send 1apanese researchers to
developlng countrles. |n order to expand the reach of
lnternatlonal co-operatlon ln S&T, 1apan ls now actlvely
partlclpatlng ln dlalogue wlth Aslan and Afrlcan countrles
ln a varlety of hlgh-level meetlngs.
|| ||||
Rising R&D expenditure
1apan's gross domestlc expendlture on P&D (GLPD)
cllmbed steadlly between 2002 and 2007. Thls reflects the
economlc upturn of the perlod and the growlng
awareness by 1apanese flrms of the crltlcal role P&D plays
ln thelr competltlveness. As a result, 1apan's GLPD/GDP
ratlo, whlch had long been hlgh by lnternatlonal
standards, cllmbed even hlgher to 3.67% ln 2007.
A drop in government funding
|n parallel, government expendlture on P&D decreased
over the same perlod. Thls ls largely due to fluctuatlng
extraordlnary spendlng: the Dlet frequently approved
large supplementary budgets around the turn of the
century to stlmulate the lagglng economy but such extra
spendlng became modest after 2003. Nevertheless, regular
government spendlng on P&D, whlch had conslstently
rlsen up untll the turn of the century, has certalnly stopped
growlng ln recent years, reflectlng the natlon's lncreaslngly
tlght flscal sltuatlon. As a result, 1apan ls becomlng more
and more dependent on P&D fundlng from the prlvate
sector (Plgures l and 2).
As regards the focus of government spendlng on P&D, the
5econJ and 7h|tJ 5c|ence onJ 7echnoloy 8os|c Plons stated
that baslc research should be steadlly promoted ln all areas
1
a
p
a
n
0
5
10
15
20
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
GERD 2002
(trillion yen)
GERD/GDP
ratio
2002 (%)
GERD/GDP
ratio
2007 (%)
GERD 2007
(trillion yen)
Total GERD
Share of government expenditure on R&D
16 675
18 944
3.40
3.67
3 453 3 306 0.70 0.64
Figure 1: GLPD and government P&D expendlture
ln 1apan, 2002 and 2007
Central and local governments
Private universities and colleges
Business enterprises
Non-prot institutions
Foreign countries
Public organizations
Universities and colleges
8y soutce ol lunJs 8y etlotm|n sectot
9.0
20.7
69.3 69.4
0.7
0.4
19.7
8.9
2.0
8.5
17.5
73.0 73.0
0.7
0.3
18.1
7.3
1.6
2002 2002
2007 2007
Figure 2: GLPD ln 1apan by performlng sector and
source of funds, 2002 and 2007 (%)
5outce: MLXT (2009c) lnJ|cotots ol 5c|ence onJ 7echnoloy 5outce: MLXT (2009c) lnJ|cotots ol 5c|ence onJ 7echnoloy
|||SO S|||| |||O| 2010
of S&T, whlle speclfylng four prlorlty areas that responded
to the needs of the natlon and soclety. As we have seen
above, these areas are the llfe sclences, lnformatlon/
telecommunlcatlons, envlronmental sclences and
nanotechnology/materlals sclence. Thls pollcy has been
steadlly reflected ln the actual spendlng pattern. The ratlo
of baslc research fundlng to total government P&D fundlng
has rlsen from 39.6% (2002) to 42.3% (2007). Over the same
perlod, spendlng for non-baslc research has decreased and
lts allocatlon pattern has changed. The four hlgh prlorlty
areas have seen thelr shares rlse to the detrlment of two of
the other four areas: energy and frontler exploratlon.
A gradual cutback ln spendlng on both nuclear power
development and space development has contrlbuted to
thls trend. Overall, a 'macroshlft' ls evldent ln the allocatlon
of government P&D fundlng ln 1apan (Plgure 3).
406
Rapid growth in competitive funds
Another lmportant change ln the structure of government
P&D fundlng ls the rapld growth ln the number and slze of
competltlve funds, allocated on the basls of merlt. The
total amount of competltlve P&D funds lncreased from
344 bllllon yen ln 2002 to 477 bllllon yen ln 2007. Many
new funds were lnstltuted by MLXT, MLT| and other
mlnlstrles to cover varlous types of P&D actlvltles. The
largest competltlve fund ln 1apan, the Grants-ln-Ald for
Academlc Pesearch, grew from l70 to l9l bllllon yen over
thls flve-year perlod, the fund ls admlnlstered by MLXT
and the 1apanese Soclety for the Promotlon of Sclence.
Thls expanslon ln competltlve fundlng reflects CSTP's
lntentlon to render 1apan's P&D envlronment more
vlgorous and competltlve. CSTP has also adopted a pollcy
Life sciences
Information / telecommunications
Environmental sciences
Nanotechnology / materials science
Energy
Manufacturing technology
Social infrastructure
Frontier exploration
2002
16.8
8.9
5.2
3.1
37.3
0.6
12.6
15.5
18.5
9.9
7.5
4.6
29.7
1.9
14.4
13.4
2007
7otol: 757 339
7otol: 827 291
431 190
(56.9%)
483 728
(58.5%)
281 304
(37.1%)
302 492
(36.6%)
33 891
(4.5%)
32 705
(4.0%)
10 954
(1.4%)
8 366
(1.0%)
2003
2008
Public organizations
Universities and colleges
Figure 3: Government spendlng on P&D by ma[or
flelds of sclence, 2002 and 2007 (%)
lxcluJes oos|c teseotch
5outce : Materlals presented by MLXT before CSTP's Lxpert Panel on
8aslc Pollcy Promotlon, l8 March 2009
Figure 4: Numbers of researchers ln 1apan,
2003 and 2008
5outce: MLXT (2009c) lnJ|cotots ol 5c|ence onJ 7echnoloy
'.p.r
407
1
a
p
a
n
of lncreaslng the proportlon of lndlrect costs ln
competltlve P&D funds to stlmulate competltlon between
unlversltles. |n fact, the ratlo of lndlrect costs to dlrect
costs ln all competltlve P&D funds grew from 7.7% ln 2002
to l7.9% ln 2007. Now, many unlversltles see lndlrect costs
as a slgnlflcant source of revenue and are encouraglng
thelr faculty to apply for competltlve P&D funds.
A growing pool of researchers
There were 827 29l researchers ln 1apan ln 2008, an
lncrease of 9.2% slnce 2003 (Plgure 4). Most of thls lncrease
has been borne by the lndustrlal sector, although
unlversltles and colleges have also taken on faculty. The
number of researchers per l0 000 populatlon ln 1apan ln
2008 was 64.8, one of the hlghest proportlons ln the world.
Any lnternatlonal comparlson for thls lndlcator should
lnsplre cautlon, however, slnce the method of countlng
researchers varles greatly from one country to another.
The number of female researchers ln 1apan has been growlng
steadlly but ls stlll low compared to other countrles.
|n the 7h|tJ 8os|c Plon, CSTP stated that one ln four researchers
ln 1apan should be female. The government has taken varlous
measures to move towards thls goal. Por example, a
fellowshlp was created for female researchers wlshlng to
resume research actlvltles after glvlng blrth and ralslng
chlldren. However, the actual ratlo has only grown from ll.2%
(2003) to l3.0% (2008). Slmllarly, the proportlon of forelgn
researchers ln 1apan has remalned modest. |n 2008, [ust 3.5%
of unlverslty faculty members were forelgn-born.
Decreasing numbers of doctoral students
The tralnlng of researchers ln 1apan ls now at a crossroads.
whereas the l8-year-old populatlon ln 1apan has been
decllnlng slnce the early l990s, enrollment ln hlgher
educatlon has only talled off recently after progresslng
steadlly untll 2002. Slnce 2003, enrollment at the
bachelor's level has stagnated and, at the doctoral level,
has begun a falrly rapld decllne. Thus, from the perspectlve
of 1apan's S&T capaclty, the problem of a shrlnklng
younger generatlon has entered a crltlcal phase (Plgure 5).
The recent decllne ln the number of doctoral students ls a
manlfestatlon of a crlsls ln human resources ln S&T. There
was a great expanslon ln graduate educatlon ln 1apan ln the
l990s, ln response to the expectatlon that demand for
hlghly educated talents would grow ln the emerglng
knowledge soclety. |n reallty, no such demand has
eventuated ln the academlc, publlc or prlvate sectors,
Enrollment
Graduation
Bachelors degree
0
100
200
300
400
500
600
700
800
1
9
9
9

2
0
0
0

2
0
0
1

2
0
0
2

2
0
0
3

2
0
0
4

2
0
0
5

2
0
0
6

2
0
0
7

2
0
0
8

Masters degree*
0
20
40
60
80
100
1
9
9
9

2
0
0
0

2
0
0
1

2
0
0
2

2
0
0
3

2
0
0
4

2
0
0
5

2
0
0
6

2
0
0
7

2
0
0
8

Doctoral degree
0
5
10
15
20
1
9
9
9

2
0
0
0

2
0
0
1

2
0
0
2

2
0
0
3

2
0
0
4

2
0
0
5

2
0
0
6

2
0
0
7

2
0
0
8

5
8
9

5
5
9

5
9
9

6
5
5

6
0
3

9
5
3

6
0
9

3
3
7

6
0
4

7
8
5

5
9
8

3
3
1

6
0
3

7
6
0

6
0
3

0
5
4

6
1
3

6
1
3

6
0
7

1
5
9

5
3
2

4
3
6

5
3
8

6
8
3

5
4
5

5
1
2

5
4
7

7
1
1

5
4
4

8
9
4

5
4
8

8
9
7

5
5
1

0
1
6

5
5
8

1
8
4

5
5
9

0
9
0

5
5
5

6
9
0

6
5

3
8
2

7
0

3
3
6

7
2

5
6
1

7
3

6
3
6

7
6

2
7
0

8
3

9
8
0

8
3

5
2
6

8
6

7
5
0

8
6

5
1
0

8
6

8
6
4

5
2

8
5
0

5
6

0
3
8

6
0

6
3
5

6
5

2
7
5

6
7

4
1
2

6
9

1
6
3

7
2

0
8
9

7
6

0
5
5

8
0

7
7
0

8
1

9
1
5

1
6

2
7
6

1
7

0
2
3

1
7

1
2
8

1
7

2
3
4

1
8

2
3
2

1
7

9
9
4

1
7

5
5
3

1
7

1
3
1

1
6

9
2
6

1
6

2
7
1

1
2

1
9
2

1
2

3
7
5

1
3

1
7
9

1
3

6
4
2

1
4

5
1
2

1
5

1
6
0

1
5

2
8
6

1
5

9
7
3

1
6

8
0
1

1
6

2
8
1

Thousands
Thousands
Thousands
Figure 5: Trends ln enrollment and graduatlon ln
hlgher educatlon ln 1apan, l999-2008
` |ncludes Professlonal Degree Courses, whlch were lnstltuted ln
1apan ln 2003
5outce: MLXT (2009c) 5tot|st|col Aosttoct
especlally for those wlth doctoral degrees. As a result, many
doctorate-holders have been left wlthout stable
employment. The number of postdoctoral posltlons and
other non-permanent posltlons has grown, due to a
conslstent lncrease ln competltlve P&D funds. 8ut these
posltlons have not guaranteed [ob securlty and many
doctorate-holders cannot even accede to these posltlons.
As word has got round, many students have slmply stopped
applylng for doctoral programmes, desplte the government
schemes expandlng flnanclal support for them.
|n an effort to solve thls problem, the 1apanese
government has launched varlous lnltlatlves to develop
dlverse career paths for doctoral students and
postdoctorates. New programmes have allowed them
to acqulre a broad range of skllls and to experlence
lnternshlps, ln order to smooth thelr transltlon to the
prlvate sector. They have also been expected to seek
opportunltles at the lnterface between S&T and soclety.
Por example, there ls a growlng demand for S&T experts
ln the lntellectual property departments of unlversltles.
Strengthenlng these departments would accelerate
unlverslty-lndustry collaboratlon and lead to more
lnnovatlon. Another area where doctorate-holders could
use thelr expertlse ls sclence communlcatlon, thls would
not only earn publlc support for S&T but also attract
young students to S&T professlons. |n reallty, however,
such new paths for doctoral students and postdocs
have done llttle to solve the problem of employment
lnsecurlty. The overwhelmlng lmbalance between supply
and demand for doctorate-holders wlll take many years
to absorb.
As for the 1apanese government's efforts to promote the
lnternatlonal exchange of researchers, these have ylelded
mlxed results. The number of forelgn students studylng ln
1apan has grown conslderably slnce 200l, thanks to
fellowshlps deslgned especlally for them. et, the number
of forelgn researchers staylng ln 1apan for longer than
30 days has actually decreased, as has the number of
1apanese researchers who stay abroad for more than
30 days (Table 3). These flgures lndlcate that 1apanese
researchers are becomlng lncreaslngly lnward-looklng
and are belng left out of the lnternatlonal network of
researchers. Accordlng to a survey conducted by MLXT
ln 2007, 1apanese researchers, especlally young ones,
hesltate to go abroad malnly because they worry about
flndlng posltlons on thelr return to 1apan and do not see
a posslble economlc return on thelr lnvestment. wlthln
the government, there ls a growlng sense of crlsls about
thls trend, even lf the government has not yet managed
to take effectlve measures to remedy the sltuatlon.
|| O|||
Trends in scientific publications
1apan's world share of sclentlflc publlcatlons has dropped
ln the past few years. whereas the natlon produced l0.0%
of the world's sclentlflc papers ln 2002, accordlng to the
Sclence Cltatlon |ndex, lts share had dropped to 7.6% by
2007 (see oe l0). Although thls ls largely due to the
rapld growth of sclentlflc publlcatlons ln Chlna, 1apan's
share has decllned faster than that of other member
countrles of the Organlsatlon for Lconomlc Co-operatlon
and Development (OLCD). |t ls dlfflcult to analyse here
preclsely what factors contrlbuted to such a decllne but
stagnatlng P&D lnput ln 1apan has posslbly played a role.
As dlscussed above, the amount of government
expendlture on P&D fell between 2002 to 2007, whlle the
number of researchers ln 1apanese unlversltles grew only
slowly over the same perlod. 1apan's share of the top l0%
of sclentlflc publlcatlons also fell, from 8.2% ln 2002 to
7.5% ln 2007.
|||SO S|||| |||O| 2010
408
Table 3: |nternatlonal exchange of 1apanese and forelgn-born researchers, 200l and 2006
Year Foreign Foreign Foreign Japanese Japanese Japanese
students researchers researchers students researchers researchers
studying in working in working in Japan studying working abroad working abroad
Japan Japan for less for longer abroad for less than for longer
than 30 days than 30 days 30 days than 30 days
200l 78 8l2 l7 037 l3 030 78 l5l 96 26l 6 943
2006 ll7 927 22 565 l2 5l8 80 023 l32 588 4 l63
` Number ln 2005
5outce: MLXT (2009o) wh|te Poet on 5c|ence onJ 7echnoloy, MLXT (2009J) 7he Cenetol 5totus ol lntetnot|onol keseotch lxchones
`
Japan
409
Japan remains strong in chemistry, materials science,
physics and space science. In each of these fields, Japans
world share of publications is around 10.0% and its world
share of the top 10% of publications is even higher.
Japans performance is less impressive in other fields, such
as computer science and mathematics or environmental
and Earth sciences. Japan is also traditionally weak in
clinical medicine, although its performance has improved
slightly in recent years (Table 4).
Reflecting the trend towards internationalization of R&D,
researchers throughout the world are producing greater
numbers of internationally co-authored publications and
the Japanese are no exception. Scientific papers co-
authored with non-Japanese scientists represented 23.9%
J
a
p
a
n
of all scientific papers in Japan in 2007. This percentage is
a little higher than the world average but significantly
lower than that for most OECD countries. This is mainly
because European nations enjoy geographical and
institutional advantages that allow them to form a huge
network of researchers, as in the USA. Again, Japanese
researchers appear to be less tightly integrated in the
international network of researchers than their foreign
counterparts (Figures 6 and 7).
Patents: from quantity to quality
The total number of patent applications to the Japan Patent
Office has been gradually falling. Whereas there were
421 000 applications in 2002, this number had dropped to
just 396 000 by 2007. Behind this trend lies a fundamental
Table 4: Japans world share of scientific publications, 2007 (%)
Japans share of publications Japans share of top 10% publications
Chemistry 9.1 10.0
Materials science 9.3 11.5
Physics/space science 11.4 11.7
Computer science/mathematics 5.2 4.5
Engineering 7.2 7.1
Environmental/Earth sciences 5.1 5.5
Clinical medicine 6.7 5.3
Biological sciences 8.3 7.2
Note: The top 10% publications are measured in terms of the number of received citations.
Source: Data provided to the author by NISTEP
Single authorship or co-authorship within single organization
Domestic co-authorship
International co-authorship
Japan World
46.2
34.0
19.8
39.0
37.1
23.9
52.8
29.1
18.1
47.3
32.4
20.3
2002 2007 2002 2007
Figure 6: Single authorship and co-authorship in Japan and the world, 2002 and 2007 (%)
Source: NISTEP (2009a) Science and Technology Indicators
Japan chapter [1] [Ed2]:Layout 1 25/11/10 14:42 Page 409
under the Patent Co-operatlon Treaty, whlch was
concluded ln l970 to facllltate lnternatlonal appllcatlons,
also lncreased from l4 000 ln 2002 to 27 000 ln 2007. These
flgures lndlcate a steady trend towards lnternatlonallzatlon.
Another notable trend ln patent actlvlty ln 1apan ls the
deepenlng lnvolvement of the academlc sector. |n l999, the
Dlet passed leglslatlon grantlng 1apanese unlversltles the rlght
to pursue lntellectual property rlghts arlslng from government-
funded P&D. Thls leglslatlon, also known as the 1apanese
verslon of the 8ayh-Dole Act
3
, spurred the patent actlvltles of
1apanese unlversltles. The number of patent appllcatlons,
patent llcenses and transfers by unlversltles showed lmpresslve
growth from 2002 to 2007. However, the growth ln total lncome
earned by unlversltles through patents was less spectacular.
So far, patent actlvltles have not become a slgnlflcant source
of lncome for 1apanese unlversltles (Plgure 8).
|||SO S|||| |||O| 2010
4l0
4.3
4.2
3.8
5.4
7.0
7.3
9.2
9.9
14.7
37.9
3.4
3.9
4.7
5.2
5.8
6.4
9.1
9.7
10.6
40.2
Italy
Australia
Russia
Canada
France
Republic of Korea
United Kingdom
Germany
China
USA
40 30 20 10 0 0 10 20 30 40
Figure 7: Share of other countrles ln 1apan's lnternatlonally co-authored sclentlflc publlcatlons, 2002 and 2007 (%)
5outce: N|STLP (2008o) 8enchmotl|n k80 Cooc|ty ol 1oon 8oseJ on 0ynom|c Altetot|on ol keseotch Act|v|ty |n the wotlJ
Note: These percentages do not total l00% because some papers have been wrltten by researchers from three or more countrles and thus may have
been counted more than once. Moreover, the flgure does not lnclude Thalland, 8razll and other countrles where there ls very llttle co-authorshlp wlth
1apanese researchers.
Table 5: 1apanese patent appllcatlons and grants ln 1apan, USA, Lurope and Chlna, ln thousands, 2002 and 2007
Japan USA Europe China
Year Applications Grants Applications Grants Applications Grants Applications Grants
2002 369 l09 58.7 34.9 l5.9 8.2 l5.4 5.9
(87.7%) (90.4%) (l7.6%) (2l.3%) (l5.0%) (l7.4%) (l9.l%) (27.6%)
2007 333 l45 78.8 33.4 22.9 l0.7 32.9 l6.2
(84.2%) (87.9%) (l8.0%) (2l.2%) (l6.3%) (l9.5%) (l3.4%) (23.8%)
5outce: MLXT (2009c) lnJ|cotots ol 5c|ence onJ 7echnoloy
2002 2007
change ln the patent strategles of 1apanese flrms. Many
have been refralnlng from flllng large quantltles of patents
for malnly defenslve purposes, lnstead focuslng thelr efforts
on obtalnlng hlgh-quallty patents to help develop thelr
core buslnesses. Also, flrms have adopted the strategy of
not applylng for patents, chooslng lnstead to hlde new
technologles wlthln thelr organlzatlons whenever thls
would appear to secure thelr competltlve edge.
At the same tlme, 1apanese flrms are now placlng greater
emphasls on flllng patents overseas. Thelr patent strategles
are evldently acqulrlng a global perspectlve. |f the share of
1apanese appllcants ln total patent appllcatlons to the
1apan Patent Offlce fell from 87.7% ln 2002 to 84.2% ln
2007, 1apanese flrms applled for many more patents to the
USA, Lurope, Chlna and elsewhere ln 2007 than ln 2002
(Table 5). The number of 1apanese patent appllcatlons
'.p.r
4ll
1
a
p
a
n
0
2 000
4 000
6 000
8 000
10 000
12 000
Patent applications
by universities
Total income
earned by
universities
through patents
(in millions of yen)
Patent licenses
and transfers
from universities
2002
2007
829
9 869
58
4 390
252
774
Figure 8: Patent actlvlty of 1apanese unlversltles, 2002
and 2007
5outce: MLXT (2008) 7he 5totus ol un|vets|ty-lnJustty Colloootot|on
|n l|nonc|ol eot 2007
3. Adopted ln the USA ln l980, the 8ayh-Dole Act, or Unlverslty and Small
8uslness Patent Procedures Act, gave unlversltles, small buslnesses and
non-proflt organlzatlons ln the USA the rlght to flle for ownershlp of thelr
lnventlons and other lntellectual property resultlng from P&D funded by
the government. Prlor to l980, such lntellectual property had baslcally
belonged to the government.
O|||S|O|
Slnce the turn of the century, S&T ln 1apan has been
metamorphosed by the changlng soclo-economlc
envlronment ln whlch lt operates. Under severe flscal
pressure, the government has begun capplng growth ln
government P&D expendlture, strlvlng to allocate lts
llmlted resources ln a strateglc manner. CSTP has been the
archltect of thls strategy. As we have seen, partlcular areas
have recelved prlorlty over others and the number and
slze of competltlve P&D funds have grown.
These pollcy lnltlatlves have not vlslbly lmproved 1apan's
performance ln the academlc sector, however, 1apan's
share of sclentlflc publlcatlons has even decllned ln recent
years. Nor has the tralnlng of the next generatlon of
researchers been golng smoothly. The number of doctoral
students has begun dropplng, as has the number of long-
term lnternatlonal exchanges of researchers. |t ls apparent
that 1apan's S&T pollcy has not fully met the challenges
posed by the evolutlon of soclety ln a changlng world.
An entlrely new approach to pollcy-maklng may be
necessary. Over the past decade, 1apanese pollcy-makers
have embraced competltlve P&D fundlng, supported
centres of excellence and expanded non-permanent
posltlons ln the academlc sector. All of these lnltlatlves,
however, were essentlally approprlated from exlstlng
forelgn schemes, especlally Amerlcan ones. |ntroduclng
such schemes qulckly lnto 1apan wlthout taklng lnto
conslderatlon the wlder soclo-cultural context of
1apanese academla may have undermlned the unlque
strengths of the natlon's unlverslty system, whlch has lts
own hlstory and tradltlon, even lf lt may have also had the
merlt of allevlatlng some of the unlverslty system's
weaknesses. Por example, the government's pollcy of
focuslng lnvestment on the natlon's top unlversltles may
have lmproved thelr performance but, at the same tlme,
damaged the P&D capacltles of other unlversltles, thereby
destroylng the domestlc networks of researchers along
wlth the dlverse capabllltles and approaches these have
to offer. Slmllarly, expandlng non-permanent academlc
posltlons through pro[ect-type competltlve P&D funds
may have enhanced the domestlc moblllty of researchers
but also drlven them lnto reckless competltlon, thereby
erodlng the attractlveness of the academlc professlon.
As such concerns are lncreaslngly belng volced ln the
academlc communlty and among S&T pollcy researchers
ln 1apan, lt may be necessary to reconslder thoroughly the
baslc pollcles of the past l0 years. More generally, the
1apanese government would do well to exerclse cautlon
ln lntroduclng forelgn schemes, the strengths and
weaknesses of current schemes requlre more thoughtful
analysls and the lmpact of new lnltlatlves needs to be
carefully assessed.
S&T ln 1apan's prlvate sector appears to be ln better shape
than ln the academlc sector. Owlng to the economlc
upturn between 2002 and 2007, both P&D expendlture
and the number of researchers ln the prlvate sector have
||||||||S |r '.p.roso
Amano, |kuo (2008) Ptosects ol the 5em|-t|vot|zot|on ol
Not|onol un|vets|t|es. Tshlnd, Tokyo.
Government of 1apan (2006) 5c|ence onJ 7echnoloy 8os|c Plon.
(200l) 5c|ence onJ 7echnoloy 8os|c Plon.
1apan Patent Offlce (2008) 7he Ptesent 5totus onJ Ptoolems
ol lnJustt|ol Ptoetty: Annuol keott ol Potent
AJm|n|sttot|on 2008. 1apan Patent Offlce, Tokyo.
MLT| (2009) wh|te Poet on Vonuloctut|n 2009. Mlnlstry
of Lconomy, Trade and |ndustry, Tokyo.
MLXT (2009o) wh|te Poet on 5c|ence onJ 7echnoloy 2009.
Mlnlstry of Lducatlon, Culture, Sports, Sclence and
Technology, Tokyo.
(2009o) lJucot|on, Cultute, 5otts, 5c|ence onJ
7echnoloy. Mlnlstry of Lducatlon, Culture, Sports,
Sclence and Technology, Tokyo.
(2009c) lnJ|cotots ol 5c|ence onJ 7echnoloy. Mlnlstry
of Lducatlon, Culture, Sports, Sclence and Technology,
Tokyo.
(2009J) 7he Cenetol 5totus ol lntetnot|onol keseotch
lxchones. Mlnlstry of Lducatlon, Culture, Sports,
Sclence and Technology, Tokyo.
(2008) 7he 5totus ol un|vets|ty-lnJustty Colloootot|on
|n l|nonc|ol eot 2007. Mlnlstry of Lducatlon, Culture,
Sports, Sclence and Technology, Tokyo.
N|STLP (2009o) 5c|ence onJ 7echnoloy lnJ|cotots. Natlonal
|nstltute of Sclence and Technology Pollcy, Tokyo.
(2009o) keseotch on the lollow-u ol the 7h|tJ 587
8os|c Plon. Natlonal |nstltute of Sclence and
Technology Pollcy, Tokyo.
(2008o) 5utvey ol the Ptesent 5totus onJ Ptoolems ol
un|vets|ty 5tott-us |n l|nonc|ol eot 2007. Natlonal
|nstltute of Sclence and Technology Pollcy, Tokyo.
(2008o) 8enchmotl|n k80 Cooc|ty ol 1oon 8oseJ
on 0ynom|c Altetot|on ol keseotch Act|v|ty |n the wotlJ.
Natlonal |nstltute of Sclence and Technology Pollcy,
Tokyo.
|||SO S|||| |||O| 2010
4l2
grown conslderably. Although the number of patent
appllcatlons has recently been falllng, thls ls largely due to
the changlng patent strategles of corporatlons rather than
the weakenlng of thelr P&D performance. Unlverslty-
lndustry collaboratlon has expanded greatly and many
new unlverslty start-ups have emerged, albelt wlth
uncertaln flnanclal prospects. Overall, 1apanese lndustry ls
lnvestlng heavlly ln P&D and maklng vlgorous efforts to
generate lnnovatlon.
1apanese lndustry ls also faclng new challenges. Slnce the
l990s, competltlve pressures from emerglng natlons such as
Chlna and the Pepubllc of Korea have drlven many 1apanese
flrms to target the hlgh end of the market. et recently, the
hlgh end of the global market has been shrlnklng rapldly,
especlally slnce the global recesslon hlt wealthy consumer
countrles ln Lurope and North Amerlca ln 2008. |n thls new
market envlronment, developlng hlgh-quallty, hlgh-
performance, expenslve products through lntenslve P&D
lnvestment ceases to be an effectlve strategy. 1apan's world
share of mostly electronlc products has dwlndled, ln fact, ln
the past l0 years.
1apan nevertheless malntalns lts predomlnant posltlon ln
such areas as automoblles, machlne tools, dlgltal cameras
and electronlc components. These products typlcally have a
tlghtly lntegrated archltecture, thelr development requlres
exerclslng taclt know-how and lntrlcate co-ordlnatlon, both
areas ln whlch 1apanese flrms excel. Here agaln, however,
1apan faces a new challenge, as englneers and craftsmen
wlth thls expertlse begln retlrlng en mosse. whether
1apanese manufacturers can retaln thelr unlque strengths
wlll be a vltal questlon for the future of 1apanese lndustry.
|n today's world, 1apan should be fully aware of global
trends and standards ln shaplng lts S&T pollcles but that
does not mean forelgn schemes and systems should be
qulckly and bllndly lmported lnto 1apan. Many of the
problems that 1apan now faces ln S&T seem to requlre
orlglnal strategles that take lnto conslderatlon the natlon's
own unlque strengths and weaknesses. Up untll now,
western pollcy models ln general have had an almost
lnvlnclble power of persuaslon among 1apanese pollcy-
makers. A fundamental change ln mlndset ls needed for
the sound and sustalned development of S&T ln 1apan.
'.p.r
4l3
\|bS||S
Councll for Sclence and Technology Pollcy:
www8.cao.go.[p/cstp/engllsh/lndex.html
Mlnlstry of Lducatlon, Culture, Sports, Sclence and
Technology:www.mext.go.[p/engllsh/
Natlonal |nstltute of Sclence and Technology Pollcy:
www.nlstep.go.[p/lndex-e.html
Yasushi Sato ls a Pellow at the Center for Pesearch
and Development Strategy of the 1apan Sclence and
Technology Agency. He was prevlously Asslstant
Professor at the Natlonal Graduate |nstltute for Pollcy
Studles ln Tokyo.
8orn ln l972, he recelved a PhD ln Hlstory and
the Soclology of Sclence from the Unlverslty of
Pennsylvanla (USA) ln 2005. Prom l994 to 2000,
he worked at the former Sclence and Technology
Agency of 1apan. The agency has slnce become
the Mlnlstry of Lducatlon, Culture, Sports, Sclence
and Technology.
asushl Sato's academlc lnterests lnclude the hlstory
of technologlcal systems and the hlstory of S&T pollcy
ln postwar Amerlca and 1apan. He has publlshed ln
such [ournals as 7echnoloy onJ Cultute and 5oc|ol
5tuJ|es ol 5c|ence. Pecently, he has also been
explorlng the questlon of how hlstorlcal perspectlves
can lnform S&T pollcles.
1
a
p
a
n
loteon 57l ol|cy neeJs to nuttute onJ
ut|l|ze |ts wotlJ-closs humon tesoutces
onJ to sttenthen loool 587
co-oetot|on.
Lee 1ang-1ae
Korea chapter ll P3:Layout l l9/l0/l0 08:l9 Page 4l4
20
.
Republic of Korea
Lee Jang-Jae
415
INTRODUCTION
In the Republic of Korea, the present government considers
science and technology (S&T) to be the core element for
achieving a number of national goals
1
. These goals include
acquiring the dual status of advanced country and world
power. The government also hopes that assigning a central
role to S&T will help to ensure economic growth,
strategically concentrate national resources on creative,
original research, build a more equitable and progressive
society, and promote prosperity in northeast Asia.
Although, in the past, economic growth in the Republic of
Korea relied on imitation, the country was able to
assimilate advanced technologies and improve on these
by considerably increasing investment in research and
development (R&D). Today, it aims to use innovation to
create added value and to increase gross domestic
expenditure on R&D (GERD) to 5% of GDP by 2012. This
target has become one of the countrys top priorities.
The timetable for meeting this target has been contraried
by the global slowdown caused by the US subprime
mortgage crisis, which plunged the Korean economy into a
severe recession at the end of 2008. According to the Bank
of Korea, GDP shrank by 5.6% in the fourth quarter of 2008.
However, thanks mainly to the government-led stimulus
packages to minimize the economic downturn, the
Korean economy expanded by 0.2% in 2009, the third-
highest growth rate among the 21 members of the
Organisation for Economic Co-operation and
Development (OECD), which unveiled preliminary growth
figures in February 2010. The OECD expects the Korean
economy to grow by 4.4% in 2010, the highest growth
rate among OECD countries (OECD, 2009). This is much
higher than the OECD average of a 1.9% growth rate.
Despite the global economic recession, GERD in 2008
amounted to 34 498.1 billion Korean won (KRW, about
US$ 31.3billion), an increase of 10.2% over the previous year.
R&D expenditure as a percentage of GDP was a healthy 3.37%,
an increase of 0.16% over 2007, equivalent to US$ 644 per
capita.
The Korean government has tried to raise R&D
expenditure during the global economic recession,
in order to stimulate national R&D and innovation.
As a result, R&D investment in 2008 and 2009 by the
government and public sector increased by 13.5% and
11.4% respectively over the previous year.
S&T POLICY INITIATIVES
In 2003, the Roh Moo-Hyun government established the
Planning Committee for a Science and Technology-oriented
Society and placed it within the Presidential Advisory
Council on Science and Technology. The Planning
Committees chairperson was the presidential secretary for
S&T. It was she who drafted the Roadmap for Building a
Science and Technology-oriented Society. The Ministry of
Science and Technology (MoST) set up its own Planning
Committee for a Science and Technology-oriented Society.
After many meetings and public hearings, this body
prepared a proposal and drafted general plans, including a
detailed methodology for building an S&T-oriented society.
As a result of these efforts, the Initiative for Establishing a
National Technology Innovation System, the governments
practical strategy for building an S&T-oriented society, was
implemented in July 2004. Ministries identified five major
innovation areas with 30 priority tasks on which to focus.
This constituted the basic framework for Koreas S&T
innovation policy under the Roh government (20032008).
The Science and Technology Basic Plan for 20082013
(known as the 577 Initiative
2
) of the new Lee Myung-Bak
government, which took office in February 2008, was
finalized by the National Science and Technology Council
(NSTC) in December 2008. This Plan consists of 50 priority
tasks for the next five years.
A few months earlier, in August 2008, President Lee
Myung-Bak had declared a Low Carbon, Green Growth
policy as a key national agenda. Both the Science and
Technology Basic Plan and the Low Carbon, Green Growth
policy constitute the basic framework for the S&T policy of
the Lee government.
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
1. Much of this chapter is based on the White Paper on National Science and
Technology Policy from 2003 to 2007, published by the Korean Ministry of
Science and Technology in December 2007, and on the Science and
Technology Basic Plan of the Lee government, published in December 2008.
Korean in the present chapter refers to the Republic of Korea.
2. 577 is a reference to three key digits: total R&D investment will reach 5%
of GDP by 2012; the Korean government will focus GERD on seven priority
S&T areas; and it will promote seven policy sectors, such as nurturing
human resources in S&T, promoting basic research and so on.
Crowded street
in Seoul
Photo:
Getty Images
Korea chapter [1] [Ed2]:Layout 1 25/11/10 15:48 Page 415
|||SO S|||| |||O| 2010
Main thrusts of nationaI 5&7 poIicies from 2003
to 2012
After the baslc S&T pollcy frameworks of the new
governments had been establlshed, the Poh and Lee
admlnlstratlons both prepared baslc plans for the
lmplementatlon of these frameworks. Drafted ln
May 2003 and December 2008 respectlvely, these baslc
plans for S&T set goals for key S&T sectors wlth quantlfled
targets and lnput and output categorles (Table l).
As for the Low Carbon, Green Growth pollcy, lt alms to
promote the development of competltlve green lndustrles,
whlle at the same tlme lmprovlng the quallty of llfe by
4l6
reduclng CO
2
emlsslons and savlng resources and energy
through 'green' technologlcal lnnovatlon (Korean
Natlonal Commlsslon for UNLSCO, 2009).
.BJO45QPMJDZGPDVTBOEBDUJPOT
Government actlon ln the flve maln S&T pollcy areas from
2003 onwards can be summarlzed as follows. l|tstly, the
Poh government elevated the Mlnlster of Sclence and
Technology (MoST) to the level of Deputy Prlme Mlnlster
ln 2004 and created the seml-autonomous Offlce of
Sclence and Technology |nnovatlon wlthln MoST to
support the NSTC and the S&T Deputy Prlme Mlnlster.
|n order to pursue natlonal pollcy lnltlatlves through S&T
Table 1: P&D lndlcators for the Pepubllc of Korea, 200l and 2007, and targets for 20l2
Category 2001 (attained) 2007 (attained) 2012 (target)
INVESTMENT GERD ln KPw trllllons l6.l 30.3 -
ln US$ bllllons l2.0 28.6 -
as a percentage of GDP 2.6 3.2 5.0
Government ln KPw trllllons 4.3 35.3 66.5
expenditure ln US$ bllllons 3.2 26.6 -
on R&D
Share of baslc research l7.3 25.0
+l
50.0``
ln government P&D
budget (%)
Human Total number of researchers l78 937 - -
resources
Number of researchers per 37.8 53.l l00.0
l0 000 populatlon
OUTPUT Patents Patlo of patents reglstered 63.0 74.0
+l
-
domestlcally by Koreans ln
comparlson to forelgners (%)
Number of overseas patent 7942
+l
25 000 l0 000
reglstratlons`
Papers Number of artlcles publlshed l4 673 33 000 35 000
ln Sclence Cltatlon |ndex
Technology Patlo of technology revenue 0.07
-l
0.33 0.7
trading to expendlture (%)
STAGE OF NATIONAL TECHNOLOGICAL INNOVATION Lntry stage of Growth stage of 8ecomlng one
creatlve technologlcal creatlve technologlcal of seven ma[or
lnnovatlon lnnovatlon powers ln S&T
through creatlve
technologlcal
lnnovatlon
` The number of overseas patent reglstratlons ls based on Patent Cooperatlon Treaty reglstratlon.
`` lncludlng some applled research
5outce: Government of Pepubllc of Korea (2003) 5c|ence onJ 7echnoloy 8os|c Plon, 2003-2007, Government of Pepubllc of Korea (2008) 5c|ence onJ
7echnoloy 8os|c Plon, 2008-2012
Korea chapter ll P3:Layout l l9/l0/l0 08:l9 Page 4l6
Republic of Korea
417
policy, the S&T Deputy Prime Minister co-ordinated
industrial, human resource and regional policies.
The S&T Deputy Prime Minister is responsible for overall
co-ordination of science, technology and innovation (STI)
policy, while serving as Vice-chair of the NSTC (Korean
National Commission for UNESCO, 2009).
Secondly, the Roh government chose a knowledge-based
technology development strategy. This entailed
increasing R&D investment in basic research in order to
strengthen the capacity to create new, high value-added
knowledge industries. In the past, S&T policies had relied
on imitation and R&D strategies for independent
development.
Thirdly, the Roh government advocated an S&T policy
ensuring both economic progress and a better quality
of life, including by meeting social demands.
Fourthly, the Roh government took a more global
perspective on S&T than the domestically centered policy
the government had adopted in the past. It sought to
liberalize S&T policy and strengthen international co-
operation, in particular with Northeast Asia, as well as
reduce the gap among regions caused by a regional bias
in the distribution of resources. The objective was not only
to reinforce the global competitiveness of Korean
industries and regions but also to increase domestic
cohesion and solidarity.
Fifthly, the Roh government promoted private-sector
participation and appealed to society at large to develop
S&T. This approach was a departure from past practice
when S&T policy and participation had centered on
scientists and engineers. The government considered the
development of S&T to be an economic, social and
cultural reality in which all sectors of society should
participate and which called for high standards in ethics,
transparency and responsibility.
After the inauguration of President Lee Myung-Bak in
February 2008, the new government set about
reorganizing the system of S&T administration and
prepared the 577 Initiative. The main S&T policy areas of
the Lee government can be summarized as follows:
Firstly, the Lee administration plans to increase R&D
investment to 5% of GDP by 2012. It will commit a total of
KRW 66.5 trillion (equivalent to about US$55.4 billion)
over a five-year period (20082012). Also, tax incentives
for investment in R&D will be provided to foster private
expenditure on R&D, corporate research institutes will be
deregulated and the tax deduction rate of 710% will be
extended to a greater number of beneficiaries to facilitate
investment in R&D, among other measures.
Secondly, the Lee government will invest in strategic areas
for national R&D, such as basic research, emerging areas of
industrial technology and technology related to global
issues. Korea will also become a leading nation in the
green market, which will be worth KRW 3 000 trillion
(equivalent to about US$ 2.5 trillion) by 2020, by more
than doubling R&D investment in green technologies.
Thirdly, the Lee administrations STI policy emphasizes
nurturing scientists and engineers who are capable of
conducting world-class research, along with a strategic
concentration of R&D resources on creative, original
research. In this context, the government plans to double
the share of basic research in total government
expenditure on R&D, while stepping up its efforts to
produce creative talents by integrating education with
S&T (Government of Republic of Korea, 2008).
Promoting innovation
From 2003 to 2009, more than 40 laws and ordinances
relating to S&T innovation were enacted. These involve
developing human resources; ensuring a safe research
environment; and establishing a system to promote
innovation and support technological innovation as a
basis for building an S&T-oriented society and becoming
one of the seven major S&T powers in the world by 2012.
Key laws passed or amended during this period include
the Law on Government Organizational Structure, the
Basic Laws on Science and Technology and the Basic Laws
on Human Resources Development.
The government has also implemented policies to create
a favourable environment for technological innovation in
order to attract the best brains to science and engineering
and promote the development of new technologies
(Box 1). For instance, it introduced a system encouraging
public institutions to employ scientists and engineers.
As a result, the number of new recruits in public service at
Level 5 (director level) holding degrees in science and
engineering has increased from 158 (23.5%) in 2002 to
185 (34.7%) in 2006.
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Furthermore, the Lee government has introduced plans to
improve R&D performance in specific areas, including bio-
engineering, the national satellite navigation system, the
integrated establishment of broadband and the
development of national nuclear fusion technology.
Administrative reorganization
In order to reinforce overall responsibility and co-ordination
of S&T innovation policies and relevant micro-economic
policies, the consecutive Roh and Lee governments have
proceeded with a series of administrative and organizational
changes. We have already seen that the Science and
Technology Minister was promoted to Deputy Prime
Minister in 2004 and that the Minister also holds the post of
Vice-Chair of the NSTC.
In order to ensure the planning and co-ordination of S&T
policies, the Roh government introduced ministry-wide R&D
programmes and established the ephemeral Office
of Science and Technology Innovation (OSTI) within MoST.
It consisted of specialists from the private sector (20%) and
civil servants from both relevant ministries (40%) and from
MoST (40%). OSTI was responsible for addressing specialized
S&T issues and for ensuring fairness and neutrality in the
formulation and implementation of S&T innovation policy
until it was abolished by the incoming Lee government.
In addition, the Law on the Presidential Advisory Council on
Science and Technology (enacted in 1991) was amended to
reinforce the councils status in 2004. A Presidential Advisor
for Information and Science and Technology was appointed
to assist the president in managing an enlarged council. The
law was subsequently revised in 2008 and renamed the Law
on the Presidential Advisory Council on Education, Science
and Technology.
Since the advent of the Lee government in February 2008,
not only has OSTI been abolished but MoST and the Ministry
of Education have also been merged to form the Ministry of
Education, Science and Technology (MEST)
3
, while the
Ministry of Commerce, Industry and Energy and the Ministry
of Communication have been merged to create the Ministry
of the Knowledge Economy (MKE). This consolidation has
been initiated by the new Korean President within an overall
drive to reduce the size of government and cut the number
of ministries in the executive branch (OECD, 2009).
418
S&T innovation policy integration, co-ordination,
evaluation and management
By introducing various administrative and organizational
changes to promote innovation, both the Roh and Lee
governments have reinforced the co-ordination, evaluation
and management function of S&T policy. This includes
giving authority to the NSTC to co-ordinate and evaluate
national R&D programmes. Up until 2008, it was also
responsible for distributing the budget for national R&D
programmes. Since 2008, NSTC has been responsible for
setting national R&D priorities, co-ordinating national R&D
programmes and so on. Responsibility for evaluating
national R&D programmes and distributing their resource
budget has fallen to the Ministry of Strategy and Finance.
Also, a Special Committee on National Defence R&D was set
up in 2007 to discuss and co-ordinate S&T policy-related
issues, including the allocation of the national defence R&D
budget among the relevant ministries (Figure 1).
Greater co-ordination of current S&T policy can be seen in
the growing number of joint agendas submitted by more
than two ministries; these now exceed 40% of all submitted
agendas. For instance, various ministries are collaborating
on the new drug development programme (MEST, MKE and
Ministry of Welfare) and on the agriculture and forestry R&D
programme (Ministry of Agriculture and Forestry, Rural
Development Administration and the Forest Service).
Greater support for government-funded research
institutions
The government is also promoting R&D activities of
government-funded research institutes, which are key
performers of national R&D. The Roh government enacted
the Law on the Establishment, Management and
Development of Government-funded Research Institutions in
the Areas of Science and Technology (2004) and transferred
authority over research institutions to the NSTC to develop
closer ties between STI policy and R&D activities. However,
starting with the Lee administration, the government-funded
Research Institute was reorganized within the governments
administrative reform in 2008 and authority over research
institutions was transferred to MEST and MKE.
4
Furthermore, the Lee government has introduced measures
to promote specialized research programmes and
3. MEST continues to assume the role of NSTC Secretariat.
4. There are now two research councils, the Research Council of Basic
Science and Technology under MEST and the Research Council of Industrial
Science and Technology under MKE.
Republic of Korea
419
established a mid-term strategy to ensure that R&D
resources and the capabilities of government-funded
research institutions are utilized efficiently.
A performance-based evaluation and management
system for R&D
In 2005, the government enacted the Law on the
Evaluation and Management of the Performance of
National R&D Programmes to enhance the efficiency of
these programmes. A year later, it implemented the Basic
Plan for Performance Evaluation (20062010), leading to
the establishment of a performance-based evaluation and
management system. Three years earlier, the Ministry of
Information and Communication now part of MKE had
implemented the Project Manager System to deal with
specialization issues in R&D management, such as
improving efficiency in R&D using the Six Sigma
5
method.
The same year, it had established the National Science and
Technology Information System (20072009) for the
integrated management of S&T information.
R&D INPUT
Greater government investment in R&D
Government investment in R&D has increased steadily
since 1993. In addition, diverse policies were pursued
from 2003 to 2009 to enhance the efficiency of R&D
investment. Over this period, the government share
of the annual budget dedicated to R&D reached a total
of KRW 42.4 trillion (US$ 31.9 billion), or some
KRW 10 trillion (US$ 7.5 billion). From 2005 to 2009,
total government investment in R&D increased by 12.2 %,
a considerably higher rate than the increase in total
government expenditure of about 8.0%.
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
5. Originally developed by Motorola (USA) in the early 1980s for
manufacturing, this method of quality management has since been
extended to other business processes. It relies on analysis, statistical
methods and other means to achieve targets such as improved product
quality, better safety, greater profits or a faster delivery time.
Figure 1: GERD in the Republic of Korea by socio-economic objective, 2008
0
5
10
15
20
25
E
x
p
l
o
r
a
t
i
o
n

a
n
d
e
x
p
l
o
i
t
a
t
i
o
n

o
f

t
h
e

E
a
r
t
h
E
n
v
i
r
o
n
m
e
n
t
E
x
p
l
o
r
a
t
i
o
n

a
n
d

e
x
p
l
o
i
t
a
t
i
o
n

o
f

s
p
a
c
e
T
r
a
n
s
p
o
r
t
,

t
e
l
e
c
o
m
m
u
n
i
c
a
t
i
o
n

a
n
d

o
t
h
e
r

i
n
f
r
a
s
t
r
u
c
t
u
r
e
E
n
e
r
g
y
H
e
a
l
t
h
A
g
r
i
c
u
l
t
u
r
e
C
u
l
t
u
r
e
,

r
e
c
r
e
a
t
i
o
n
,

r
e
l
i
g
i
o
n

a
n
d

m
a
s
s

m
e
d
i
a
E
d
u
c
a
t
i
o
n
P
o
l
i
t
i
c
a
l

a
n
d

s
o
c
i
a
l

s
y
s
t
e
m
s
,

s
t
r
u
c
t
u
r
e
s

a
n
d

p
r
o
c
e
s
s
e
s
R
&
D

n
a
n
c
e
d

f
r
o
m

G
e
n
e
r
a
l

U
n
i
v
e
r
s
i
t
y

F
u
n
d
s
R
&
D

n
a
n
c
e
d

f
r
o
m

o
t
h
e
r

s
o
u
r
c
e
s

t
h
a
n

G
U
F
D
e
f
e
n
c
e
I
n
d
u
s
t
r
i
a
l

p
r
o
d
u
c
t
i
o
n

a
n
d

t
e
c
h
n
o
l
o
g
y
186 289
872 801
362 230
1 742 152 1 655 907
1 328 175
921 098
389 828
220 788
389 828 293 233 389 828
1 021 124
24 728 205
KRW millions
Source: MEST/KISTEP (2009) Survey of Research and Development in Korea
Furthermore, the government diversified financial
resources for investment in R&D by issuing Government
Science and Technology Bonds (2006) and by establishing
the Daedeok Special Zone Fund, the Technology
Commercial ization Fund administered by MKE and the
Small and Medium-Sized Enterprises Fund administered
by the Small and Medium-Sized Business Administration.
The government also incited the private sector to invest
more in R&D via tax incentives and reductions, as we have
seen earlier. As a result, private sector investment grew at
an annual average rate of 12.3% from 2003 to 2008. GERD
consequently increased rapidly from KRW 17.3 trillion in
2002 (2.53% of GDP) to KRW 34.5 trillion in 2008
(3.37%of GDP) [Table 2 and Figures 2 and 3].
Increasing the efficiency of R&D investment
As investment in R&D grew, new policies were
implemented to ensure that this investment would be
used efficiently. Changes included a medium and long-
term investment portfolio for the efficient use of limited
R&D resources and a Total Roadmap for National R&D
Programmes. These were presented in 2006. A year later,
preliminary feasibility studies were introduced for large-
scale R&D programmes requiring a budget of more than
KRW 50 billion (US$ 37.6 million). In addition, the
government implemented a comprehensive plan for the
promotion of basic research (2005) and increased
investment in basic and fusion research with the aim of
developing independent fundamental technologies and
intellectual property. The public R&D budget share for
420
basic research increased from 19.0% in 2002 to
23.1% in 2006 and an estimated 29.3 % in 2009.
At the same time, the government boosted support
for small-scale basic research projects, from
KRW 263.2 billion (US$ 198 million) in 2004 to
KRW 380.4 billion (US$ 286.5 million) in 2008.
Incentives for the private sector to innovate
In 2006, the government amended the Law for the
Transfer of Technology and secured adequate funding for
corporate R&D, in order to encourage innovation.
Corporations conduct about three-quarters of R&D in the
Republic of Korea, linking technology valuation with
financing. At the same time, the government provided tax
incentives to spur corporate R&D and innovation. These
incentives include more time to apply for tax deductions
on R&D, human resources development and investment in
installations (from the end of 2006 to the end of 2009),
an increase in tax deductions from 40% to 50% on
outsourced research costs for large corporations and
income and corporate tax reductions for research
enterprises and cutting-edge technology companies in
Daedeok Innopolis.
6
As a result of these measures, the
number of innovation enterprises increased substantially
Table 2: Trends in GERD in the Republic of Korea, 20032008
2003 2004 2005 2006 2007 2008
Government in KRW trillions 6.5 7.1 7.8 8.9 9.8 11.1
investment in US$ billions 4.9 5.3 5.9 6.7 7.4 8.3
in R&D as a share of the total 4.0 4.1 4.2 4.3 4.6 4.9
government budget (%)
Total in KRW trillions 19.1 22.2 24.2 27.3 31.3 34.5
investment in US$ billions 14.3 16.7 18.2 20.5 23.5 25.9
in R&D as a share of GDP (%) 2.5 2.7 2.8 3.0 3.2 3.4*
* provisional
Note. Government investment in R&D includes the R&D-related government budget (general accounting plus special accounting).
Source: PACST/KISTEP (2007) Analysis of the Performance of Science and Technology Policy of the Government from 2003 to 2007; MEST/KISTEP (2009) Survey of
Research and Development in Korea
6. Daedeok Innopolis is located near Daejeon. It has been designed to link
researchers and developers with capital so that they can run businesses or
take a share in a business. The main role of the organization is to translate
the results of R&D into business profits.
Republic of Korea
421
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Figure 2: Trends in R&D investment in the Republic of Korea, 19942008
0
5
10
15
20
25
30
35
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
Total R&D budget
Private-sector nanced research budget
Government-nanced research budget
KRW trillions
1 330
9 249
6 011
25 142
7 895
34 498
Source: MEST/ KISTEP (2009) Survey of Research and Development in Korea
3.60
3.46 3.44
2.68
3.37
2.54
2.08
1.79
0.0
0.5
1.0
1.5
2.0
2.5
3.0
3.5
4.0
1.49
S
w
e
d
e
n
F
i
n
l
a
n
d
J
a
p
a
n
R
e
p
.

K
o
r
e
a
U
S
A
G
e
r
m
a
n
y
F
r
a
n
c
e
U
K
C
h
i
n
a
%
Figure 3: International comparison of R&D intensity in
the Republic of Korea, 2008
Other countries are given for comparison
from 2002 to 2006: from 9 705 to 12 218 for subsidiary
research centres of companies; from 1 856 to
7 183 for innovative small and medium-sized enterprises;
and from 8 778 to 12 218 for venture companies.
A greater effort to develop human resources
From 2003 to 2009, the government formulated and
implemented major policies to support the development
of basic science and human resources. The government is
well aware that creativity is the foundation of innovation
and will be essential if the countrys efforts to develop
endogenous innovation capabilities in the midst of global
competition are to succeed. These policies include the
Strategy to Develop Human Resources in Science and
Technology, the Medium and Long-term Supply and
Demand Forecast for Human Resources in Science and
Technology (20062010), the secondBrain Korea 21
project (Box 2) and the Measures to Increase the Number
of Civil Servants Specialized in Science and Engineering.
Over the same period, the government introduced a
number of programmes and raised the budget in all areas
of S&T human resource development, including
programmes for both young people and retired scientists
and engineers (Table 4).
As a result of these efforts, the human resource base for
research expanded during 20032008. The total number
of researchers grew to 300 050 by the end of
2008, which is equivalent to 97 researchers for every
10 000 Koreans. Furthermore, in order to encourage
research productivity, the remuneration system for
researchers has improved, including an increase in
remuneration to 50% of revenue generated from
technology fees. A policy has also been introduced to raise
KRW 200 billion (US$ 150 million) for the Korean Scientists
and Engineers Mutual Aid Association by 2012. Another
policy shortens the compulsory period of employment for
specialized research staff who are already exempted from
military service from four to three years, in order to
promote a more stable and research-friendly environment.
Ensuring a better quality of life through S&T
From 2003 to 2009, the government also implemented
R&D policies to promote a better quality of life, in a
departure from the previous growth-oriented policies.
It identified 22 priority areas and introduced policy
documents entitled Means of Technology-based
Enhancement of the Quality of Life for the Realization of
422
Vision 2030 (NSTC, 2007a) and Comprehensive Means of
Technology-based Improvement of the Quality of Life
(NSTC, 2007b). In addition, Plans for the Pursuit of
Transforming Transdepartmental R&D into Wonder
Drugs were adopted for a healthier life through the
development of biotechnology and medical technology.
In parallel, investment in these areas was expanded.
In order to improve health care and medical services, the
government introduced the Law on the Development of
Oriental Medicine and the Law on Cancer Management in
2003 and established the Korea Centre for Disease Control
and Prevention. As implementation of all these policies
and initiatives requires substantial funding, the
government increased investment in areas related to
technology-based life improvement to KRW 385.3 billion
(US$ 290 million) in 2007, a 3.5 increase over 2003.
At the same time, different ministries began a concerted
effort to tackle other societal issues. These measures
included the enactment of the Basic Law on Low Birth
Rates and an Ageing Society (2005). In addition,
the government introduced measures to ensure safety
From 2003 to 2007, the government
developed and supported 10 major
next-generation growth engine
programmes in S&T to prepare the
national economy for the future.
This research has resulted in a total
of 136 achievements, including:
I The first wireless broadband
(WiBro) technology in the world.
WiBro was developed by the
Korean telecommunications
industry;
I An active-matrix organic light-
emitting diode (AM-OLED) for
large televisions;
I A digital multimedia broadcasting
(DMB) transmission and reception
system. DMB is a digital radio
transmission technology
developed by Korea as part of
the national IT project to send
from US$ 2.9 billion in 2002 to
US$ 34.7 billion in 2006. This said,
the trading deficit with Japan in
components and materials widened
over the same period from
US$ 1.8 billion to US$ 15.6 billion.
However, the ratio of technology
trade revenue to expenditure is
improving. It rose from 0.23 % in 2002
to 0.42% in 2007, thanks to growth in
technology exports. According to a
report by the Ministry of Commerce,
Industry and Energy (MoCIE), now
MKE, Korea was 9th in the world for
the export volume of cutting-edge
technological products in 2003 but
had climbed to 7
th
position by 2006.
Korea is also making a greater number
of the worlds best-quality products
than before, up from 122 in 2002 to
308 in 2006, according to MoCIE.
Source: MoCIE, January 2010
multimedia, such as television,
radio and datacasting, to mobile
devices like mobile phones;
I 521M PRAM(Parameter RAM).
The government also launched large-
scale national R&D programmes to
support the commercialization of
major research results, such as the
magnetic levitation train, a treatment
for encephalopathic dementia and
digital actor and large-sized wing-in-
ground-effect (WIG) craft.
In addition, the advancement of
existing key industries has produced
visible results. For example, thanks to
support for the components and
materials industry, including the
establishment of the Korea Materials
and Components Industry Agency in
2005, profits from international trade
in this sector have skyrocketed:
Box 1: Preparing for the future with innovation
Republic of Korea
423
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Box 2: Brain Korea 21
The first Brain Korea 21 project got
under way in 1999. The aim was to
prepare higher education for the
realities of the 21
st
century. The
government invested KRW 1.4 trillion
(about US$ 1.2 billion) over seven
years to develop world-class
research universities and graduate
schools. About three-quarters of this
amount was earmarked for
developing graduate schools in
natural and applied sciences and in
social and human sciences.
has shifted the government focus
from undergraduate to graduate
education. Whereas some criticize
this move for abandoning the
principle of equal opportunity, others
praise it for the focus on nurturing
world-class research and for
encouraging students to pursue
graduate education.
The project is due to wind up in
2012.
Source: http://bnc.krf.or.kr/home/
eng/bk21/aboutbk21.jsp
The second Brain Korea 21 project
took over in 2006 and has pursued
the goals of its predecessor with a
budget of KRW 2.1 trillion (about
US$ 1.8 billion) over seven years.
In order to qualify for the pro -
gramme and thereby receive
government funding, universities
are obliged to organize them -
selves into research consortia
made up of university staff and to
collaborate on specific projects.
Extremely ambitious, the project
Table 3: Key achievements of Korean policy for S&T human resources, 20022008
Categories Key policy Key achievements (20022008)
Youth I Establishment of specific I Creation of school for gifted students in
programmes for educating science (2003)
talented students in science, etc I Increase in the number of educational
institutions for gifted students in science:
15 (2002) to 25 (2007)
Undergraduate and I Pursue the New University for I Recipients (students) of government
graduate students in Regional Innovation and Brain scholarships: 5 872 (2003) to 20 000 (2008)
science and engineering Korea 21 (2
nd
stage) projects I Increase in labour costs : PhD course,
I Targets for employment of KRW 1.2 million to KRW 2 million
science and engineering majors (US$ 900 to US$ 1 500)
by public institutions I Increase in research staff with exemption from
I More scholarships military service: 1 674 (2003) to 2 500 (2008)
Female scientists I Systematic encouragement I Increase in number of support centres for female
and engineers and support for female scientists and engineers: 0 (2004) to 5 (2008)
scientists and engineers I Increase in percentage of females among
working researchers: 18.2% (2003) to 24.6%(2007)
Retired engineers I Re-employment policy I Introduction of the techno-doctor programme,
a rehiring programme for retired engineers:
KRW 3.4 billion (2008)
I Support ReSEAT programme: in-depth analysis
of S&T information using retirees:
KRW 2.5 billion (2008)
Source: KISTEP (2007); Analysis of PACST performance of Science and Technology policy of the Government from 2003 to 2007; NSTC (2008) Science and
Technology Basic Plan of the Lee Myung-Bak Government (20082012)
from atomic power and radioactive waste materials.
For example, in 2005, the location of a radioactive waste
treatment plant was chosen with the consent of the local
community. The Atomic Energy Act (2005) was also
amended to include a nuclear power plant safety
examination system. Furthermore, the government set up
a National Emergency Management Agency (2007) and
Social Safety Network Research Institute (2006) to cope
with disasters comprehensively .
The government has also strived to ensure safety and
reliability in the construction and transportation sectors,
as demonstrated by the development of the Korean tilting
train (20012007) and bullet train (20022007). The
government has also engaged in a variety of activities to
secure eco-friendly resources, such as drilling for gas
hydrates in 2007 in the East Sea, the fifth successful
attempt in the world. It is also participating in a project
within the International Partnership for the Hydrogen
Economy
7
and developing core environmental
technologies.
Under the new government, NSTC recommended to
President Lee in January 2009 that investment in public
welfare be expanded to cope with social and global issues
such as food safety, climate change, mad cow disease, avian
influenza and so on.
Measures for ensuring more balanced regional
development
Past policies designed to achieve rapid economic growth
have led to imbalanced regional development and
widened gaps between sectors. The government is now
assertively pursuing regional STI policies that are
expected to help correct these inequalities and ensure
balanced and sustainable regional development for the
future. These policies include the first five-year Plan for
Balanced Regional Development of the Nation (2004) and
the third five-year Plan for Promotion of Regional Science
and Technology (2007) covering the period 20082012.
A noticeable effect of this shift towards S&T policy for
regional development has been a substantial increase in
investment in regional R&D. The share of the government
424
budget for R&D (general accounting plus special
accounting) allocated to regions excluding the Seoul
Metropolitan Area and the City of Daejeon increased
from 27% in 2003 to 40% in 2008. Local governments
have also recognized the importance of S&T for the
development of their regions and carried investment in
this sector from 0.93% of their budget in 2002 to 2.3%
in 2006.
This surge in funding of regional R&D has led to
an increase in regional innovation. The number of
technoparks, which totalled only eight in 2002, had
doubled to 16 by 2006. In addition, the Special Law on
Daedeok R&D Special Zone was enacted in July 2005
to spur regional innovation. This law established a
comprehensive plan for the development of special
R&D zones in November 2005 and promoted the
Daedeok region as the site for research, development and
commercialization of new innovative products. As a result,
Daedok Innopolis has attracted foreign investment of
US$ 13 million and 28 companies with an annual turnover
of more than KRW 10 billion (US$ 7 million). It has
become an important site for technology transfer
(600 cases as of March 2010) and for bringing innovation
to the marketplace (21 new innovative products).
More foreign R&D centres and stronger international
cooperation in S&T
While pursuing balanced regional development at home,
the government is also aiming to broaden the scope of
S&T policy and to strengthen national competitiveness in
the global economy. As part of this strategy, the
government is attempting to attract overseas research
centres to the country. To this end, it implemented the
Method of Consolidating Laws Related to Attracting
Overseas R&D Centres in March 2006. As a result,
51 foreign R&D centres had been established on Korean
soil by the end of June 2007.
Moreover, the Republic of Korea is now playing a greater
role in international S&T co-operation and participating in
various international projects to tackle global issues.
These projects include the International Thermonuclear
Experimental Reactor (see page 158), the European Unions
Galileo satellite navigation system and the Global
Research Laboratory (Box 3). The Republic of Korea is also
seeking to participate in the EUs Seventh Framework
Programme for Research and Technological Development
(FP7).
7. This partnership also involves Australia, Brazil, Canada, China, European
Commission, France, Germany, Iceland, India, Italy, Japan, New Zealand,
Norway, Russian Federation, the UK and USA: www.iphe.net
Republic of Korea
425
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
The government is promoting the participation of
companies in the EU Framework Programme and
supporting public R&D funding (about KRW 20 million per
company annually) for these companies. In 2009, the
government was planning to spend a total of KRW
2.6 billion to support companies participation in FP7.
Encouraging people to participate in S&T
development
Fostering an ethical approach to research
For the government, social responsibility and ethical
awareness are important issues for scientists and engineers.
It has introduced the Scientist and Engineers Charter (2004)
and the Scientist and Engineers Code of Ethics (2007).
Furthermore, it has reinforced internal monitoring of how
research funds are being used, set up the Cyber Report
Centre for Execution of the Research Budget (2005) and
introduced the Research Budget Management Certification
System (2005) to foster greater transparency in the
allocation and utilization of research budgets.
By October 2007, a total of 113 research organizations had
implemented the governments Guidelines for Securing
Research Ethics and supported the establishment of a self-
examination system for verifying the truthfulness of research.
Moreover, the government is analysing the effect of new
technologies on society, culture, ethics and the
environment. In order to be able to deal with these effects
appropriately, it was conducting an Evaluation of
Technological Influence resulting from the development of
new technologies in 2010. These new technologies include
nanotechnology, biotechnology, information technology
(IT), convergence technologies and ubiquitous computing
technologies that have substantial social ripple effects.
Developing an S&T culture
In building a society based on principle and trust,
it is important to ensure that practices are ethical.
This holds true for the S&T sector as well. That is why
the government is attempting to increase peoples
understanding of, and support for, S&T and to promote
popular participation in their development.
In 2003, the government implemented a five-year plan to
bring S&T and culture closer together. It launched the
Science Korea initiative in 2004 to build a national
consensus on how S&T should develop and to integrate
science into daily life. This includes stimulating interest
in science and engineering among young people and
popularizing scientific topics.
Box 3: The Global Research Laboratory
The Global Research Laboratory
programme was launched by the Korea
Foundation for International
Cooperation in Science and Technology
(KICOS) in 2006. It develops original core
technologies to solve global problems
through international collaborative
research between Korean and foreign
laboratories. One advantage of the
programme is that it makes it possible
to share research results from large-
scale projects and pool resources,
thereby reducing the cost of research.
In 2007, a total of 16 areas were
being supported:
I Stem cell applications;
I Early diagnosis of cancer;
I Environmental conservation and
restoration;
The Global Research Laboratory
programme is supported by MEST
and managed by the National
Research Foundation of Korea. Any
Korean research centre, laboratory,
research group, organization or
institution may apply for the programme,
in line with Article 7 of the Technology
Development Promotion Law. Project
proposals must be presented jointly by
the Korean and foreign research
laboratory to a review committee that
includes foreign members.
Source: MEST
for details: webmaster@mest.go.kr
or webmaster@nrf.re.kr
I Gene therapy;
I Nano-based materials;
I IT nanodevices;
I Bio-information application
technology;
I Environmentally friendly nano-
materials;
I Nano-level materials processing;
I New and renewable energy;
I Prevention of, and response to,
natural disasters;
I Bio-immune protection and
infectious diseases control;
I Nano-bio materials;
I Next-generation display technology;
I Biochip Sensor technology;
I Climate change projection and
responsive technologies for
environmental change.
The government is relying on the media and other means
to build an S&T culture. For example, it provides science
programmes like Science Caf, broadcast by KBS, Koreas
premier public broadcaster and the biggest Korean
television network with an audience rating of more than
7%. Another science programme is Science TV, which was
broadcast throughout the country in September 2007.
A third example is Brain Power Plant Q,
a programme aired by the Munhwa Broadcasting
Corporation, one of the four major national Korean
television and radio networks. On the Internet, the
government has posted Science All, a scientific literary
portal, since 2005 and has been publishing the science
news bulletin Science Times regularly since 2003.
In addition, the government disseminates information on
S&T policy through its Science and Technology Innovation
Newsletter and provides an opportunity to share scientific
knowledge through the weekly science lecture programme
Science Touch. Research achievements are also disseminated
through exhibitions like that on research performance and
future economic growth. Other initiatives include the
Science for Leaders and the Science and Technology
Ambassador programmes to increase awareness among
leaders from various sectors of society of the importance of
S&T and to stimulate their interest. As a result of these efforts,
the level of interest among Koreans in new scientific
discoveries has improved considerably (Figure 4).
POSITIVE TRENDS AND OUTCOMES
Rapid growth in private sector investment in S&T
One of the governments major achievements during
20032008 was the introduction of measures establishing
a firm foundation for the enhancement of R&D and
economic performance to drive future growth.
The government increased the share of the budget it
allocated to R&D and encouraged the private sector to do
likewise. From 2003 to 2008, the combined R&D budget of
the government and private sector increased at an
average annual rate of 12.6 %. Private sector investment
alone grew by 12.3% during this period, a rate which far
exceeds that of some very advanced countries: USA, Japan
and Germany could all boast of growth of around 5%. In
addition, the Korean GERD/GDP ratio, or R&D intensity,
climbed from 2.63% in 2003 to 3.37% in 2008, placing the
country fourth among OECD members for this indicator.
426
Greater support for basic research and innovation
With greater R&D investment has come greater support
for basic research, creating a better basis for independent
innovation. Government investment in basic research
increased from 19.5% of the budget in 2003 to 23.1% in
2006 then to 25.6% in 2008. In monetary terms, however,
the budget for basic research almost doubled in five years,
from KRW 2.76 trillion (US$ 2.1 billion) in 2003 to
KRW 5.54 trillion (US$ 4.2 billion) in 2008, reflecting the
determination of the government and private sector to
develop basic research (Figure 5).
Greater R&D investment by small and medium-sized
venture enterprises
During 20032009, the government continued to
promote balanced growth for both large corporations and
small and medium-sized venture enterprises, together
with encouraging innovation in the private sector. This
differs from past administrations which had tended to
concentrate more on large corporations. As a result,
investment in R&D by small and medium-sized venture
enterprises has started to grow again after contracting in
2000 due to the collapse of the IT venture bubble
(Figure 6). The manufacturing industry is also showing
healthy growth: the ratio of R&D investment to sales has
grown from 2.19% in 2002 to 2.76% in 2008 (Table 4).
Figure 4: Level of interest in S&T among Koreans
2006 (%)
Other countries and regions are given for comparison
Level of interest in new scientic discoveries (%)
Level of understanding of new scientic discoveries (%)
43.5
24.6
51.2
25.4
69.0
42.0
54.0
35.5
Rep. Korea
2002
Rep. Korea
2006
USA
2001
EU
2005
Source: Korea Foundation for Advancement of Science and Culture
(2006) Survey on level of understanding of people on science and
technology
Republic of Korea
427
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Figure 6: R&D budget of Korean small and medium-
sized venture enterprises, 20032006
34 254
2003
35 557
2004
39 214
2005
51 051
2006
23.6
20.9 21.1
24.2
0
10 000
20 000
30 000
40 000
50 000
60 000
0
5
10
15
20
25
30
R&D budget of small & medium-sized
venture enterprises
Proportion
% KRW 100 millions
Source: MoST (2007) White Paper on National Science and Technology
Policy from 2003 to 2007
Figure 5: GERD in the Republic of Korea by type of research, 19942008
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008
KRW billions
0
5 000
10 000
15 000
20 000
25 000
30 000
35 000
Total R&D budget
Development research budget
Applied research budget
Basic research budget
34 498
1 132
5 537
1 881
6 774
4 882
22 187
7 895
A steep climb in the number of researchers
Besides greater investment in R&D, another major trend
in S&T has been the significant increase in the number
of researchers. Their ranks grew at an annual average rate
of 8.7% from 2003 to 2008. As a result, there are now
300 050 researchers, placing the Republic of Korea fifth
worldwide. As for the number of researchers in relation
to population size, there were 97 full-time equivalent
(FTE) researchers per 10 000 population in 2008,
compared to 66 in 2003. The number of FTE researchers
relative to active researchers also increased substantially
over the same period. However, the Republic of Korea still
trails the USA, China, Japan and Germany in terms of
overall numbers (Figure 7).
A stronger patent performance and productivity
The number of registered patents is a key indicator of
innovation. From 2003 to 2007, the volume of Korean
patents increased substantially, largely due to greater and
more effective investment in R&D over this period and
government efforts to stimulate innovation. The number
of patents registered by Koreans in the USA increased by
99.4% from 3 786 in 2003 to 7 549 in 2008 ranking the
Republic of Korea fourth worldwide for this indicator.
428
Table 4: R&D expenditure and industrial sales in the Republic of Korea, 2007 and 2008
Industry 2007 2008
Expenditure R&D/sales ratio Expenditure R&D/sales ratio
(%) (%)
Use Invest Use Invest Use Invest Use Invest
All industries 23 864 893 25 132 297 2.43 2.56 26 000 069 27 341 718 2.13 2.24
Agriculture 11 874 11 666 9.05 8.89 21 955 21 563 2.78 2.73
Manufacturing 21 338 862 22 341 528 2.97 3.11 22 996 967 24 132 473 2.63 2.76
Beverages, food & tobacco 331 074 329 858 0.76 0.76 348 237 348 637 0.97 0.97
Textiles, clothing & leather 146 452 137 231 0.86 0.81 152 587 140 834 0.72 0.67
Chemicals & chemical products
(excluding medical products) 1 277 484 1 236 842 1.72 1.67 1 302 447 1 240 279 1.56 1.48
Medicines &
pharmaceuticals 596 779 589 838 5.85 5.78 634 493 668 492 5.24 5.52
Rubber & plastic 374 116 354 114 2.56 2.42 435 301 407 465 2.34 2.19
Non-metal products 141 864 139 864 1.20 1.18 143 713 143 401 1.04 1.03
Metal industry 415 824 483 822 0.63 0.74 511 686 635 367 0.58 0.72
Metal processing products
(excluding machine & furniture) 171 614 149 564 1.92 1.68 233 781 224 243 2.04 1.96
Electronic components, computer
Radio, TV & communication
Equipment & apparatus
__

12 080 709 12 957 217 6.36 6.82
Semiconductors 6 407 130 6 340 185 7.80 7.72 7 478 411 8 360 027 8.14 9.10
Electronic components 1 216 549 1 118 251 3.17 2.91 1 369 978 1 335 408 3.22 3.14
Computers and peripherals 276 463 266 565 4.94 4.76 195 095 197 327 3.76 3.80
Communications &
broadcasting equipment 2 610 091 2 497 438 6.99 6.69 2 742 083 2 764 020 6.32 6.37
Video & audio equipment 276 104 265 913 4.88 4.70 273 454 278 758 4.51 4.60
Medical, precision & optical
Machinery and watches 369 089 314 984 7.50 6.40 688 545 550 908 7.29 5.83
Electrical devices

681 879 645 470 2.49 2.36
Other machines and equip.

1 568 276 1 440 400 3.15 2.90
Cars & trailers 3 831 826 4 372 820 3.42 3.90 3 442 680 3 967 551 2.83 3.26
Other transporting machines 493 754 486 923 1.07 1.06 545 341 520 445 0.89 0.85
Furniture 29 680 30 816 1.02 1.06 17 068 18 185 1.03 1.09
Other products 25 962 25 573 2.35 2.31 50 197 50 520 3.26 3.28
Electricity, gas & water services 241 486 224 062 0.45 0.42 258 755 143 991 0.39 0.21
Sewerage processing & recycling,
Environmental remediation

22 703 19 130 2.53 2.13
Construction 544 369 853 259 0.49 0.77 644 940 951 250 0.50 0.74
Services sector 1 721 747 1 694 695 1.74 1.71 2 048 632 2 066 535 1.39 1.40
Transportation 55 791 42 962 0.27 0.35 55 081 65.100 0.32 0.38
Publications, video,
broadcasting & information

1 292 208 1 328 318 2.00 2.06
Telecommunications 325 722 356 317 0.83 0.90 378 911 439 531 0.92 1.06
Expertise via S&T services

522 027 494 259 3.84 3.64
Note. The total amount of sub-categorized items is not consistent with the higher categorized items because this table only shows the result of analysis
of major industries. As for some industries, data are not available for comparison with the previous year due to the revision of the KSIC-9, the Republic of
Koreas industrial classification code
Republic of Korea
429
As for domestic patents, their number grew from
45 298 in 2002 to 123 705 in 2007 (Figure 8). These
positive trends in patent performance suggest that
increases in R&D investment from 2003 onwards started
producing results as early as 2005.
Moreover, the number of Korean patents belonging to the
Triadic patent families, which are registered in the patent
offices of the USA, Japan and EU, grew approximatively by
a factor of 2.3 from 2002 to 2005, increasing from 1 383 to
3 158 respectively. Also, the number of Triadic patent family
patents per KRW 1 billion of research budget funding
increased from 0.08 in 2002 to 0.13 in 2005 (Figure 9).
A healthier technology trade balance
During 20032007, technology trade volumes increased
markedly. This suggests that innovation has become more
intensive in the Republic of Korea in recent years and
technology trade with other countries more active. The
technology trade volume amounted to US$ 4.05 billion in
2003 and by 2007 had almost doubled (growing by 80%) to
US$ 7.28 billion (Figure 10).
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Figure 7: Number of FTE researchers in the Republic of Korea, 2008
Other countries are given for comparison
Sweden Finland Japan Rep. Korea USA Germany France UK China
Researchers (full-time equivalent)
Researchers per 1 000 economically active population
9.4
1 425 550
1.8
1 423 381
10.6
709 974
6.8
284 305
9.7
236 137
7.7
211 129
5.7
175 476
9.9
47 762
14.5
39 000
Figure 8: Trends in patent registrations for the Republic of Korea, 19942007
11 683 12 512
16 516
0
30 000
60 000
90 000
120 000
1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
24 579
52 890
62 635
34 956 34 675
45 298
44 165
49 068
73 512
120 790
123 705
In addition, the ratio of technology trade revenue to
expenditure, calculated as the ratio of technology exports
to technology imports, increased from 0.25% in 2003 to
0.43% in 2007, indicating that conditions for technology
trade have improved substantially in the Republic of
Korea. However, judging from 2007 figures, this ratio is still
very low compared to such advanced countries as Japan
(3.49), UK (1.90), USA (1.75), Sweden (1.51), Finland (0.69)
and Germany (1.11).
430
More articles in SCI journals
The number of articles in Science Citation Index (SCI)
journals is a commonly used indicator to measure R&D
performance at the national level. The number of Korean
articles almost doubled between 2003 and 2008 from
18 830 to 35 569 (Figure 11). In addition, the number of
Korean articles in SCI journals per 100 researchers has gone
up to nine since 2003, indicating that research efficiency has
improved overall.
Figure 9: Triadic patent family registrations and patent productivity in the Republic of Korea, 19932005
0
500
1 500
1 000
2 000
3 000
2 500
3 500
1998 1999 2000 2001 2002 2003 2004 2005
487
663
820
1 027
1 383
2 018
2 583
3 158
1993
161
1994
213
1995
324
1996
324
1997
416
0.03 0.03 0.03 0.03 0.03
0.04
0.06 0.06 0.06
0.08
0.11
0.12
0.13
0.15
0.10
0.05
0
Triadic patent families per billion KRW of research budget
Source: MoST (2007) White Paper on National Science & Technology Policy from 2003 to 2007
Figure 10: Volume of Korean technology trade and revenue and expenditure ratio, 19932007
0
0.20
0.30
0.25
0.05
0.15
0.10
0.35
0.45
0.40
0.50
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 1993
992
1994
1 387 2 059 2 406 2 577 2 527 2 879 3 264 3 262 3 360 4 053 5 564 6 150 6 734 7 282
1995 1996 1997
0.05
0.09
0.06
0.05
0.07
0.06
0.07
0.07
0.41
0.42
0.43
8 000
7 000
6 000
5 000
4 000
3 000
2 000
1 000
0
Total volume of technology trade
Technology revenue to expenditure ratio (export/import)
0.23 0.23
0.25
0.34
% US$ millions
Source: MEST and KISTEP(2009) Survey of Research and Development in Korea
Republic of Korea
431
Furthermore, the distribution of Korean articles in SCI
journals shows a heavy focus on the physical sciences and
engineering, with far fewer publications in life sciences
than in other dynamic countries for research (OECD, 2009).
Figure 12 suggests this might be changing, albeit slowly.
In terms of volume and world share, Korea performs best
in clinical medicine and material sciences respectively
(Figure 13).
Improved competitiveness in S&T
The results of a comprehensive evaluation carried out by
the Institute of Management Development (IMD) in
Switzerland of national competitiveness in S&T for various
countries show that the competitiveness of the Republic
of Korea in S&T has taken off since 2003 (IMD, 2009). The
countrys scientific competitiveness climbed from13
th
place worldwide in 2005 to 3
rd
place in 2009.
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
Figure 11: Korean scientific articles, 19932008
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 1993
2 965
1994
3 955
5 379
6 426
7 868
9 843
11 324
12 472
14 892
15 902
18 830
19 328
23 089
35 569
1995 1996 1997
3.00
3.37
Number in SCI journals
4.19
9.50
9.20
9.84
4.87
5.68
7.59
8.42
7.80
8.32
8.37
9.07
9.40
11.8
23 286
27 284
0
35 000
5 000
10 000
15 000
20 000
25 000
30 000
0
2
4
6
8
10
12
Number per 100 researchers
Source: MEST( 2010) Main Statistics on Science and Technology
Figure 12: Korean publications by major field of science, 2003 and 2007 (%)
Life sciences

Physical sciences
Engineering, technology and mathematics
Social and behavioural sciences
33.3
35.5
42.0
36.8
21.0
26.0
3.9
2.6
2003
2007
0 10 20 30 40 50
Source: MEST( 2010) Main Statistics on Science and Technology
432
Figure 14: Changes in the Republic of Koreas competitiveness ranking in S&T, 19942009
According to an IMD evaluation
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 1994 1995 1996 1997
National competitiveness ranking S&T competitiveness ranking
24 24 24
8
2
6
25
27
28 28
20
17 24
32
6
14 14
28
32
26
31
27
32
27
30
36
41
29
29
29
31
27
21
14
17
13
14
12
10
7
5
3
Science competitiveness ranking Technology competitiveness ranking
Source: IMD (2009) World Competitiveness Yearbook; OECD (2009) Country Review of Innovation Policy in Korea
Figure 13: Volume of Korean publications by major field of science, 2008
0
3
4
2
1
5
6
7
5.37
4.78
7 000
6 000
5 000
4 000
3 000
2 000
1 000
0
Number of articles cited in the SCI Republic of Koreas world share
6.31
4.78
2.62
1.82
3.58
1.49
2.67
4.61
2.2
3.07
1.79
4.6
3.21
1.66
C
o
m
p
u
t
e
r

s
c
i
e
n
c
e
share (%)
E
n
g
i
n
e
e
r
i
n
g

s
c
i
e
n
c
e
M
a
t
e
r
i
a
l

s
c
i
e
n
c
e
C
h
e
m
i
s
t
r
y
E
a
r
t
h

s
c
i
e
n
c
e

M
a
t
h
e
m
a
t
i
c
s
P
h
y
s
i
c
s
S
p
a
c
e

s
c
i
e
n
c
e
B
i
o
l
o
g
y
/
b
i
o
c
h
e
m
i
s
t
r
y
I
m
m
u
n
o
l
o
g
y
M
i
c
r
o
b
i
o
l
o
g
y
M
o
l
e
c
u
l
a
r

b
i
o
l
o
g
y
/
g
e
n
e
t
i
c
s
N
e
u
r
o
s
c
i
e
n
c
e
/
b
e
h
a
v
i
o
u
r
a
l

s
c
i
e
n
c
e
P
h
a
r
m
a
c
o
l
o
g
y
C
l
i
n
i
c
a
l

m
e
d
i
c
i
n
e
A
g
r
i
c
u
l
t
u
r
e
E
c
o
l
o
g
y
/
e
n
v
i
r
o
n
m
e
n
t
a
l

s
c
i
e
n
c
e
P
l
a
n
t

s
c
i
e
n
c
e
/
a
n
i
m
a
l

s
c
i
e
n
c
e
1.86
2.47
5 006 290 1 851 234
896 833
592
1 034
5 980
873
530 1 172
864
487 4 613 3 259 4 509 1 221
Note: Data are taken from Thomson Reuters Science Citation Index Expanded.
Source: MEST (2010) Main Statistics on Science and Technology
Republic of Korea
433
In terms of technological competitiveness, however, the
Republic of Korea has taken the opposite path, slipping
from 2
nd
place overall (2005) to 14
th
(2009) [Figure 14].
This is due to a poor showing for some key indicators. For
example, in terms of the extent to which the development
and application of technology are supported by the legal
environment, the Republic of Korea ranks only 37
th
and for
technological co-operation between companies 38
th
.
It can only manage 36
th
place for the extent to which
technological regulation supports business development
and innovation and 34
th
for the funding of technological
development. Other indicators taken into account in the
overall evaluation include whether cyber security is being
adequately addressed by corporations (38
th
) and the
percentage of mobile telephone subscribers in the
general population (38
th
) [IMD, 2009]. In Japan, scientific
competitiveness may have managed to hold on to
3
rd
place since 2009 but the countrys technological
competitiveness has slipped from 9
th
place (2005) to
16
th
place (2009), owing to the recent economic recession
in Japan.
CONCLUSION
The Republic of Korea has performed exceptionally well in
the past few decades in its efforts to catch up to the
worlds leading economies, instigating waves of industrial
upgrades to become a world leader in some of the most
high-tech industries (OECD, 2009). More than 80% of
GERD has gone on research applications and develop-
ment. Of this share, 50% has fuelled economic
development with a focus on industrial technology.
Despite the global economic recession caused by the
US subprime mortgage crisis, the Korean economy
expanded by 1.2% in 2009 and is projected to grow
4.4 % this year (OECD, 2009). The Republic of Korea
owes much of its success to high levels of both total
expenditure on R&D and business expenditure on R&D,
a highly educated labour force, strong infrastructure in
ICTs and the development of substantial technological
capabilities in a number of high-tech areas.
8
However, the Republic of Korea is now entering a critical
phase in its development with few guarantees of continuing
success. It is reaching the limits of its catch-up strategy due
to the difficulties of creating a new growth engine, its
continuing deficit in the technological balance of payments
and a lack of national R&D investment in preparedness for
natural and human-induced disasters and in global issues
like climate change.
To overcome these limitations, the Republic of Koreas STI
strategy needs to shift from a catch-up model to a post
catch-up model incorporating such features as a creative
mode and green growth mode , among others. Future
investment in R&D should be expanded in the areas of
basic research and green technology to enable research to
focus more on frontier research and take a greener path,
raise the innovative and absorptive capacities of small and
medium-sized enterprises and link up researchers better to
international sources of knowledge (OECD, 2009). The
Republic of Korea needs to expand R&D investment in
socially responsible technology in such areas as disaster
prevention, food safety and mitigation and adaptation to
climate change.
It will also be necessary to boost R&D investment in the
university sector. Universities are the key performers of
basic research and concentrate high-quality human
capital. Korean STI policy needs to nurture and utilize its
world-class human resources and to strengthen global
S&T co-operation.
R
e
p
u
b
l
i
c

o
f

K
o
r
e
a
8. Korean firms recently conquered the highest world market share in three
areas: DRAM semiconductors, a memory product commonly used in personal
computers; liquid crystal display (LCD) computer monitors and televisions to
which thin-film transistors (TFT) are added; and CDMA cellular phones.
|||SO S|||| |||O| 2010
||||||||S
Government of Pepubllc of Korea (2008) 5c|ence onJ
7echnoloy 8os|c Plon, 2008-2012. Seoul.
(2003) 5c|ence onJ 7echnoloy 8os|c Plon, 2003-2007.
Seoul.
|MD (2009) wotlJ Comet|t|veness eotoool. |nstltute of
Management Development.Avo|loole ot:
www.|mJ.ch/teseotch/uol|cot|ons/wcy/|nJex.clm
Korea Poundatlon for Advancement of Sclence and
Culture (2006) 5utvey on the level ol unJetstonJ|n ol
Peole concetn|n 5c|ence on 7echnoloy.
Korean Natlonal Commlsslon for UNLSCO (2009) A 0ecoJe
ol 0ynom|c 0eveloment |n 5c|ence onJ 7echnoloy |n
the keuol|c ol loteo, 2000-2009.
Lee, 1.1. (2008) loteos 5c|ence onJ 7echnoloy Pol|cy 2008.
K|STLP P&D Management Programme for Hlgh Level
Pollcy Makers. Korea |nstltute of Sclence and
Technology Lvaluatlon and Plannlng.
(2007) keott to the Ptes|Jent|ol AJv|soty Counc|l on
5c|ence onJ 7echnoly. Korea |nstltute of Sclence and
MLST(20l0) Vo|n 5tot|st|cs on 5c|ence onJ 7echnoloy.
Mlnlstry of Lducatlon, Sclence and Technology, Seoul.
MLST/K|STLP (2009) 5utvey ol keseotch onJ 0eveloment |n
loteo. Mlnlstry of Lducatlon, Sclence and Technology
and Korea |nstltute of Sclence and Technology
Lvaluatlon and Plannlng. December.
MoST (2007) 5ummoty ol wh|te Poet on Not|onol 5c|ence
onJ 7echnoloy Pol|cy ltom 2003 to 2007. Mlnlstry of
Sclence and Technology, Seoul.
NSTC (2008) 5c|ence onJ 7echnoloy 8os|c Plon ol the lee
Vyun-8ol ovetnment (2008-20l2).
(2007o) Veons ol 7echnoloy-ooseJ lnhoncement ol
uol|ty ol l|le lot the keol|zot|on ol v|s|on 2030. Natlonal
Sclence and Technology Councll.
(2007o) Comtehens|ve Veons ol 7echnoloy-ooseJ
lmtovement ol the uol|ty ol l|le. Natlonal Sclence
and Technology Councll.
434
NSTC/K|STLP (2009) Anolys|s ol Not|onol k80 Petlotmonce
onJ Pol|cy lml|cot|ons |n loteo. Natlonal Sclence and
Technology Councll and Korea |nstltute of Sclence and
NSTC/MLST (2009) 2009 5utvey onJ Anolys|s ol the Not|onol
k80 Ptotomme. Natlonal Sclence and Technology
Councll and Mlnlstry of Lducatlon, Sclence and
Technology.
OLCD (2009) OlC0 Countty kev|ew ol lnnovot|on Pol|cy |n
loteo. Organlsatlon for Lconomlc Co-operatlon and
Development.
(2008) Vo|n 5c|ence onJ 7echnoloy lnJ|cotots.
Organlsatlon for the Lconomlc Co-operatlons and
Development.
(2007) 57l 5coteoootJ. Organlsatlon for Lconomlc
Co-operatlon and Development.
PACST/K|STLP (2007) Anolys|s ol the Petlotmonce ol 5c|ence
onJ 7echnoloy Pol|cy ol the Covetnment ltom 2003 to
2007. Presldentlal Advlsory Councll on Sclence and
Technology and Korea |nstltute of Sclence and
lonlyoteh (2009) S. Korea's record-breaklng low blrth rate
requlres employment pollcy revlslons. Ldltorlal.
lonlyoteh. l3 1uly. Avallable at:
http://engllsh.hanl.co.kr/artl/engllsh_edltlon/e_edltorl
al/365484.html
onhap, New (2006) 5. loteon lett|l|ty tote lell to tecotJ-low
|n 2005. l9 September. Avallable at:
http://blog.naver.com/kcrlu/l40028944672
\|bS||S
Global Pesearch Laboratory:
http://nanohub.org/resources/3386
Natlonal Sclence and Technology |nformatlon Servlce:
http://rndgate.ntls.go.kr/
Natlonal Sclence and Technology Councll: www.nstc.go.kr
Korea chapter ll P3:Layout l l9/l0/l0 08:l9 Page 434
|opJb||c c| |c.o.
435
P
e
p
u
b
l
l
c

o
f

K
o
r
e
a
Dr Jang-Jae Lee was born ln Daegu ln l959. He ls
Senlor Pesearch Pellow and former vlce-Presldent of
the Korea |nstltute of Sclence and Technology
Lvaluatlon and Plannlng (K|STLP), wlth responslblllty
for analyslng ST| actlvltles and preparlng
technologlcal lnnovatlon pollcy alternatlves for the
Natlonal Sclence and Technology Councll (NSTC)
chalred by the Presldent of the Pepubllc of Korea.
Dr Lee also serves as Sclence and Technology Advlsor
to the governor of several provlnces and to a number
of government agencles, lncludlng the Natlonal
Assembly 8udget Offlce and the Audlt and |nspectlon
Pesearch |nstltute.
He obtalned hls PhD ln Publlc Admlnlstratlon wlth
a focus on sclence from Kookmln Unlverslty,
after obtalnlng a Master of Pollcy Sclence from
Seoul Natlonal Unlverslty. Dr Lee has a long
experlence of lnnovatlon studles, lncludlng the tles
between lndustrlal and academlc research,
collaboratlon among lnstltutes, technology strategy,
reglonal lnnovatlon systems and the evaluatlon and
co-ordlnatlon of natlonal P&D programmes at the
Sclence and Technology Pollcy |nstltute (STLP|) from
l988 to l999.
Slnce [olnlng K|STLP ln Pebruary l999, he has been
lnvolved ln evaluatlng natlonal P&D programmes, co-
ordlnatlng P&D budgets and plannlng the mld- and
long-term Not|onol 5c|ence onJ 7echnoloy Plon for
NSTC ln hls capaclty as Prlnclple |nvestlgator.
A||O\|||V||S
The author wlshes to thank Prof. Lee 1une-Seung,
Presldent of K|STLP, and Mr Thomas (Sung[un) oun,
Assoclate Pesearch Pellow at K|STLP, for thelr many
valuable and helpful suggestlons.
Korea chapter ll P3:Layout l l9/l0/l0 08:l9 Page 435
A chollene lot the lutute w|ll oe to
ensute thot |nnovot|on ol|cy |s not the
sole Jt|vet ol sc|ence ol|cy onJ thot
the not|onol sc|ence oose con temo|n
sull|c|ently comtehens|ve jto enoole |t
to utsuej loool sc|ent|l|c
colloootot|on.
Tlm Turpln, Plchard woolley, Patarapong |ntarakumnerd
and wasantha Amaradasa
SE Asia+Oceania [12] [P3]:Layout 1 18/10/10 20:02 Page 436
437
|||O|||O|
The present chapter covers a wlde dlverslty of economles ln
Southeast Asla, Australla, New Zealand and the Paclflc
|slands.
l
Of the seven countrles grouped under Southeast
Asla, one ls the world's flfth-largest exporter of merchandlse,
newly lndustrlallzed Slngapore. At the other end of the
scale, Cambodla ranks lll
th
for world merchandlse exports,
whereas Tlmor Leste does not even feature ln the global
statlstlcs of the world Trade Organlzatlon (wTO).
The total populatlon of the seven Southeast Aslan
countrles plus Australla and New Zealand came to
549 mllllon ln 2009. The total GDP for thls group ln
2008 amounted to US$ 2 475 mllllon, [ust over half that
of Chlna (US$ 4 327 mllllon) and twlce that of |ndla
(US$ l 2l3 mllllon). The developed lndustrlal economles
of Australla and New Zealand account for only 5% of the
populatlon but nearly half of the group's total GDP.
The present chapter also encompasses 22 Paclflc |sland
countrles and terrltorles, although, ln terms of sclence,
these are domlnated by 'the blg four': Pl[l, Papua New
Gulnea, New Caledonla and Prench Polynesla. These
economles are nevertheless small ln slze and ln terms of
thelr contrlbutlon to world trade.
The global recesslon trlggered by the US subprlme crlsls ln
2008 has been experlenced dlfferently from one country to
another. Australla, for example, was one of the few countrles
of the Organlsatlon for Lconomlc Co-operatlon and
Development (OLCD) that technlcally avolded a recesslon.
Thls was largely because of the comparatlvely sound flnanclal
structures ln the economy and the contlnued hlgh demand
for commodltles from Chlna and |ndla. A strong economlc
stlmulus programme was lntroduced by the Australlan
government ln 2009 but thls focused on lnfrastructure
pro[ects wlth llttle or no dlrect lmpllcatlons for sclence.
The earller Aslan flnanclal crlsls from l997 to l999 had
reverberated around Southeast Asla, leadlng to a number
of structural and lnstltutlonal reforms ln natlonal flnanclal
systems. |ndonesla, the Phlllpplnes, Thalland and Malaysla
were all hard-hlt by the Aslan crlsls but reforms set ln
motlon as a consequence served to cushlon many
economles from the lmpact of the global recesslon a
decade later, compared to what North Amerlca and
western Lurope have been golng through. Moreover, ln
most of the countrles covered here, sclence remalns a
comparatlvely low prlorlty ln natlonal strateglc plans, as we
shall see ln the country proflles that follow for Cambodla,
Thalland and Pl[l ln partlcular. As a consequence, the global
recesslon has had very llttle dlrect lmpact on sclence.
Nevertheless, the lmpact can be observed through: (a) a
reductlon ln hlgh-tech exports, (b) more sharply deflned
sclence prlorltles allgned wlth local natlonal prlorltles ln
Australla, New Zealand and Slngapore, and ln some cases
(c) reduced spendlng on sclence and technology (S&T).
Thls latter lmpact ls not yet clearly documented because
of the tlme lag ln data avallablllty on expendlture on
research and development (P&D) but the lssue has been
foreshadowed ln some natlonal pollcy statements.
The storles that wlll unfold ln the followlng pages are as
dlverse as the countrles themselves. There ls no one slngle
story that epltomlzes the reglon as a whole, or even sub-
reglons. There are, however, some common trends ln terms
of the general dlrectlon sclence pollcy ls taklng, the moblllty
of human resources and lnternatlonal collaboratlon.
l|tstly, all countrles are dependent to some degree on the
sclence systems of the global sclentlflc Trlad: USA, Lurope
and 1apan. Thls ls evldent ln world output of sclentlflc
papers, patents and other related lntellectual property,
forelgn lnvestment and technologlcal lnnovatlon and
research tralnlng.
5econJly, the global moblllty of, and competltlon for,
sclentlsts and englneers have lntenslfled. All countrles are
seeklng to traln, attract and retaln an lncreaslng cohort of
sclentlsts and englneers.
7h|tJly, lnternatlonal collaboratlon ln S&T ls growlng
rapldly, partly due to llberallzed polltlcal arrangements
and partly due to the growlng cost of much sclentlflc
lnfrastructure.
loutthly, sclence pollcy has shlfted ground ln terms of
natlonal development strategles. Sclence pollcy has been
brought ln from the cold to play a central role ln lnnovatlon
pollcles. Thls has qulte slgnlflcant long-term lmpllcatlons
and carrles wlth lt pollcy management dllemmas.
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
21
.
Southeast Asla and Oceanla
|n J.p|r, ||c|..J \cc||oy, |.t...pcr |rt...kJnro.J
.rJ \.s.rt|. An...J.s.
l. The present chapter lncludes the seven Southeast Aslan countrles of
Cambodla, |ndonesla, Malaysla, Phlllpplnes, Slngapore, Thalland and vlet
Nam, as well as Australla and New Zealand, plus the 22 Paclflc |sland
countrles and terrltorles domlnated by Pl[l, Papua New Gulnea, New
Caledonla and Prench Polynesla.
A Thal 8uddhlst
monk uslng a
laptop
Photo:
k|chotJ 5tomet/
|5toclhoto
The responsibility for a science, technology and innovation
(STI) system draws on a wider range of government
portfolios than previously, whereas science has usually
remained the responsibility of one, or perhaps two,
ministries. With innovation touching on the responsibilities
of a much wider range of portfolios, co-ordination becomes
a key factor. An accompanying challenge is thus to maintain
a strong, competitive basic science system in the context of
the sometimes competing policy demands that emerge.
Last but not least, globalization offers both opportunities
and challenges for some of the smaller economies.
Global competition has drawn groups of countries into
collaborating networks. Thus, regional structures
2
such as
the Association of Southeast Asian Nations (ASEAN), the
Asia-Pacific Economic Cooperation (APEC), the Pacific
Islands Forum and the Greater Mekong Subregion offer
new opportunities for coalescing scientific capacity.
These issues are discussed below in the context of five
structural factors: (i) research and development (R&D)
input (ii) R&D output and, in the country profiles (iii)
institutional arrangements (iv) policies and priorities and
(v) future trends and challenges.
R&D INPUT
Trends in R&D expenditure and personnel
The available data for all countries show rising national
investment in R&D. Singapore and Australia more than
doubled spending between 2000 and 2006. However, when
gross domestic expenditure on R&D (GERD) is configured as
a percentage of GDP, it becomes clear that, for Thailand, the
Philippines and Indonesia, among others, these investments
have barely kept pace with growth in GDP (Table 1).
Of all the countries covered in the present chapter,
Singapore stands out as the most rapidly growing science
investor. In Singapore, GERD doubled between 2000 and
2007, progressing from 1.9% to 2.5% of GDP.
438
Australia 22.1 48.3 2006 87 270 4 231 44.8
*
993 2.06 720.7 57.3 57.2
Cambodia 14.8 0.8 2002 223 17 22.6 13 0.05 0.5 12.1 0
Indonesia 231.4 2.2 2005 35 564
h
162
h
0.05
a
1.6
a
3.7
a
Malaysia 28.3 8.2 2006 9 694 372 38.8 44 0.64 79.9 84.9 84.7
New Zealand 4.4 29.9 2007 18 300 7 084
h
0 894 1.21 330.5 42.7 40.1
Philippines 92.2 1.9 2005 6 896 81 50.7 10 0.12 3.4 68.0 62.6
Singapore 5.0 39.4 2007 27 301 6 088 0 529 2.52 1 341.8 66.8 59.8
Thailand 63.4 4.2 2005 20 506 311 49.9 160 0.25
+1
18.1
+1
40.9
+1
48.7
Timor Leste 1.2 0.5
*

Viet Nam 85.8 1.0 2002 9 328 115 42.8 0.19 3.1 14.5 18.1
P
o
p
u
l
a
t
i
o
n

2
0
0
9

(
m
i
l
l
i
o
n
s
)
G
D
P

p
e
r

c
a
p
i
t
a
,

2
0
0
8

(
U
S
$

t
h
o
u
s
a
n
d
s
)
T
o
t
a
l

F
T
E

Y
e
a
r
R
e
s
e
a
r
c
h
e
r
s

p
e
r

m
i
l
l
i
o
n

p
o
p
u
l
a
t
i
o
n

(
F
T
E
)
W
o
m
e
n
r
e
s
e
a
r
c
h
e
r
s

(
%
)
T
e
c
h
n
i
c
i
a
n
s

p
e
r
m
i
l
l
i
o
n

p
o
p
u
l
a
t
i
o
n

A
s

%

o
f

G
D
P
P
e
r

c
a
p
i
t
a

P
P
P
$
P
e
r
f
o
r
m
e
d

b
y

b
u
s
i
n
e
s
s

(
%
)
F
u
n
d
e
d

b
y

b
u
s
i
n
e
s
s

(
%
)

Table 1: Socio-economic and R&D input indicators for Southeast Asia and Oceania, 2009 or most recent year available
Selected countries
-n/+n = data refer to n years before or after reference year a = partial data h = headcount * national estimation
Note: For Australia, women researchers are derived from 2006 census data.
Source: UNESCO Institute for Statistics, June 2010; United Nations Statistical Division, June 2010
Researchers GERD
2. See Annex I for the composition of ASEAN, APEC, the Pacific Islands
Forum and Greater Mekong Region
SE Asia+Oceania [2] [Ed2]:Layout 1 10/12/10 12:41 Page 438
GLPD per caplta also doubled to US$ l 342, a flgure
conslderably hlgher than that for 1apan (US$ l l59), the
USA (US$ l l95) or the UK (US$ 620). Slngapore also
stands out for the four groups of varlables used by the
world 8ank to construct lts Knowledge Lconomy |ndex
(KL|): economlc lncentlve, lnnovatlon, educatlon and
lnformatlon and communlcatlon technologles (|CTs)
|Table 2|. et, even Slngapore has struggled to move up
the ladder: ln 2009, lt ranked l9
th
out of l46 economles on
the KL|, havlng cllmbed [ust two rungs slnce l995.
Nevertheless, the dynamlc rlse of Slngapore ls one of the
outstandlng developments of the past flve years.
The number of S&T personnel has also grown
conslderably across the reglon. Agaln, Slngapore leads ln
terms of growth. However, Slngapore stlll has a
comparatlvely small pool of technlclans, suggestlng
future skllls shortages lf the current pace of sclentlflc
growth contlnues unabated. |n |ndonesla, numbers of S&T
personnel appear to have decllned, although lt should
be noted that the avallable data are not dlrectly
comparable. Meanwhlle, data on lnvestment ln P&D and
S&T personnel are few and far between for many of the
Paclflc countrles and Tlmor Leste.
An lmportant lndlcator of natlonal capablllty ln ST| ls the
level of buslness sector lnvestment ln P&D. These data are
hlghly varlable across the countrles covered here.
Por example, Malaysla and the Phlllpplnes both have
comparatlvely hlgh rates of buslness lnvestment ln P&D.
However, thls ls largely because of the presence of large
forelgn flrms operatlng ln those countrles. There ls
evldence that slmllar developments are underway ln
Thalland. The challenges for the ST| systems of these
countrles wlll be to lever knowledge and technology from
thls forelgn lnvestment for thelr domestlc economles.
Cambodla and Tlmor Leste have been undergolng
conslderable soclal and economlc transformatlon. As a
consequence, lnvestment ln S&T has focused prlmarlly on
lnstltutlon-bulldlng and on developlng human resources.
The tragedy of Cambodla's turmoll throughout the l970s
ls reflected ln a mlnlscule human resource base compared
to lts nelghbours. Also undergolng economlc transltlon,
vlet Nam has been developlng from a low base but S&T
lnstltutlonal structures are comparatlvely well-developed
and, although undergolng wldespread reform, provlde a
strong hlstorlcal foundatlon on whlch to bulld.
Two lmportant observatlons can be made from these
lndlcators. The flrst ls that there ls conslderable dlverslty
across the reglon ln terms of human resources and
expendlture on S&T. The second observatlon concerns the
rapld, meteorlc rlse of Slngapore's sclentlflc capaclty.
ScJt|o.st As|. .rJ Oco.r|.
439
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
Table 2: Knowledge Lconomy |ndex and Knowledge |ndex for Southeast Asla and Oceanla, 2009
5electeJ countt|es
Note: Developed by the world 8ank, the Knowledge Lonomy |ndex (KL|) ls based on the average of the normallsed scores of a country for all four plllars of the
knowledge economy: economlc lncentlve and lnstltutlonal reglme, educatlon, lnnovatlon and |CTs. The Knowledge |ndex (K|) measures a country's ablllty to
generate, adopt and use knowledge. The K| lndex ls based on key varlables for the three knowledge plllars: educatlon, lnnovatlon and |CTs. |t should be noted
that some data are mlsslng for vlet Nam.
5outce: world 8ank database, accessed March 20l0
Slngapore l9 +2 8.44 8.03 9.68 9.58 5.29 9.22
Australla ll -l 8.97 9.08 8.66 8.88 9.69 8.67
New Zealand l4 -6 8.92 8.97 8.79 8.66 9.78 8.46
Malaysla 48 - 6.07 6.06 6.ll 6.82 4.2l 7.l4
Thalland 63 -9 5.52 5.66 5.l2 5.76 5.58 5.64
Pl[l 86 -4 4.20 4.47 3.4 5.03 4.25 4.l2
Phlllpplnes 89 -l6 4.l2 4.03 4.37 3.8 4.69 3.60
|ndonesla l03 -2 3.29 3.l7 3.66 3.l9 3.59 2.72
vlet Nam l06 +l4 3.5l 3.74 2.79 2.72 3.66 4.80
Cambodla l37 -8 l.56 l.54 l.63 2.07 l.93 0.62
Ranking
for 145
countries
(KEI)
Change in
Rank from
1995
Country KEI KI Education Innovation Economic
incentive
regime
ICTs
Slngapore ls one of the few countrles ln the reglon wlth a
net lnflow of sclentlflc personnel, both from the reglon
and from other sclentlflcally advanced economles. There ls
growlng evldence that Slngapore ls becomlng central to
global knowledge hubs ln flelds such as blomedlcal
sclence and lnformatlon technology (|T). A blg challenge
for Slngapore wlll be to malntaln the present lnflow of
human capltal ln order to underpln sustalned knowledge-
based development over the next decade, even as the
rapld growth of the |ndlan and Chlnese economles ls
stlmulatlng demand for skllled personnel ln these
countrles. However, lt can be safely sald that the growlng
presence of Slngapore ln global sclence ls not slmply a
locallzed phenomenon but also carrles wlder lmpllcatlons
for sclentlflc collaboratlon across reglonal economles.
Information infrastructure: reaching the poor
One lssue confrontlng most countrles concerns thelr capaclty
to dellver beneflts from sclence to the rural poor who llve
outslde the ma[or cltles. Accordlng to the world 8ank's |CT
varlable, Slngapore performs best ln Southeast Asla, no
doubt due ln part to belng essentlally an urban country.
Slngapore, Australla and New Zealand have all masslvely
expanded |nternet access slnce 200l (Plgure l). what ls
strlklng ls the dlfflculty countrles wlth a large, urban poor
face ln spreadlng access to the |nternet, such as Cambodla,
the Phlllpplnes and Tlmor Leste. |nterestlngly, the Prench-
speaklng Paclflc terrltorles have developed |nternet usage
qulte rapldly slnce 2000, no doubt due to thelr tles to
metropolltan Prance.
|||SO S|||| |||O| 2010
440
5outce: un|teJ Not|ons 5tot|st|col 0|v|s|on, V|llenn|um 0eveloment Cools lnJ|cotots
Singapore
New Zealand
Australia
Malaysia
New Caledonia
Prench Polynesia
Thailand
Pi|i
|ndonesia
Philippines
Papua New Guinea
Cambodia
Timor-Leste
53.2 72.0
52.7 72.0
4l.7 73.0
26.7 55.8
l8.2 34.5
6.3 33.9
5.6 23.9
2.5 / 6.2
2.0 / 7.9
l.9 / l2.2
0.9 / l.8
0.l / 0.5
0.2
Figure 1: |nternet users per l00 populatlon ln Southeast Asla and Oceanla, 200l and 2008
5electeJ countt|es onJ tett|tot|es
|| O|||
Scientific publications
The number of sclentlflc publlcatlons has grown
substantlally ln the reglon, lncreaslng by around 70% from
l998 to 2008, wlth Australla, Slngapore and New Zealand
belng the largest knowledge producers (Table 3). Por
many countrles, publlcatlons grew from a very low
startlng polnt but some qulckly overcame thls handlcap,
lncludlng Thalland and Malaysla. |n 200l, Slngapore even
overtook New Zealand, a country wlth a slmllar
populatlon, and has slnce consolldated lts posltlon.
'The blg four' domlnated the sclentlflc output of the
Paclflc over the same ten-year perlod: New Caledonla,
Papua New Gulnea, Pl[l and Prench Polynesla. These four
accounted for 86% of artlcles publlshed by sclentlsts ln
the Paclflc lslands that were recorded ln Thomson Peuters'
Sclence Cltatlon |ndex (Table 4). Overall, the Paclflc
countrles and terrltorles account for less than l% of all the
sclentlflc artlcles produced by the countrles covered ln the
present chapter.
These data ralse the questlon of [ust how central the three
ma[or sclence publlshlng countrles of Australla, Slngapore
and New Zealand are to sclentlflc collaboratlon! Do
reglonal knowledge hubs really plvot around these
countrles or ls each of the three slmply pursulng lts own
separate sclentlflc endeavour! |n the answer lles the key
to understandlng the dynamlcs of reglonal co-operatlon
ln S&T.
|t ls posslble to explore thls questlon by lnvestlgatlng
patterns of co-authorshlp (Table 5). Co-authorshlp data
tell an lnterestlng story. l|tstly, lt ls clear that
lnternatlonal co-authorshlp of sclentlflc papers ls a
commonplace practlce for sclentlsts rlght across the
reglon. 5econJly, the rate of lnternatlonal co-authorshlp
ls slgnlflcantly hlgher among those countrles that
produce a modest amount of sclentlflc papers. The level
of lnternatlonal co-authorshlp for speclflc countrles may
thus provlde an lndlcator of lnternatlonal sclentlflc
dependence. Cambodla, for example, has been almost
entlrely dependent on lnternatlonal co-authorshlp for lts
publlcatlon output for the past decade (94%). Sclentlsts
ln |ndonesla and the Phlllpplnes also have relatlvely hlgh
rates of co-publlcatlon wlth lnternatlonal colleagues.
Slngapore, Australla, New Zealand and Malaysla are, by
contrast, far less dependent on co-authors abroad for
thelr publlcatlon output and there ls evldence of
44l
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
Table 3: Lngllsh-language sclentlflc artlcles by authors from Southeast Asla and Oceanla, l998-2008
5electeJ countt|es
5outce: Thomson Peuters' (Sclentlflc) |nc. web of Sclence (Sclence Cltatlon |ndex Lxpanded), complled for UNLSCO by the Canadlan Observarlore des
sclences at des technologles
l998 l6 432 8 305 658 3 5l9 263 2 264 855 l98 24 502
l999 l6 766 l2 354 830 3 597 292 2 729 965 239 25 784 5.2
2000 l8 945 l4 429 805 3 762 353 3 465 l l82 3l5 29 270 l3.5
200l l9 l55 l4 449 906 3 772 3l7 3 78l l 344 353 30 091 2.8
2002 l9 645 20 42l 96l 3 8l9 398 4 l35 l 636 343 31 378 4.3
2003 20 920 23 428 l l23 3 935 4l8 4 62l l 940 458 33 866 7.9
2004 22 456 4l 47l l 308 4 260 427 5 434 2 ll6 434 36 947 9.l
2005 23 376 50 526 l 520 4 590 467 5 97l 2 409 540 39 449 6.8
2006 25 449 64 597 l 757 4 739 464 6 300 3 000 6l7 42 987 9.0
2007 26 6l9 80 582 2 l5l 4 974 535 6 249 3 582 698 45 470 5.8
2008 28 3l3 75 650 2 7l2 5 236 624 6 8l3 4 l34 875 49 432 8.7
Total 238 076 401 5 212 14 731 46 203 4 558 51 762 23 163 5070 389 176 7.3
Growth
l998-2008 (%) 72.3 837.5 ll3.l 3l2.2 48.8 l37.3 200.9 383.5 34l.9 l0l.7
A
u
s
t
r
a
l
i
a
C
a
m
b
o
d
i
a
I
n
d
o
n
e
s
i
a
M
a
l
a
y
s
i
a
N
e
w

Z
e
a
l
a
n
d
P
h
i
l
i
p
p
i
n
e
s
S
i
n
g
a
p
o
r
e
T
h
a
i
l
a
n
d
V
i
e
t

N
a
m
A
n
n
u
a
l

T
o
t
a
l
A
n
n
u
a
l

g
r
o
w
t
h

(
%
)
considerable collaboration between countries in the
region. International comparisons suggest that a figure
of around 4050% for international co-authorship
represents a good balance between the national science
base and global collaborative science.
Although scientists from the USA are the most
prominent collaborators overall, there is some diversity
in international co-authorship. Among the Pacific
nations and territories, Australia and France are the
dominant partners, with the French connection logically
being strongest for the French-speaking territories. There
is also co-operation among Pacific countries and
territories. For example, over 10% of Fijis international
co-authored publications include at least one author
from another Pacific country. The same is true for French
Polynesia and New Caledonia. This is an important
development for the smaller Pacific States and territories
because co-authorship with the larger Pacific economies
indicates not only co-operation in common areas of
scientific endeavour but also potential knowledge
conduits to major global science hubs elsewhere. The US
scientific hub is the most frequent source of co-authors
for most Southeast Asian countries, Australia and New
Zealand. However, Indonesian and Vietnamese scientists
co-author articles primarily with their Japanese
counterparts and Malaysian authors with Chinese
scientists. China is also an important collaborator for
scientists from Singapore, the Philippines and Australia,
an interesting addition to the scientific domination
generally accorded to the USA, Japan and the European
Union (EU).
National strengths in particular fields emerge when
publications are counted by field of research (Figure 2).
For the region as a whole, clinical medicine
predominates (30% of all publications), followed by
biological (15%), engineering (15%) and biomedical
sciences (13%). In some countries, scientific output is
concentrated in one or two fields. For example, more
than half of Cambodias modest output is circumscribed
to the medical sciences. Interestingly, Earth and space
sciences also make up a sizeable share of its research
output. By contrast, output from Singapore emanates
firstly from engineering, followed by medicine and
physics. Fiji, Indonesia, New Zealand, Papua New Guinea
and the Philippines all have a high output in biological
sciences. Malaysia stands apart, with its strong focus on
chemistry.
There is also evidence of the growing impact of the
science produced in the region. One indicator of scientific
442
Table 4: English-language scientific articles by authors from Pacific islands, 19982008
Selected countries and territories
Source: Thomson Reuters (Scientific) Inc. Web of Science (Science Citation Index Expanded), complied for UNESCO by the Canadian Observariore des
sciences at des technologies
1998 24 44 66 61 27 222
1999 29 35 51 76 37 228 2.7
2000 23 38 65 68 32 226 -0.9
2001 23 32 56 72 20 203 -10.2
2002 33 35 39 65 20 192 -5.4
2003 33 33 59 62 40 227 18.2
2004 41 40 62 53 46 242 6.6
2005 58 35 85 43 38 259 7.0
2006 62 44 115 50 57 328 26.6
2007 60 38 126 81 44 349 6.4
2008 59 41 107 79 30 316 -9.5
Total 455 415 831 710 391 2 792 4.2
Growth
19982008 (%) 145.8 -6.8 62.1 29.5 11.1 42.3
F
i
j
i
F
r
e
n
c
h

P
o
l
y
n
e
s
i
a
N
e
w

C
a
l
e
d
o
n
i
a
P
a
p
u
a

N
e
w

G
u
i
n
e
a
O
t
h
e
r

P
a
c
i
f
i
c
I
s
l
a
n
d
s
T
o
t
a
l
P
a
c
i
f
i
c
A
n
n
u
a
l

g
r
o
w
t
h

(
%
)
Figure 2: Publications in Southeast Asia and Oceania by major field of science, 2008 (%)
Southeast Asia and Oceania
443
S
o
u
t
h
e
a
s
t

A
s
i
a

a
n
d

O
c
e
a
n
i
a
Table 5: Top three countries for international co-authorship with Southeast Asia and Oceania, 19982008
Australia 207 944 45.5 USA (14.7) UK (7.7) China (5.2)
Cambodia 396 93.9 USA (26.9) France (19.9) Japan (15.1)
Indonesia 4 750 88.8 Japan (28.1) USA (22.1) Australia (22.1)
Malaysia 13 576 48.4 China (18.0) UK (12.8) India (12.6)
New Zealand 42 491 48.5 USA (32.0) Australia (24.9) UK (17.9)
Philippines 4 079 71.9 USA (32.6) Japan (25.0) China (7.2)
Singapore 45 943 41.4 USA (30.2) China (29.1) Australia (10.8)
Thailand 21 001 56.6 USA (34.6) Japan (22.7) UK (12.1)
Viet Nam 4 569 62.1 Japan (19.1) USA (15.3) France (14.6)
Fiji 453 78.4 Australia (35.8) USA (22.5) India (13.0)
French Polynesia 415 88.4 France (70.0) USA (21.3) New Caledonia (8.7)
New Caledonia 831 83.9 France (59.8) USA (16.5) Australia (13.2)
Papua New Guinea 671 80.9 Australia (46.0) USA (31.5) UK (14.4)
SCI
papers
19982008
Selected
countries and
territories
International
co-authors
(%)
Country of origin
of co-author
(%)
Australia
Cambodia
Fiji
Indonesia
Malaysia
New Zealand
Papa New Guinea
Philippines
Singapore
Thailand
Viet Nam
Biology
Earth and space
Biomedical research
Engineering & technology
Chemistry
Mathematics
Clinical medicine
Physics
100 80 60 40 20 0
13.9 13.3 6.3 35.7 9.8 10.7 2.9 7.4
14.6
33.8 6.7 10.2 13.6 13.6 16.9 5.2
23.7 12.8 7.1 13.8 12.0 2.1 5.7 22.8
10.8 11.1 21.7 19.7 4.5 21.9 2.1 5.7
22.3 12.9 5.6 32.4 10.8 7.7 3.3 5.0
25.3 24.0 48.1 2.6
36.4 3.7 16.0 8.5 4.6 2.7 26.3
11.9 11.1 20.9 2.0 28.7 3.3 19.5 2.6
14.3 11.9 17.6 29.7 4.3 14.7 5.9
14.0 10.6 4.4 19.8 7.2 8.8 13.8 21.4
18.6 4.1 41.3 20.0
Percentage
28 313
Total
75
59
650
2 712
5 236
79
624
6 813
4 134
875
impact is the level of citation of scientific papers (Table 6).
Most of the larger science systems in the region were
achieving average citations per paper that were relatively
close to the overall average number of citations for all
papers from all countries (10.51 citations per paper).
Citations per paper also appear to be on an upward trend
for the developing economies in the region.
A higher than average citation rate for papers from a
particular country in a given field can be considered an
indicator of scientific impact. For example, Australian
papers were more highly cited than the overall average in
16 out of 22 broad scientific field for the period 19992009,
with New Zealand (10 fields) and Singapore (8 fields) also
showing clear evidence of achieving above-average
impact across a spectrum of sciences. However, some of
the smaller science systems from the region also achieved
above-average impact in specific fields, including: the
Philippines (computer science, environment/ecology,
pharmacology and toxicology, plant and animal science);
Viet Nam (clinical medicine, microbiology, neuroscience);
Indonesia (geosciences, social sciences); Papua New
Guinea (biology, microbiology) and New Caledonia
(geosciences). These apparent strengths are discussed in
the country profiles that follow, along with national
priorities for science and national policy directions.
Patents
One regional feature is the trend towards integrating S&T
policies with innovation and industry policies, notably
through the registration of patents. Through the period
20002007, the number of patents held in the USA and
registered by the Southeast Asian countries, Australia or
New Zealand nearly doubled (Table 7). Australia and New
Zealand were the two largest patent-registering countries
and Malaysia was the fastest-growing patent producer,
although from a smaller base. Malaysia registered half as
many patents as New Zealand in 2001 but matched it by
2006 and moved ahead in 2007.
444
Table 6: Scientific papers and citations of authors from
Southeast Asia and Oceania, 19992009
Note: Data cover the period 1 January 1999 to 31 December 2009.
Source: ISI Web of Knowledge, Essential Science Indicators,
March 2010
Australia 284 272 3 304 072 11.62
Cambodia 566 4 197 7.42
Fiji 633 2 955 4.67
French Polynesia 456 3 805 8.34
Indonesia 5 885 45 156 7.67
Malaysia 17 980 79 098 4.40
New Caledonia 950 7 780 8.19
New Zealand 55 253 575 803 10.42
Papua New Guinea 741 7 318 9.88
Philippines 5 370 44 295 8.25
Singapore 58 731 498 782 8.49
Thailand 26 896 188 759 7.02
Viet Nam 5 878 41 043 6.98
Country/territory Papers Citations Citations
per paper
Table 7: USPTO registered patents from Southeast Asia and Oceania, 20002007
Selected countries
Source: UNESCO Institute for Statistics
2000 2001 2002 2003 2004 2005 2006 2007 increase,
20002007 (%)
Australia 802 981 964 1 023 1 068 1 002 1 476 1 382 72.3
Cambodia 1 1
Indonesia 11 13 9 13 11 12 7 9 -18.2
Malaysia 63 65 94 77 111 117 162 212 236.5
New Zealand 125 147 171 164 161 135 160 136 8.8
Philippines 17 22 30 45 39 26 44 33 94.1
Singapore 274 373 505 523 540 429 519 481 75.5
Thailand 25 39 60 37 37 28 56 28 12.0
Viet Nam 1 4 2 2 6 2 1 0.0
Total 1 318 1 644 1 833 1 884 1 970 1 755 2 427 2 282 73.1
Figure 3: High-tech exports from Southeast Asia and Oceania, 2008 (%)
445
S
o
u
t
h
e
a
s
t

A
s
i
a

a
n
d

O
c
e
a
n
i
a
Exports
US$ millions
Note: Exports are grouped according to the Standard International Trade Classification: Mineral fuels, lubricants and related materials (Section 3);
Chemicals and related products (Section 5); Machinery and transport equipment (Section 7). The categories for Manufactured goods and Other do not
include any high-tech exports.
Source: United Nations Comtrade database
0 20 40 60 80 100
53.7
13.9
14.9 5.0 2.6 23.8
67.6
50.1
76.1 3.4 20.0
31.8 3.8 6.9 10.6 46.9
0.6 96.5 2.9
26.2 25.3 13.7 5.4 29.4
17.3 5.2 32.3 22.6 22.6
64.6 14.2 9.2 5.1 6.9
2.4 39.1 13.0 43.5
9.0 11.2 54.8 11.2 13.8
4.5 7.9 44.8 24.1 18.7
24.5 41.0 11.5 2.3 20.7
48.1 1.5
16.4 2.0
Mineral fuels, lubricants
& related materials
Chemicals & related
products
Machinery & transport
equipment
Manufactured goods Other
Percentage
Fiji
French Polynesia
New Caledonia
Papua New Guinea
Australia
Cambodia
Indonesia
Malayasia
New Zealand
Philippines
Singapore
Thailand
Vietnam
High-tech exports
Despite the global recession, a number of Southeast Asian
economies have performed well in high-tech
manufactured exports and commodities in particular
(Figure 3). High-tech manufacturing is drawn mainly from
Sections 5 and 7 of the Standard International Trade
Classification. Within Section 7, the major high-tech
products are electronics, electrical and related data
equipment but also some power-generating equipment
and medical devices. Section 5 includes medical and
pharmaceutical products, optical equipment, aeronautics,
photographic equipment and metrological devices (Lall,
2000). Where the available data are recent enough,
growth in some of these high-tech exports appears to
have slowed or even declined as a result of the global
recession. However, a closer analysis shows that the
decline has been progressing since 2000, suggesting a
lead up to the recession rather than a direct consequence.
745.7
206.7
1 632.1
2 722.2
187 039.4
2 797.5
137 020.4
198 846.4
30 578.0
50 465.7
299 297.4
153 571.1
48 561.3
Malaysla's exports of machlnery and transport equlpment
(Sectlon 7), the largest commodlty group (33.2% of
exports), actually dropped by 23.6% ln 2007-2008,
malnly due to a fall ln exports of electronlc lntegrated
clrcults. Thls sub-group collapsed by 75% from 2007 to
2008 but was generally flat through 2000-2008. Other
ma[or hlgh-tech exports from Malaysla for 2007 lnclude
automatlc data processlng equlpment (7.2% of total
exports) and offlce and data processlng machlne parts
(5.5%).
Ma[or hlgh-tech exports from the Phlllpplnes dropped
40% between 2006 and 2007. Por the latter year,
electronlc lntegrated clrcults comprlsed ll.0% of total
exports and automatlc data processlng machlnes 7.8%.
Lxports of machlnery and transport equlpment
constltuted the ma[orlty (54.8%) of Slngapore's exports ln
2007. Hlgh-tech manufacturlng featured strongly ln
Slngapore's export performance, lncludlng electronlc
lntegrated clrcults (2l.l% of total exports) and automatlc
data processlng equlpment (3.4%). Over the perlod
2003-2007, Sectlon 7 exports averaged a growth rate of
l3.8% but thls fell to 4.7% for 2006-2007. Although
exports of electronlc clrcults slowed, they stlll reflected a
posltlve trend.
Llke Malaysla, Thalland performed well ln hlgh-tech
exports of automatlc data processlng equlpment
(8.2% of total exports ln 2006-2007) and electronlc
lntegrated clrcults (5.3%) over the same perlod.
Por Thalland, machlnery and transport equlpment
represented nearly half (44.8%) of total exports. Por thls
sectlon, Thalland has malntalned an annual growth rate
of l8.3% for several years, wlth a sllght dlp ln 2006-2007
to l7.9%.
|t ls llkely that, when data emerge for 2009 and 20l0, they
wlll reveal evldence of a decllne ln hlgh-tech exports but
lt ls also llkely that some countrles ln the reglon wlll fare
worse than others. As recovery deepens, economles such
as Slngapore and Thalland wlll probably recover more
qulckly than others, glven the current trend.
O|||+ ||O||||S.
AJst..||. .rJ |o. o.|.rJ
Australia
5&7 nnJ ecenemic srnrus
Although lt malntalns a comparatlvely small populatlon,
Australla ranks 23
rd
ln terms of world trade merchandlse
exports. GDP per caplta amounted to US$ 48 253 ln 2008.
Merchandlse exports (US$ l87 mllllon ln 2009) were
domlnated by fuel and mlnlng (60%), wlth manufacturlng
comprlslng [ust l6% and agrlculture l4%.
Australla has been undergolng somewhat of an ST| pollcy
transltlon slnce 2005. Through the early 2000s, the economy
lagged behlnd other OLCD countrles ln terms of the level of
lnvestment ln P&D. |n 2000, GLPD ln Australla amounted to
[ust l.6l% of GDP, wlth buslness contrlbutlng [ust under half
(47.8%) of the total, accordlng to the UNLSCO |nstltute for
Statlstlcs. wlth the exceptlon of mlnlng, buslness expendlture
on P&D remalned well below the OLCD average. Lven
though GLPD rose to 2.l7% by 2006, drlven largely by the
growlng share (57.3%) lnvested by buslness ln general and
mlnlng ln partlcular, the Australlan economy stlll sllpped
from 5
th
to l8
th
posltlon ln the world Lconomlc Porum |ndex
from 2000 to 2008 (Cutler, 2008). Thls apparent sllde ln global
competltlveness ln all but the natural resources sector
spurred the new government to undertake a serles of
reforms ln 2007. A number of revlews that dlrectly or
lndlrectly focused on the natlonal sclence system were
carrled out between 2007 and 20l0. These lncluded revlews
of: the Australlan lnnovatlon system, the hlgher educatlon
system, the co-operatlve research centres programme, and a
serles of sectoral revlews coverlng automoblle productlon,
clothlng and footwear, and pharmaceutlcals. |n all cases, the
recommendatlons made and the pollcles that have resulted
so far have sought to brlng sclence more centrally lnto the
Australlan lnnovatlon and lndustrlal systems and to
overcome some of the structural weaknesses noted ln recent
years, such as a general decllne ln publlc lnvestment ln
sclence. Accordlng to the |nnovatlon Pevlew, Australlan
government support for sclence and lnnovatlon as a share of
GDP fell by approxlmately 25% from l994 to 2007 (Cutler,
2008).
5rrucrurnl nrrnngemenrs, rieriries nnJ elicies
As a consequence of the recent revlews clted above and an
apparent commltment to strengthenlng the sclence base
underplnnlng the country's lnnovatlon performance, seven
|||SO S|||| |||O| 2010
446
prlorltles for lnnovatlon were ldentlfled ln 2009 to
complement exlstlng natlonal research prlorltles. These
are not sectoral prlorltles but rather are dlrected towards
systemlc reform of the lnnovatlon system. These prlorltles
are:
lmprovlng research fundlng,
produclng skllled researchers to undertake the
natlonal research effort,
securlng value from commerclallzatlon and
development of 'lndustrles for the future',
dlssemlnatlng new technologles, processes and ldeas,
enhanclng collaboratlon wlthln the research sector and
between researchers and lndustry,
stlmulatlng lnternatlonal collaboratlon ln P&D,
lnvolvlng the publlc and communltles to work wlth
others ln the lnnovatlon system to lmprove pollcy
development and servlce dellvery.
wlthln the unlverslty research system, there remalns a set
of four overarchlng research prlorltles datlng from 2002.
These are:
an envlronmentally sustalnable Australla,
promotlng and malntalnlng good health,
frontler technologles for bulldlng and transformlng
Australlan lndustrles,
safeguardlng Australla.
These research prlorltles are not dlrectly attrlbutable to
speclflc flelds of sclentlflc enqulry but rather set out
generlc targets for soclo-economlc development. Under
each broad headlng, there are llsts of more speclflc
research targets.
Australla's buslness sector lnvestment ln P&D has
tradltlonally been weak and domlnated by a small number
of large flrms, partlcularly ln mlnlng. The recent growth ln
buslness sector P&D shows promlse but thls has largely
been led by mlnlng and energy, whlch accounted for l7.4%
of the total natlonal P&D effort ln 2007, up from l2.8% two
years earller. The publlc sector remalns the ma[or performer
across most flelds of research, lt ls responslble for nearly
l00% of pure baslc research and 94% of strateglc baslc
research. Around 94% of buslness sector lnvestment ls
elther experlmental development or applled research.
Apart from unlversltles, the Commonwealth Sclentlflc and
|ndustrlal Pesearch Organlsatlon (CS|PO) ls by far the
blggest publlc sector performer of research. |n 2009,
lt employed 6500 people at 50 sltes across the country.
CS|PO research prlorltles are drlven by a set of flagshlp
programmes adopted ln 2000:
energy transformed,
food futures,
cllmate adaptatlon,
future manufacturlng,
preventatlve health,
wealth from oceans,
mlnerals down under and,
sustalnable agrlculture.
These flagshlp prlorltles reflect the growlng reglonal
concern wlth cllmate change and sustalnable productlon.
Lxpendlture on the Commonwealth soclo-economlc
ob[ectlve of the envlronment has been rlslng slowly over
the past decade, reachlng 2.4% of all Commonwealth
research lnvestment for 2007.
lurure rrenJs nnJ chnllenges Ier Ausrrnlin
The Australlan government lncreased the sclence budget
by 5% over the prevlous year's budget ln 2008 and a
further lncrease of 25% was foreshadowed for the 20l0
sclence and lnnovatlon budget. Among ma[or lnltlatlves,
the government has announced a 'super sclence lnltlatlve'.
Thls AU$ l l00 mllllon lnltlatlve ls dlrected towards key
enabllng technologles: blotechnology, nanotechnology
and |CTs, as well as two other key areas: space sclence and
astronomy, and marlne and cllmate sclence. Thls
lnvestment ls llkely to dlrect the overall natlonal P&D
effort further towards the development of envlronmental
technologles and management practlces.
The Australlan Cooperatlve Pesearch Centres Programme has
been a key feature of the natlonal sclence system for nearly
two decades. Over AU$ l50 mllllon of Commonwealth funds
are lnvested ln the programme. Pecent changes announced
by the government lnclude a refocus on publlc good
research, whlch should agaln add further lmpetus to
envlronmental technologles and thelr management,
lncludlng alternatlve energy and water management.
There are three key challenges confrontlng the Australlan
system. The flrst concerns the comparatlvely weak and
narrowly focused buslness sector lnvolvement ln the
system. The challenge wlll be to draw smaller and
potentlally lnnovatlve flrms lnto the broader natlonal
sclence and lnnovatlon system. Publlc sector lnvestment
ls crltlcal for bulldlng a strong natlonal baslc sclence
capablllty but the recent trend toward contestable
447
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
fundlng ln a common oteno for the academlc and publlc
sector system has blurred the boundarles for the mlsslons
of dlfferent sclence lnstltutlons. The Australlan |nstltute of
Marlne Sclence (A|MS), the Australlan Nuclear Sclence and
Technology Organlsatlon (ANSTO), the CS|PO and
unlversltles are now ln competltlon across many common
sources of funds. Thls ls a product of the lntegratlon of
S&T pollcy wlth lnnovatlon pollcy. The challenge, however,
wlll be to ensure that the baslc sclence base can remaln as
broad as posslble ln order to sustaln a strong, dlverse and
sustalnable sclence culture. Managlng the sometlmes
competlng demands of sclence and the much broader
demands of lnnovatlon and lndustry pollcy wlll remaln a
ma[or structural challenge for pollcy advlsors and
governments.
New Zealand
New Zealand ranks 63
rd
on the world Trade Organlzatlon
(wTO) world trade merchandlse lndex. GDP per caplta ls
lower than ln nelghbourlng Australla, at US$ 29 870. New
Zealand's trade remalns domlnated by agrlcultural exports
(59%) and sclentlflc output ls strongly concentrated ln the
blologlcal and medlcal sclences (Plgure 2).
New Zealand, llke Australla, has lagged behlnd most other
OLCD countrles ln terms of the level of lnvestment ln P&D.
|t was not untll 2002 that the GLPD/GDP ratlo reached
l.2%. Moreover, the level of prlvate sector P&D ls lower
than for almost all other OLCD countrles.
|n early l990, New Zealand lntroduced a ma[or
restructurlng of lts sclence system whlch ls stlll valld today.
The new arrangement separated sclence pollcy
development, sclence fundlng and the productlon of
sclentlflc output. A longer-term strateglc vlew dlrected
towards 'beneflt' to New Zealand was adopted and a rather
unlque structure put ln place establlshlng the government
as a 'sclence purchaser' (Cleland and Manly, 2007). The
Mlnlstry of Pesearch, Sclence and Technology (MoPST) ls
stlll the maln drlver of sclence pollcy and the Poundatlon
for Pesearch, Sclence and Technology ls the ma[or
purchaser of publlc-funded sclence. The Health Pesearch
Councll ls the ma[or purchaser of medlcal research.
Although sclence pollcy ls allgned wlth lnnovatlon pollcy,
admlnlstratlon remalns more dlscrete than ln Australla.
However, there ls a strong emphasls on 'Transformatlonal
Pesearch, Sclence and Technology' and on establlshlng
roadmaps for S&T lnvestment. There are currently four
strateglc prlorltles:
sharpenlng the agenda,
engaglng the populatlon wlth S&T,
lmprovlng buslness performance, and
bulldlng a world-class sclence system.
Lxlstlng prlorltles ln blologlcal and medlcal research have
been malntalned, wlth new sectoral areas targeted for
development through natlonal roadmaps, lncludlng food
research, energy and blotechnology. Through 2008-2009,
transformatlonal research focused on bulldlng a hlgh-tech
platform for renewable energy. The Health Pesearch
Councll recelved a conslderable lncrease ln fundlng ln the
2009 budget.
Lstabllshed ln l992, Crown Pesearch |nstltutes (CP|s) are a
ma[or feature of the New Zealand system. 8y 2004,
lnvestment ln CP|s had reached US$ 395 mllllon, maklng
them the blggest natlonal lnvestment programme.
Although thelr structural arrangements are qulte dlfferent
from the Cooperatlve Pesearch Centres ln Australla, they
represent a slmllar structural feature ln the New Zealand
sclence system and provlde a slmllar level of pollcy lnput.
|nternatlonal llnkages are a strateglc prlorlty for New
Zealand. These are enshrlned ln a number of agreements,
lncludlng the Lnergy Development ln |sland Natlons
partnershlp wlth the USA and |celand, and the Sclence
and Technology Cooperatlve Agreement wlth the LU.
lurure rrenJs nnJ chnllenges Ier New ZenlnnJ
New Zealand ranks [ust below Australla on the
Knowledge Lconomy |ndex (KL|) overall but hlgher for
the varlable of economlc lncentlve reglme. 8oth countrles
have pollcles ln place to bulld closer alllances between
the research and buslness sectors. 8oth are also placlng
greater emphasls on publlc good research, much of
whlch comes ln response to envlronmental concerns. Por
New Zealand, thls ls descrlbed as 'eco-lnnovatlon' that wlll
draw together government, lndustry and sclence (MoPST,
2009: 3)
A key challenge ldentlfled by the New Zealand
government ls to 'refocus' the CP|s ln order to dellver a
greater lmpact ln tackllng challenges New Zealand faces
for the future. Thls lncludes, bulldlng hlgh-tech platforms
for renewable energy, food research and blotechnology.
|||SO S|||| |||O| 2010
448
O|||+ ||O||||S. ScJt|o.st As|.
Cambodia
Cambodla ls stlll recoverlng from the trauma of the
lnternatlonal and clvll wars that declmated the country's
sclentlflc capaclty ln the l970s. The economy has grown
rapldly ln the flrst decade of the 2l
st
century, albelt from a
very low base. GDP per caplta stood at US$ 769 ln 2009,
placlng Cambodla [ust ahead of Tlmor Leste for thls
lndlcator. The country currently ranks lll
th
on the world
trade merchandlse export lndex. Merchandlse exports are
concentrated ln manufacturlng, prlmarlly clothlng.
Although Cambodla has been progresslng rapldly both
economlcally and soclally, the country does not compare
well ln terms of knowledge-based development. On the
world 8ank Knowledge for Development |ndex for 2009,
the Cambodlan economy stlll lags well behlnd all other
Last Aslan and Paclflc countrles. The country has fallen
further behlnd on the knowledge lndex wlth a 'normallsed
reglonal score' of 2.8 ln l996 decllnlng to l.l5 ln 2009. Thls
ls ln splte of the presence of many other posltlve soclal
and economlc lndlcators.
There ls currently no competltlve fundlng programme to
support sclentlflc research, although proposals are ln
place to establlsh a Natlonal Pesearch Commlsslon for
Lducatlon. Consequently, there are, as yet, no clearly
deflned research prlorltles but, wlth renewed efforts to
establlsh a natlonal sclence fundlng system, these are ln
the process of belng developed. Publlcatlons are growlng
from a small base wlth output almost totally dependent
on lnternatlonal co-authorshlp. The USA, Prance and
1apan are the three maln partner countrles contrlbutlng
to thls output. Output ls almost entlrely concentrated ln
the llfe sclences, wlth three-quarters of publlcatlons
relatlng to the blologlcal, blomedlcal or medlcal sclences
(Plgure 2). |nternet usage ls ln lts lnfancy wlth [ust 0.5% of
the populatlon havlng access (Plgure l).
There ls currently no overt natlonal strategy for S&T.
As a consequence, S&T pollcy remalns fragmented and
dlspersed across the varlous mlnlstrles responslble for
soclal and economlc management and development.
There are, however, some nascent structures emerglng
that could provlde the basls for a natlonal strategy.
The supply of sclentlsts and englneers has been growlng
and there ls potentlal for further development. Thelr
number remalns llmlted, however, because of a
comparatlvely weak lnstltutlonal capaclty and a hlgher
educatlon system that has grown faster than lts capaclty to
dellver quallty control across a hlghly dlverse range of
lnstltutlons proposlng hlgher educatlon. Pesponslblllty for
unlverslty-based professlonal tralnlng rests wlth the
Mlnlstry of Lducatlon, outh and Sport and technlcal
tralnlng wlth the Mlnlstry of Labour. As the hlgher
educatlon system contlnues to grow, the country faces an
lmmedlate, presslng challenge to co-ordlnate lnstltutlonal
strengths ln order to entrench natlonal quallty and achleve
pollcy ob[ectlves across the entlre hlgher educatlon system.
As yet, there are no deflned prlorltles for sclentlflc research.
Cambodla's prlvate sector remalns weak and very much
dependent on both forelgn dlrect lnvestment (PD|) and
overseas development ald (ODA). Consequently, lt ls the
publlc sector whlch shoulders most of the burden for
natlonal lnvestment ln knowledge-based development,
lncludlng P&D. As the prlvate sector becomes stronger and
more lnnovatlve, the pollcy challenge wlll be to flnd ways
to stlmulate the development of P&D and lnnovatlon ln
the prlvate sector. whlle S&T ls not speclflcally mentloned
ln the country's development plans, S&T lssues are
dlrected to an oJ hoc commlttee composed of
representatlves from elght mlnlstrles and co-ordlnated by
the Mlnlstry of |ndustry, Mlnes and Lnergy.
lurure rrenJs nnJ chnllenges Ier CnmbeJin
The future challenges for Cambodla are lmmense, wlth
lnstltutlonal and human resource-bulldlng a ma[or prlorlty.
At present, there are a number of lnternatlonally
supported lnltlatlves underway to help the country
overcome lnstltutlonal barrlers. Por example, the world
8ank ls supportlng an lnltlatlve wlth the Mlnlstry of
Lducatlon, outh and Sport to enhance the research
capaclty of the hlgher educatlon system, and the Aslan
Development 8ank ls supportlng the elaboratlon of a
'technology adoptlon framework' wlth the Mlnlstry of
|ndustry, Mlnes and Lnergy. There are also plans to develop
the natlon's research fundlng system and revlews are
underway to revltallze sclence and englneerlng educatlon.
The country ls at an early stage of developlng an lndustrlal
prlvate sector. PD| ls belng sought and wlll probably by
located ln one or more of the 2l speclal economlc zones
that have been proposed by the government.
449
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
The growth areas at the moment are the garment,
tourlsm, constructlon and property development
lndustrles. The growth ln garment manufacturlng ls
related to the lnflux of PD| due to low labour costs.
As S&T pollcy becomes more natlonal ln focus and ls
dlrected towards the development of a natlonal
lnnovatlon system, lt wlll be necessary to monltor and
revlew natlonal progress. At present, no slngle agency has
the mandate or the resources to evaluate S&T pollcy or
develop lndlcators for monltorlng S&T and lnnovatlon. A
crltlcal challenge wlll be to bulld some lnstltutlonal
capaclty to carry out thls work and to resource perlodlc
data collectlon and analysls.
The global economlc recesslon slnce 2008 threatens to
staunch the flow of lnternatlonal support. However, there
are promlslng slgns for Cambodla ln terms of natural oll
reserves. At present, agrlculture and fuel comprlse [ust
5% of the country's merchandlse exports. The dlscovery
of potentlally lucratlve oll reserves ln recent years may
lead to growth ln raw productlon but the capaclty to
process the raw product onshore wlll depend upon the
avallablllty of skllled personnel and fundlng for lndustrlal
development.
Indonesia
|ndonesla ls the most populous country ln Southeast Asla,
lt also comprlses 45% of the total populatlon of the
countrles studled here. Slnce the Aslan flnanclal crlsls ln
the late l990s, the economy has struggled to recover. The
|ndoneslan economy ls now well down on the world 8ank
Knowledge |ndex scale, above only Cambodla. However,
due to the overall slze of the economy, lt ranks 3l
st
ln the
world merchandlse trade value lndex. Manufacturlng and
fuel (36%) and mlnlng (38%) comprlse the maln
merchandlse export category groups. GDP per caplta ln
2008 came to US$ 2 247. The GLPD/GDP ratlo has
langulshed, recordlng only 0.05% ln 2005. |t fares only
better than Cambodla and vlet Nam for the share of GLPD
contrlbuted by the prlvate sector.
|n prevlous decades, |ndonesla placed great emphasls on
bulldlng S&T lnstltutlons. Apart from the unlverslty sector
and departmental P&D organlzatlons, there are currently
seven natlonal P&D agencles (see next sect|on). |n 2005,
these seven agencles were worklng on a serles of prlorlty
programmes: food and agrlculture, energy, defence,
transportatlon, |CTs, health and pharmaceutlcals.
wlth the onset of the global recesslon, the pollcy effort
has been dlrected toward sharpenlng the S&T lnvestment
focus on those areas that have potentlal for economlc
'transformatlon'. Consequently, there ls a determlned
effort to establlsh lntermedlate agencles, such as buslness
lnnovatlon centres, buslness technology centres and
lncubators. |n the unlverslty system, there has been a
strong focus has on lmprovlng quallty.
The Mlnlstry of Pesearch and Technology (MoPT) ls
responslble for drlvlng S&T pollcy. |n 2005, lt announced a
20-year vlslon statement. |n thls vlslon statement, S&T ls
portrayed as a 'maln force' for sustalnable prosperlty.
Seven P&D agencles come under the dlrect authorlty of
MoPT. These are: the Natlonal |nstltute for Sclentlflc
Pesearch (L|P|), the Agency for the Assessment and
Appllcatlon of Technology (8PPT), the Natlonal |nstltute
of Aeronautlcs and Space (LAPAN), the Natlonal
Co-ordlnatlng Agency of Survey and Mapplng
(8AKOSUPTANAL), the Natlonal Standardlsatlon Agency
(8SN), the Natlonal Nuclear Lnergy Agency (8ATAN) and
the Natlonal Nuclear Lnergy Control 8oard (8APLTLN).
A set of addltlonal lnstltutes and centres reslde under the
[urlsdlctlon of varlous mlnlstrles.
Pour key sclence programmes were ldentlfled for
development ln 2005-2009: (l) P&D, (2) dlffuslon and
utlllzatlon of S&T, (3) lnstltutlonal capaclty-bulldlng and,
(4) lncreaslng the lndustrlal capaclty of S&T. Por 2009, a set of
thematlc programmes were also ldentlfled (Plrdausy, 2006):
I tsunaml early warnlng system,
I open source (software development),
I agro-technology,
I marlne sclence,
I defence from bloterrorlsm,
I blo-ethlcs,
I DNA forenslc technology,
I natural resource accountlng.
Slnce 2002, a number of presldentlal decrees have drlven
the development of the sclence system, for example: the
2005 decree for Technology Transfer of Property Plghts and
Outputs of P&D and the 2006 Decree of Permlsslon for
|nternatlonal Pesearchers, 8odles and |nstltutlons to
Conduct Pesearch Actlvltles ln |ndonesla. The latter reflects
an overall strategy to develop lnternatlonal collaboratlon.
|||SO S|||| |||O| 2010
450
The numbers of researchers ln the system appeared to
sllp back around the mld-2000s but there has slnce been
a concerted effort to bulld up numbers of research
personnel ln natlonal S&T lnstltutlons. Publlcatlon output
has only progressed modestly, thanks to a hlgh level of
lnternatlonal co-authorshlp. 1apan ls the prlmary country of
orlgln for collaborators, followed by the USA and Australla
(Table 5). Output has been domlnated by blologlcal,
blomedlcal and medlcal sclences, presentlng a pattern
somewhat slmllar to that of Cambodla and New Zealand.
|n 2009, there were 2 600 lnstltutlons provldlng hlgher
educatlon, lncludlng unlversltles, academles and
lnstltutes. The emphasls has been on strengthenlng the
research capaclty and quallty of [ust a fractlon of the top
unlversltles.
|ndoneslan patentlng actlvlty has remalned llmlted
throughout the flrst decade of the century, wlth
essentlally no growth ln the patent system. Developlng
|PP centres and technology transfer lnstltutlons are part of
the natlonal strategy to stlmulate patentlng actlvlty.
lurure rrenJs nnJ chnllenges Ier lnJenesin
MoPT has ldentlfled three key challenges: overcomlng the
mlsmatch between publlc sector research output and the
demands of lndustry, enhanclng P&D capaclty ln the
prlvate sector, and overcomlng the structural barrlers
between the publlc and prlvate sectors.
Sclence networks have been ldentlfled as a mechanlsm
for respondlng to these challenges. Current pollcles focus
on fosterlng natlonal co-operatlon ln the key areas noted
above, ln order to share resources, utlllze economles of
scale and bulld both vlrtual and actual centres of
excellence. |nternatlonal networklng ls belng encouraged
to lncrease the quallty and quantlty of researchers
engaged ln lnternatlonal research.
Llke many other countrles ln the reglon, |ndonesla has
also ldentlfled the need to broaden communlty
acceptance and understandlng of how S&T serve to
enhance development.
Human resources are llkely to remaln a ma[or challenge.
8alanclng efforts to augment the pool of researchers
agalnst budget constralnts from the global recesslon wlll
make the task of network-bulldlng all the more
lmperatlve.
Malaysia
Malaysla has made rapld progress ln sclence, technology
and economlc development, recoverlng rapldly from the
Aslan flnanclal crlsls of the late l990s. The economy ls
domlnated by a hlgh ratlo of manufacturlng (65%) among
exports, ranklng 2l
st
ln the world merchandlse export value
lndex. As wlth the Phlllpplnes, much of thls ls a product of
forelgn flrms located ln the country. GDP per caplta ln 2008
amounted to US$ 8 l97. The GLPD/GDP ratlo has grown
from 0.49% ln 2000 to 0.64% ln 2006 (Table l).
Growth ln buslness expendlture on P&D as a proportlon of
GLPD has been a ma[or contrlbutor to thls expanslon,
rlslng from 58% ln 2000 to 85% ln 2006. Por the lmmedlate
future, thls may be a double-edged sword, as contractlons
ln P&D lnvestment by many multlnatlonal flrms followlng
the global recesslon may leave a vacuum that mlght not
easlly be covered by the lncrease ln publlc expendlture.
|n terms of the Knowledge |ndex, Malaysla has remalned
statlonary ln 48
th
posltlon. The economy ranks
comparatlvely hlghly on the |CT and lnnovatlon varlables,
wlth educatlon remalnlng the key challenge. |nternet
usage has grown dramatlcally, wlth 56% of the populatlon
en[oylng access ln 2008 (Plgure l).
Publlcatlon output has rlsen rapldly over the past decade,
very much led by domestlc capaclty. The lnternatlonal
co-authorshlp rate for Malayslan sclentlsts was of the same
order as for Australla and New Zealand. |nterestlngly,
Chlna was the prlmary contrlbutor to lnternatlonal
co-authorshlp. |n contrast to most other countrles ln the
reglon, chemlstry domlnated Malaysla's sclentlflc output.
Numbers of S&T personnel have contlnued to cllmb. So
too has the number of patents. Malaysla has recorded the
fastest growth ln patentlng actlvlty of all countrles ln the
reglon, from only 63 USTPO reglstered patents ln 2000 to
over 200 ln 2007. Conslstent wlth these data ls the good
natlonal performance ln hlgh-tech exports (see oe 445.
The Mlnlstry of Sclence, Technology and |nnovatlon ls the
leadlng natlonal lnstltutlon, drawlng ST| pollcles towards
a common goal. The second Not|onol Plon lot 5c|ence onJ
7echnoloy Pol|cy 2002-2020, adopted ln 2003, set out a
clear strategy of developlng lnstltutlons and partnershlps
to enhance Malaysla's economlc posltlon. Underplnnlng
thls strategy are four speclflc capaclty-bulldlng targets:
45l
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
S&T lnstltutlonal capaclty, commerclallzatlon of P&D
output, human resource development, and generatlng a
culture of techno-entrepreneurshlp.
The Not|onol Plon presented a vlslon for 2020 centred on
those areas that could yleld the hlghest economlc pay-
off. Thls lncluded pollcy conslderatlons of: demonstrated
need, avallablllty of natlonal advantage, relevance and
the capaclty to achleve ob[ectlves. Thls approach to
strateglc plannlng ls common across many of the
lndustrlally advanced economles, such as Slngapore,
Australla and New Zealand. However, Malaysla has been
more expllclt than many other countrles ln ldentlfylng
lndustrlal targets for the sclence base.
These lnclude:
I advanced manufacturlng and materlals,
I mlcro-electronlcs,
I blotechnology,
I |CTs and multlmedla,
I energy,
I aerospace,
I nanotechnology,
I photonlcs,
I pharmaceutlcals.
|n addltlon, Malaysla has announced plans to engage ln
roadmapplng-type exerclses ln key lndustrlal sectors.
lurure rrenJs nnJ chnllenges Ier Mnlnysin
Over the past decade, there has been a clear shlft towards
demand-drlven P&D. However, a shortage of skllls ls llkely
to hamper development efforts. |n splte of conslderable
growth ln human resources ln S&T overall, there ls some
evldence of a net loss of sclentlflc personnel across many
flelds, wlth the notable exceptlon of agrlcultural sclence
and chemlstry.
Another ma[or challenge for Malayslan S&T wlll be to
malntaln and nurture growth ln publlc sector lnvestment
ln baslc sclence through the current perlod of global
economlc downturn.
The Philippines
The Phlllpplnes has struggled to malntaln and develop lts
sclence system slnce the Aslan flnanclal crlsls. Por many
lndlcators, lt has barely kept pace wlth reglonal S&T
development. GLPD as a proportlon of GDP has actually
fallen, as has GLPD per caplta. Only |ndonesla and
Cambodla record lower GLPD/GDP ratlos (Table l). wlth
the second-largest populatlon ln the reglon, the economy
ranks 56
th
ln terms of merchandlse exports. GDP per caplta
amounted to US$ l 856 ln 2009. Manufactured goods
comprlsed 83% of merchandlse exports ln 2008 but thls
was largely because of the domlnance of forelgn flrms
operatlng ln the economy. The actlvlty of many of these ls
concentrated ln electronlcs manufacturlng and assembly.
The Not|onol 5c|ence onJ 7echnoloy Plon, 2002-2020
descrlbes the economy as 'slugglsh or slow movlng wlth
uncontrolled urbanlsatlon'.
Although the buslness sector share of GLPD ls hlgh,
thls ls mlsleadlng. As ln Malaysla, lt ls due to a hlgh level
of forelgn manufacturlng. A clear challenge for S&T pollcy
wlll be to seek ways to leverage technologlcal capaclty
lnto local flrms and lnto sectors other than the assembly
of electrlcal components.
The Department of Sclence and Technology ls the key
agency ln the Phlllpplnes, wlth pollcy development co-
ordlnated by a serles of sectoral counclls. The Not|onol
5c|ence onJ 7echnoloy Plon, 2002-2020 sets out the short-
and long-term strategy for derlvlng greater beneflts from
lnvestment ln sclence. Strateglc emphasls ls placed on
ralslng GLPD to 2% of GDP by 2020 and doubllng the share
of buslness P&D lnvestment. Strateglc emphasls ls also
placed on promotlng technology transfer, lmprovlng
human development lndlces, promotlng S&T advocacy
and expandlng sclence networks.
The Phlllpplnes ls also seeklng to ldentlfy key areas for
lnnovatlon-led growth. 8lotechnology and |CTs get a
partlcular mentlon. There ls an expectatlon that, by 2020,
the economy wlll have developed a wlde range of globally
competltlve products wlth hlgh-tech content. Strategles for
achlevlng these goals lncluded clusterlng - an approach
successfully adopted by Slngapore (see ovetleol - and
targetlng human resource development ln S&T. The Plon
targets small and medlum-slzed enterprlses as locl for
stlmulatlng local S&T splll-overs. The Phlllpplnes has also
been pursulng a strategy for communlcatlng sclence to the
broader populatlon through varlous medla-based strategles.
Thls vlslon for the future foreshadows the Phlllpplnes as
carvlng out nlches ln selected S&T areas that could be
descrlbed as world-class. Speclflc longer-term sectoral
prlorltles deflned ln the 2002-2020 plan are farther-
ranglng and broader than, for example, ln Slngapore.
|||SO S|||| |||O| 2010
452
They lnclude:
I agrlculture and forestry,
I health and medlclne,
I blotechnology,
I |CTs,
I mlcro-electronlcs,
I materlals sclence,
I the envlronment,
I natural dlsaster mltlgatlon,
I energy,
I manufacturlng and process englneerlng.
lurure rrenJs nnJ chnllenges Ier rhe Philiines
Hlgh-tech manufacturlng exports are tled to a small number
of very large multlnatlonal corporatlons. A key challenge wlll
be to malntaln the broad range of deslred prlorltles wlthln
the flnanclal constralnts presented by the global recesslon.
Many ambltlous targets are set out ln the natlonal plan for
2002-2020. Although these targets are very clear, the
lnstltutlonal and economlc capaclty to dellver them has not
been forthcomlng. |n partlcular, the goal to ralse the
Phlllpplnes' global ranklng ln key areas ls challenged by the
hlgh achlevements of many other countrles ln the Aslan
reglon. Por example, the Phlllpplnes has actually fallen
l6 places on the world Knowledge Lconomy |ndex, from
65
th
to 89
th
posltlon. Although stlll ranklng above |ndonesla,
the economy ls well behlnd those of Malaysla and Thalland.
Singapore
Slngapore ls one of the smaller countrles ln the reglon wlth
a populatlon only sllghtly larger than that of New Zealand.
Desplte lts small geographlcal slze and populatlon, lt has
demonstrated conslderable success ln developlng a
globally competltlve sclence system. |n 2008, Slngapore's
economy recorded GDP per caplta of US$ 39 423, the
second-hlghest of the countrles covered ln the present
chapter after Australla. |t ranks l4
th
ln terms of world
merchandlse export value. Accordlng to the world 8ank,
Slngapore ls one of only two countrles ln the reglon (vlet
Nam belng the other) that lmproved thelr world ranklng ln
the Knowledge |ndex between l995 and 2008. Slngapore
outranked all countrles covered ln the present chapter for
the related varlables of 'economlc lncentlve reglme, |CTs'
and 'lnnovatlon'. The country's growth ln publlcatlons may
not have not been as dramatlc as some of the countrles
startlng from a smaller base but, slgnlflcantly, growth has
been strongly drlven by Slngapore-based sclentlsts.
Slngapore's flve-year Not|onol 5c|ence onJ 7echnoloy
Plon publlshed ln 2000 noted the need to lncrease the
number and quallty of human resources ln S&T
substantlally. The Plan for 2005-20l0 relnforced thls
strategy, emphaslzlng the need to bulld on three areas
to achleve 'translatlonal competency': nurturlng local
talent, recrultlng global talent and worklng wlth lndustry
to promote technology development and transfer (MT|S,
2006). Co-ordlnatlon for lmplementlng the plan ls
dlvlded between the Agency for Sclence, Technology
and Pesearch (A`STAP) for publlc sector actlvltles and the
Lconomlc Development 8oard for prlvate sector
actlvltles. Throughout the decade, Slngapore has
remalned focused on recrultlng key world-renowned
sclentlsts, offerlng them globally competltlve salarles
and condltlons. The success of thls recrultment
campalgn ls reflected ln a conslderable level of growth
(nearly 50%) ln the number of researchers per mllllon ln
the total populatlon between 2000 and 2007.
Although the global recesslon has led to a tlghter focus on
the development of S&T, growth slnce 2000 has been
remarkable. The natlonal approach has been to cluster key
research agencles geographlcally to provlde a natlonal
knowledge hub wlth tles to lnstltutes abroad that are
world-renowned for sclentlflc endeavour ln two key areas:
|CTs and blomedlcal research. To achleve thls, the Sclence
and Lnglneerlng Councll has drawn together seven
research lnstltutlons concerned wlth |CT to create
lus|onool|s and the 8lomedlcal Pesearch Councll has
created a cluster of flve key blomedlcal research lnstltutes
to form8|ool|s. These two clusters are at the heart of
Slngapore's drlve to create global centres of excellence ln
these two nlche areas.
The Slngaporean approach ls very much pollcy-drlven. Por
example, mlnlsterlal-level steerlng commlttees have been
establlshed to drlve development ln key areas, lncludlng
envlronment and water technologles, and lnteractlve
dlgltal medla. whlle the general approach ls to bulld close
llnks between publlc-funded sclence and buslness, there ls
stlll a strong focus on baslc research.
lurure rrenJs nnJ chnllenges Ier 5ingnere
The government flxed a target ln 2006 of achlevlng a
GLPD/GDP ratlo of 3% by 20l0. A challenge for Slngapore
wlll be to consolldate the slgnlflcant sclentlflc growth that
has occurred throughout the decade and malntaln the
453
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
comparatlvely hlgh levels of lnvestment ln the wake of the
global recesslon. The buslness sector was a ma[or
contrlbutor to GLPD even before the turn of the century and
has lncreased lts share over the past decade. Malntalnlng
the momentum ln the wake of the global recesslon wlll thus
remaln a challenge for the next few years.
Slngapore has been hlghly successful ln attractlng forelgn
sclentlsts and technlclans to lts well-funded laboratorles and
lnstltutlons. Another key challenge wlll be malntaln thls level
of human capltal and further develop the country's tralnlng
system to meet technlcal demands ln the longer term.
Thailand
Thalland ranks 26
th
ln terms of world merchandlse exports
and, llke Malaysla and the Phlllpplnes, these exports are
domlnated by manufactured exports. GDP per caplta ln
2008 came to US$ 4 l87. The GLPD/GDP ratlo for Thalland
ls low and actually fell marglnally from 0.26% ln 200l to
0.25% ln 2007. On the world 8ank's Knowledge Lconomy
|ndex, Thalland ranks 63
rd
, well behlnd Malaysla and
Slngapore but well ahead of vlet Nam.
Ob[ectlves ln three key areas have been ldentlfled for
natlonal development and lmprovlng overall economlc
performance. The flrst goal ls to lncrease the total number
of flrms undertaklng lnnovatlon. The second ls to lmprove
management skllls and the thlrd ls to ralse the country's
competltlveness ln S&T agalnst lnternatlonal benchmarks.
The targets for development cover three maln sectors:
I the industrial sector, comprlslng lndustrles selected by
the government and those possesslng future potentlal,
lncludlng the food, automotlve, software, mlcrochlp
and textlle lndustles, tourlsm, health-related servlces
and the blo-lndustry,
I the community economy, focuslng on quallty upgrades
of the One-vlllage-One-Product programme . Thls
programme has now been ln place for two decades.
|t ls dlrected towards lmprovlng communltles' access
to flnance and management skllls,
I the social sector, coverlng envlronmental development,
support for chlldren and the underprlvlleged and so
forth. An addltlonal focus after the present Ablslt
Goverment came to power ln 2009 was to make
Thalland a 'creatlve economy' based on the creatlvlty,
talent and unlque culture of the Thal people.
The maln strength of the Thal system can be found ln
prlvate flrms. More lntense competltlon ln the global market
and the Aslan flnanclal crlsls of l997 have, to some degree,
led to a behavlour change among Thal flrms. After the l997
crlsls, they abandoned thelr long-standlng attltude of
relylng on off-the-shelf forelgn technologles ln favour of
developlng ln-house P&D capabllltles. Several large
conglomerates recently expanded thelr P&D actlvltles and a
number of smaller companles have begun collaboratlng
wlth unlverslty P&D groups to develop technology. Another
newphenomenon ls that multlnatlonal corporatlons are
now engaglng ln more technologlcally sophlstlcated
actlvltles than before, such as product deslgn. |n the
automotlve lndustry, for example, several 1apanese car-
makers, such as Toyota, Honda, |suzu and Nlssan, have set
up technlcal centres ln Thalland. Toyota's technlcal centre
employs 600 P&D englneers.
The maln ob[ectlves of the current Not|onol 5c|ence onJ
7echnoloy 5ttote|c Plon (2004-20l3) are to enhance
Thalland's capablllty to adapt to rapld change ln the
globallzatlon era and strengthen the country's long-term
competltlveness. The vlslon statement ln the Plon ls
conslstent wlth the government's development goals of
sustalnable competltlveness, a strong communlty
economy, a knowledge soclety, healthy envlronment and
better quallty of llfe. The Plon emphaslzes four fundamental
development factors for achlevlng these goals: a strong
natlonal lnnovatlon system, robust human resources, an
enabllng envlronment for development and capaclty ln
four core future technologles: |CTs, blotechnology,
materlals sclence and nanotechnology.
The cluster concept has been the maln pollcy for lndustrlal
collaboratlon at the local, natlonal and reglonal levels ever
slnce the Thaksln Government (200l-2006) and remalns
so. The government declared flve strateglc clusters for
Thalland to pursue: automotlve lndustry, food lndustry,
tourlsm, fashlon and software. These are not concelved
slmply as geographlcal clusters but rather as vlrtual
clusters wlth lnnovatlon llnks that can be supported
through pollcy. vlslons for these flve clusters have been
deflned as: Kltchen of the world (food cluster), Detrolt of
Asla (automotlve cluster), Asla Troplcal Pashlon (fashlon
cluster) , world Graphlc Deslgn and Anlmatlon Centre
|||SO S|||| |||O| 2010
454
(software cluster), and Asia Tourism Capital. At the
regional level, Thailand has been divided into
19 geographical areas. Each area has had to plan and
implement its own cluster strategy, focusing on a few
strategic products or services. Each has been supervised
by the so-called Chief Executive Officer (CEO) Governors,
who have been given authority by the central
government to act like provincial CEOs. The cluster
concept has also been applied at the local level to build
the capacity of the grassroot economy in the name of
community-based clusters, especially to help the
One-Village-One Product programme succeed.
An innovative nation with wisdom and a learning base
was one of Thailands Dreams projected by the Thaksin
Government within attempts to make this dream (one of
seven) come true, several strategies were devised. These
include: continual investment in R&D, an environment
conducive to attracting and stimulating innovation, high
accessibility to knowledge and information across the
nation, fluent English as a second language, possessing a
stronglearning basis, such as a passion for reading and
greater access to cheap but good books (Phasukavanich,
2003). The issue of competitiveness has also been made a
high priority, as illustrated by the establishment of a
National Competitiveness Committee in 2003 chaired by
the prime minister.
The ten-year National Science and Technology Strategic Plan
(20042013) placed the concepts of a national innovation
system and industrial clusters at its heart by highlighting
concrete measures to stimulate their development. This
plan marks the countrys official transition from an S&T
policy to an STI policy. However, to date, neither the
National Science and Technology Strategic Plan nor the
Basic Law on Science, Technology and Innovation has
adopted, in practice, the innovation system approach as
the main policy content (Intarakumnerd, 2006).
Future trends and challenges for Thailand
Several key weaknesses in the Thai policy-making process
have been identified by local analysts. These include:
ineffective supra-ministerial cross-cutting policy processes
and a lack of inter-ministerial co-ordinating mechanisms;
an imbalance in the STI policy-making process between
the key science ministry, the Ministry of Science and
Technology (MoST), and other ministries with an
economic mission; and the limited participation of the
private sector in the policy-making process.
In Thailand, there is no structured mechanism for
co-ordination between ministries. The national plan for
20042013 creates the position of Chief Science Officer in
every relevant ministry to co-ordinate S&T activities and
interact with the National Competitiveness Committee.
However, these posts still exist only on paper today. MoST
plays a more central role in STI policy planning and
implementation than economic agencies like the Ministry
of Industry. This imbalance contrasts with the situation in
Chinese Taipei, the Republic of Korea and Japan, where
economic agencies like the Japanese Ministry of
International Trade and Industry, the Korean Economic
Planning Board (EPB) and the Taiwanese Ministry of
Economic Affairs play significant roles in this area.
A further challenge is to overcome inconsistencies in the
amount of resources allocated to different strategies for
S&T development. For example, initiatives directed
towards enhancing S&T training capacity in the private
sector are dwarfed by the level of resources directed
towards new initiatives in the public research sector.
Systemic failures also need to be overcome, such as by
providing grants where they are needed or direct
subsidies, as in the East Asian newly industrialized
economies, to help private firms develop their
technological capabilities.
Timor Leste
Timor Leste has the smallest population and economy of all
the countries discussed in the present chapter, with the
exception of some of the Pacific Island nations. It has been
defined as the poorest Asian nation. The country is still in the
early stages of recovery from socio-political turmoil since
gaining independence in 1999. Few data are available on
economic development and even fewer on S&T. However, it
is known that FDI accounts for over 40% of GDP, an indicator
of the economys high level of dependence on international
funding. Unemployment is estimated to be around 70%.
Over 80% of the population is dependent on agriculture,
forestry or fisheries. Consequently, environmental issues are
of prime concern.
There is no designated agency with overall responsibility
for S&T but the Ministry of Education is the biggest source
of funding. After the turmoil of the late 1990s, the countrys
only university, the Universidade Nacional de Timor-Leste,
re-opened in 2000. There are currently five faculties that
reflect the countrys development needs: agriculture,
political science, economics, education and engineering.
455
S
o
u
t
h
e
a
s
t

A
s
i
a

a
n
d

O
c
e
a
n
i
a
The National Research Centre and the Institute of Linguistics
opened in July 2001 to support the work of the faculties.
Longer-term planning foreshadows the development of
tertiary studies in health, law, communications,
accounting, fisheries, architecture, physics and chemistry.
Broader institutional development for S&T is only now just
under way, with US$ 500 000 having been allocated in 2009
towards the establishment and maintenance of national
laboratories. National parks have recently been established,
including some marine parks. Their development will rely
on international knowledge-based linkages.
According to the president, the economy is faring well,
with more than 10% real growth at the end of 2008, in
spite of the global recession. Nevertheless, it will be a big
challenge to overcome the lack of educated or skilled
personnel. Weak public institutions and inadequate
infrastructure compound these difficulties. Significant oil
reserves offer a glimmer of hope for future economic
development but the technical resources required to
manage these in order to obtain maximum benefit
remain, as with Cambodia, a major challenge for the
countrys nascent technical capacity.
Viet Nam
S&T and economic status
The Vietnamese economy has been undergoing
considerable restructuring and transformation. This has
carried through into the area of STI. Viet Nam is one of the
few countries covered in the present chapter that has
been gaining ground in the World Bank Knowledge for
Development index; it currently ranks 51
st
on the world
merchandise trade index. However, GDP per capita of
US$ 1 041 reflects the considerable disparities in income
across the country. Investment in S&T in Viet Nam remains
low, at just US$ 5 per capita in 2007, compared to
US$ 20 for China in 2004 and US $1 000 in the Republic of
Korea in 2007.
S&T policies in Viet Nam have been described as comprising
two distinct types: explicit and implicit. Explicit policies
emerged in 1987 with the governments decision to remove
the state monopoly on S&T. This was followed by decrees on
foreign technology transfer (1988), organizational and
individual rights to enter into contracts or to co-operate in
S&T (1992) and on external grants in support of S&T (1994).
A foreign investment law was adopted in 1995 that governs
S&T activities in economic projects.
To cope with the demands of fulfilling the requirements
for joining WTO, Viet Nam has enacted the Intellectual
Property Law (2005) and Technology Transfer Law (2006).
The aim of these two laws is to protect the rights and
responsibilities of people and organizations who own
intellectual property or invest in technology transfer,
according to international standards. Further decrees and
resolutions have been issued by the government give
greater autonomy to R&D organizations and provide firms
with financial incentives. These measures are a radical
departure from the situation prevailing just a decade ago
when all S&T activity fell under the exclusive jurisdiction
of the state.
Tangible achievements of R&D in recent years include
Vietnamese script identification and processing
software, kits for virus-related disease testing, the
construction of a 53 000 tonne ship, the first satellite
Vinasat and advancements in agriculture. In December
2009, these success stories and others were celebrated
by a gathering of nearly 500 representatives of S&T
organizations.
Structural arrangements, priorities and policies
As in Thailand, Vietnamese policies are evolving from S&T
policy to STI policy. A growing number of features of the
national innovation system concept have been
incorporated into the policy-making process. Six
important STI policy areas were identified by the prime
minister in September 2004:
I improve the process of formulating R&D projects
funded by the state budget;
I reform state management of public
R&D institutions;
I reform S&T financing;
I reform human resource management in S&T;
I develop technological markets;
I improve state management of S&T.
At this stage, these have been defined as general areas for
future policy action. As yet, there is little evidence as to
how these areas might be addressed across different
agencies. Nevertheless, they do suggest a shift towards a
more systemic, networked approach to STI.
Those national institutes for research which do not come
directly under an individual government ministry or
agency were designed in Viet Nam to act as national
456
networks of S&T and placed under the Offlce of the Prlme
Mlnlster. They are not lnstruments for lmplementlng
pollcles lald down by mlnlstrles but rather focus on P&D.
The most lnfluentlal of these lnstltutes ls the Natlonal
Centre of Natural Sclence and Technology, whlch
performs advanced baslc research prlmarlly ln
mathematlcs and theoretlcal physlcs. Thls partlcularlty of
vlet Nam flnds a parallel ln the Advanced |nstltute of
Sclence and Technology under the Mlnlstry of Lconomy,
Trade and |ndustry ln 1apan and the |ndustrlal
Technology Pesearch |nstltute under the Mlnlstry of
Lconomlc Affalrs ln Chlnese Talpel.
|nnovatlon has emerged centre stage ln many lnltlatlves.
Por example, there was a natlonal forum on lnnovatlon
strategy ln 2006. The Mlnlstry of Sclence and Technology
ls also trylng to establlsh collaboratlon wlth global players
llke |8M to promote lnnovatlon. Plrms, as the centre of
lnnovatlon, are obtalnlng a more cruclal role ln the
learnlng process.
A new actor has also emerged ln the natlonal lnnovatlon
system, namely, quasl-governmental, quasl-prlvate
organlzatlons. These provlde malnly technlcal, lnformatlon
gatherlng and technology consultlng servlces. They throw
brldges between unlversltles, government research and
technology organlzatlons and flrms. Thls type of
organlzatlon has been permltted slnce the early l990s as
a result of economlc reform pollcy. Sclentlsts and
researchers who were formerly, or are currently, employed
at government lnstltutes or unlversltles have establlshed
many of these organlzatlons. |t ls estlmated that over
500 such organlzatlons, often called 'centres', are ln
operatlon (Slnh, 2009).
lurure rrenJs nnJ chnllenges Ier vier Nnm
|ndustry collaboratlon pollcy ls a ma[or area of weakness
ln vlet Nam, wlth some notable exceptlons llke Nong Lam
Unlverslty. |ts admlnlstratlon and research centres
contrlbute strongly to the agrlculture sector: deslgnlng
efflclent agrlculture machlnes and provldlng technlcal
asslstances to farmers. weak llnkages between
government research lnstltutes and prlvate flrms have
been acknowledged by the government. However,
research lnstltutes were recently allowed to set up thelr
own companles. Thls ls an attempt to reduce the
dlchotomy between productlon (done by flrms) and
technology development actlvltles (done by research
lnstltutes).
457
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
Another future challenge for the government ls the fact
that the ma[or source of lnvestment ln S&T ls the state
budget. Trylng to bulld llnkages between unlversltles,
publlc research lnstltutes and prlvate flrms entlrely vla
state lnvestment presents a real dlfflculty. |ncreaslng the
level of prlvate lnvestment ln S&T wlll not be easy,
partlcularly ln the years followlng the global recesslon
when all other countrles ln the reglon wlll be seeklng to
create lncentlves to attract much-needed prlvate
lnvestment.
O|||+ ||O||||S.
|o |.c|||c |s|.rJ st.tos
Science and R&D in the Pacific
The Paclflc |sland states are dlverse, yet each ls ln many
ways unlque. Although sclence ls a comparatlvely low
prlorlty among pollcy-makers, there ls an emerglng
reglonal presence ln S&T. Thls ls largely due to the
common concerns confrontlng many of the smaller
low-lylng Paclflc natlons, such as sea-level rlse, saltwater
lntruslon and the growlng frequency of destructlve
storms. Peglonal organlzatlons lncreaslngly play an
lmportant role ln provldlng member countrles wlth
speclallzed expertlse and asslstance ln conductlng
research ln prlorlty areas that they would otherwlse be
unable to afford. A number of reglonal bodles are
lnvolved ln conductlng P&D studles on envlronmental
and economlc lssues, renewable energy, health care and
soclal and cultural lssues faclng the reglon. Many of
these are based ln Pl[l. Organlzatlons lnclude the Asla
Paclflc Peglonal Lnvlronment Network (APPLNLT), the
Unlverslty of the South Paclflc (USP), the Secretarlat of
the Paclflc Communlty (SPC) wlth lts head offlce ln New
Caledonla, the Paclflc |slands Porum Secretarlat (P|PS),
Paclflc |sland Geosclences, the Paclflc |sland Assoclatlon
of Non-Governmental Organlsatlons (P|ANGO), the
Lcumenlcal Centre for Pesearch, Lducatlon and
Advocacy (LCPLA), the |nternatlonal Councll for the
Study of the Paclflc |slands (|CSP|) and the Paclflc
Operatlons Centre (LPOC) of the Unlted Natlons
Lconomlc and Soclal Commlsslon for Asla and the
Paclflc (UNLSCAP).
These reglonal lnstltutlons and lnltlatlves have been
successful ln generatlng hlgh-quallty lnformatlon on
research. Among these, the Secretarlat of the Paclflc
Communlty (SPC) plays a key role ln developlng S&T
competencles ln the reglon (8ox l).
The past few years have seen an lmprovement ln
P&D capaclty ln the hlgher educatlon sector ln
partlcular, ln the mldst of contlnulng hlgh turnover
ln S&T personnel. Much of the credlt for the
emergence of a vlbrant, lf fledgllng research culture
can go to lnstltutlons llke the USP and the Pl[l School
of Medlclne, founded ln l979, as well as other more
recent lnstltutlons llke the Unlverslty of Pl[l (UoP) and
the Pl[l Natlonal Unlverslty (PNU).
Lstabllshed ln 2006, UoP has lost no tlme ln laylng
the groundwork for research on matters of natlonal
lnterest. |t has already establlshed two centres: the
Centre for Lnergy, Lnvlronment and Sustalnable
Development and the Centre for |ndlgenous Studles.
|n 20l0, lt was plannlng to promote a rural
electrlflcatlon programme uslng photovoltalc battery
systems whlch lt plans to adapt wlth the asslstance of
the Tata Lnergy Pesearch |nstltute ln New Delhl, |ndla
(personal submlsslon).
Of even more recent vlntage ls the PNU
3
, datlng from
1anuary 20l0. The PNU has yet to artlculate lts strateglc
approach to servlng natlonal prlorltles uslng lts own S&T
capabllltles.
The oldest unlverslty ln the reglon, the USP
4
focuses
heavlly on the concerns of the Paclflc |slands. The
unlverslty concentrates research on sustalnable
development ln the broad sense of the word, as P&D
covers envlronmental economlcs, S&T and soclal and
cultural lssues. Capltallzlng on current scholarshlp
programmes wlth Australla, New Zealand, Chlnese Talpel
and Prance, the unlverslty plans to enhance lnternatlonal
and reglonal research partnershlps, accordlng to the u5P
5ttote|c Plon 2010-2012.
|||SO S|||| |||O| 2010
458
Box 1: The Secretarlat of the Paclflc Communlty
|o Soc.ot..|.t c| t|o |.c|||c
cnnJr|ty (S|) ..s t|o ||.st
.o|cr.| c..r|..t|cr |r t|o |.c|||c.
|t ..s ost.b||s|oJ |r 194 .s t|o
ScJt| |.c|||c cnn|ss|cr. |o S|
rc. .cts .s .r |rto.r.t|cr.| bcJy. |t
Jo||vo.s p.|c.|ty .c.k p.c..nnos tc
nonbo. ccJrt.|os .rJ to..|tc.|os tc
Jovo|cp p.c|oss|cr.|, sc|ort|||c,
toc|r|c.|, .oso..c| .rJ n.r.onort
c.p.c|ty .|t| . |ccJs cr.
I |.rJ .oscJ.cos, |rc|JJ|r |c.ost.y
.rJ ..|cJ|tJ.o,
I n..|ro .oscJ.cos, |rc|JJ|r
cc.st.| .rJ cco.r|c ||s|o.|os,
.s .o|| .s .o|.toJ b.c.Jo.
orv|.crnort.| |ssJos,
I scc|.| .oscJ.cos, .|t| . |ccJs cr
.cnor, ycJt| .rJ cJ|tJ.o.
Vcst S| p.c..nnos ..o |JrJoJ by
t|o ||, t|o AJst..||.r ort.o |c.
|rto.r.t|cr.| A.|cJ|tJ..| |oso..c|
(A|A|), A|SA||, |A||, t|o o.n.r
ccpo..t|cr Aorcy () .rJ
||roso .|po|.
|o |.c|||c A.|cJ|tJ..| ||.rt
orot|c |oscJ.cos |ot.c.k
(|A||||) ..s sot Jp |r 2004, |r
c.Jo. tc orsJ.o t|o sJ.v|v.| c| |.c|||c
|ccJ c.cps by n.|rt.|r|r . J|vo.s|ty
c| p|.rt stccks. |t |.s boor cro c| t|o
koy .c||ovonorts c| t|o S|
p.c..nnos. ||r.rc|.| sJppc.t |c.
|A|||| |s p.cv|JoJ by A|A| .rJ
|A||. |o sooJs c| |A|||| .o.o
sc.r |r 1998 .|or t|o S| c.o.toJ .
.o|cr.| orob.rk t|.t |s rc. krc.r
.s t|o ort.o |c. |.c|||c .cps .rJ
.oos (o|.).
|o |.c|||c |o|cr.| |r|c.n.t|cr
SystoV (|||SV) |s t|o b..|rc|||J c| t|o
.o|crs |.t|cr.| St.t|st|c.| O|||cos
(|SOs). |t ..s .JcptoJ by t|o S| |r
2002 .|t| sJppc.t |.cn t|o ||
|op..tnort |c. |rto.r.t|cr.|
|ovo|cpnort. |o .|n |s tc |vo
|.t|cr.| St.t|st|c.| O|||cos t|o tcc|s .rJ
sk|||s rocoss..y tc Jovo|cp, pJb||s| .rJ
n.|rt.|r st.t|st|c.| |rJ|c.tc.s,
sJnn..|os, .opc.ts .rJ sc cr |c. t|o
.o|cr. As c| 2010, rc J.t. .o.o yot
.v.||.b|o cr || |r t|o .o|cr.
|o |cJ. |cJrJ|r nonbo.s c|
t|o S| .on.|r nonbo.s. AJst..||.,
|..rco, |o. o.|.rJ .rJ t|o |SA.
|c. . ccnp|oto ||st c| t|o 22 |.c|||c
|s|.rJ st.tos .rJ to..|tc.|os .||c| ..o
nonbo.s, soo Arrox |.
5outce: authors
3. The PNU was formed by brlnglng slx exlstlng organlzatlons under one
umbrella: Pl[l College of Agrlculture, Pl[l |nstltute of Advanced Lducatlon,
Pl[l School of Medlclne, Pl[l School of Nurslng, Pl[l Teacher Tralnlng School
and Pl[l |nstltute of Technology.
4. The maln campus of the USP ls ln Suva, Pl[l. Pounded ln l968, the
unlverslty ls supported by l2 Paclflc |sland countrles: Cook |slands, Pl[l,
Klrlbatl, Marshall |slands, Nauru, Nlue, Samoa, Solomon |slands, Tokelau,
Tonga, Tuvalu and vanuatu.
|ntergovernmental organlzatlons such as the Unlted
Natlons Development Programme (UNDP) and the Unlted
Natlons |nternatlonal Chlldren's Lmergency Pund (UN|CLP)
also play an lmportant role by way of targeted research
and pro[ect asslstance wlth soft technologles ln thelr
respectlve areas of expertlse. Prlvate-sector lndustrlal P&D
ln the reglon ls almost non-exlstent, as flrms'
technologlcal requlrements can be adequately satlsfled
through technology transfer from beyond the reglon. The
government establlshed the Papua New Gulnea Pesearch,
Sclence and Technology Councll ln 2008 to embark upon
research and lnnovatlon, and to pave the way for
lndustrlallzatlon ln the llght of ma[or development
pro[ects ln mlnlng, oll and gas.
There ls only llmlted lnformatlon avallable for some Paclflc
|sland states on prlorlty areas for sclence. |n the sectlon
that follows, these countrles are therefore dlscussed as a
group rather than lndlvldually.
Trends and challenges in the Pacific Islands
leeJ nnJ energy securiry
The reglon ls heavlly dependent on lmported foodstuffs.
Thls ls due to a decllne ln per caplta food productlon and
an lmbalance ln demand for local foodstuffs wlthln lsland
natlons
5
. |n llne wlth thls observatlon, the Poc|l|c lslonJs
lotum Act|on Plon 2009 emphaslzed the need to sustaln
momentum to ensure better food and energy securlty,
maxlmlze the sustalnable economlc returns for flsherles
and deslgn an approprlate dlsaster-rlsk management
programme to mlnlmlze any adverse lmpact of natural
dlsasters on agrlculture.
lC7s
Paclflc |sland countrles are experlenclng a wave of
llberallzatlon and development of thelr telecommunlcatlons
markets. At present, lntegratlon of |CTs lnto development
efforts ls not unlform across the reglon. Papua New Gulnea
has a relatlvely advanced telecom network but teledenslty
and moblle and |nternet penetratlon remaln extremely low,
at less than 2%. Pl[l also has a falrly rellable and efflclent
telecom system but low |nternet penetratlon (l2% ln 2008).
The Paclflc |CT Mlnlsterlal Porum held ln Pebruary 2009
agreed to a set of prlorltles and actlons to spur |CT
development ln the Paclflc. Among the agreed prlorltles
were: reglonal connectlvlty lnltlatlves, the bulldlng of
human capaclty, shared regulatory resources and the use
of |CTs for early warnlng and response systems. The Paclflc
Peglon Headquarters of the US Natlonal Oceanlc and
Atmospherlc Admlnlstratlon (NOAA), sltuated ln
Honolulu, serves as the key source of early warnlng
bulletlns for natural dlsasters. Peglonal connectlvlty
needs lmprovlng rapldly, however, and staff wlll need
advanced tralnlng lf the response system ls to be
effectlve.
Climnre chnnge
Cllmate change ls a great challenge for Paclflc |sland
states. |t threatens not only llvellhoods and llvlng
standards but the very vlablllty of communltles.
Although Paclflc |sland states play a small role ln causlng
cllmate change, the lmpact on them ls great. Many Paclflc
|slands face new challenges llke ensurlng access to
freshwater ln the wake of contamlnatlon of groundwater
wlth seawater as a result of sea-level rlse and the greater
frequency of vlolent storms. These phenomena place the
securlty and health of communltles ln greater [eopardy
than before. Some habltats and lsland states even face
obllteratlon, such as Tuvalu, whlch lles on average [ust
l.5 m above sea level.
Por the SPC, sclentlflc research ls requlred to model the
future lmpact of cllmate change on agrlculture and
forestry ln partlcular and devlse means of adaptatlon,
ln order to malntaln these sectors. |n thls regard, the
7suluoo 0eclotot|on outllnes a strategy for adaptlng
agrlculture to cllmate change ln the Paclflc (Tsukuba,
2008). |t advocates the development of 'cllmate ready'
6
collectlons of crop varletles, for example, at the reglon's
Centre for Paclflc Crops and Trees (8ox l).
Jucnrien
Pollcles for developlng better educatlon systems are a
prlorlty ln the reglon. wlth the technology boom ln
Asla-Paclflc, the need to lntegrate modern technology
lnto classroom lnstructlon ls on everyone's llps. The
followlng measures have been proposed to achleve 2l
st
century competencles and skllls ln Asla-Paclflc. All are of
hlgh relevance to the Paclflc |slands: evldence-based
learnlng approaches, cognltlve research, enhancement
of the professlonal development of sclence teachers,
lncluslon, and usage of modern |CT facllltles so that
459
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
5. Thls phenomenon has also been observed ln the Carlbbean,
see page l33.
6. Crop varletles able to tolerate more extreme drought, heat-stress and
sallne condltlons ln future
schools can access |nternet for classroom actlvltles.
Taklng thls polnt a step further, Papua New Gulnea's
Not|onol l|het lJucot|on Plon 2030 (forthcomlng) alms
to make research and S&T the fundamental prlorlty of
the hlgher educatlon sector, as these twln englnes wlll
drlve the Not|onol v|s|on 2050.
Renlrh
A better dellvery of health servlces ls consldered a hlgh
prlorlty ln the reglon, ln order to mlnlmlze chlld
mortallty, maternal mortallty and obeslty, and tackle
H|v/A|DS lssues. Obeslty seems to be a key health
problem among Paclflc |slanders, consumlng a very large
proportlon of the health budget. As the key health
research school ln the reglon, the Pl[l School of Medlclne
has taken lt upon ltself to establlsh the Paclflc ST| & H|v
Pesearch Centre
7
and the Centre for Health |nformatlon,
Pollcy and Systems, launched ln 2009 and 20l0
respectlvely.
7ewnrJs nn 5&7 elicy Ier rhe PnciIic
The features common to Paclflc |slands suggest that
there may well be some advantage ln promotlng
sclence pollcy at the reglonal level. Such an approach
would serve to foster collaboratlon across the reglon.
|n an attempt to ascertaln whether lt would be feaslble
to draw up a reglonal pollcy on S&T, the Australlan
Natlonal Unlverslty and UNLSCO collaborated wlth
SPC on a revlew of exlstlng llterature on formal sclence
pollcy ln the Paclflc |slands coverlng agrlculture, health,
envlronment and educatlon. The revlew noted the
advantages of havlng a sclence pollcy at a reglonal
level, at least for envlronmental and blosecurlty
matters (Perera and Lamberts, 2006). The revlew
stressed that, ln order to develop S&T that ls
approprlate and appllcable to the soclo-economlc
cllmate of the Paclflc, provlslons would need to be
made for wlde consultatlons wlth governments and
other key stakeholders ln the reglon, ln order to obtaln
a clear lndlcatlon of the percelved needs and lnterests
of each Paclflc |sland natlon. |n thls regard, the absence
of baslc statlstlcs on S&T needs to be rectlfled to make
the Paclflc |slands more vlslble ln global sclence.
These two lssues the consultatlon process and
the generatlon of statlstlcs ln the reglon become
fundamental requlrements for movlng towards an
S&T pollcy for the reglon.
O|||S|O|
The country revlews presented ln the present chapter
reflect conslderable economlc, lndustrlal and soclal
dlverslty across Southeast Asla and Oceanla. The reglon
ls home to some of the world's wealthlest lndustrlally
developed economles and some of the world's
poorest. The status of sclence ln terms of capaclty,
prlorltles and output consequently varles accordlngly.
8ehlnd these structural dlfferences, there are some
common features ln terms of the way ln whlch sclence
ls progresslng.
Firstly, sustalned growth over the past decade ln both
the Chlnese and |ndlan economles has been dramatlc
and ls already havlng a marked lmpact on reglonal S&T
capaclty. Although thls manlfests ltself ln dlfferent
ways, the lnfluence of the |ndlan and Chlnese growth
affects almost all countrles. Por example, the
commodltles boom through the 2000s, drlven to a
large extent by |ndla and Chlna, has led to
conslderable rlse ln mlnlng-related P&D ln Australla
and a consequent growth ln buslness-sector P&D
lnvestment. The growth ln sclentlflc publlcatlons from
|ndla and Chlna has also had the effect of llmltlng
comparatlve galn for all countrles ln terms of thelr
contrlbutlon to global output ln sclentlflc publlcatlons.
Purthermore, ln co-authored publlcatlons from the
reglon, Chlna and |ndla are already among the top
three co-authorlng countrles for flve of the countrles
covered here.
Secondly, ln most countrles, sclence pollcy has
become lntegrated wlth lnnovatlon pollcles. Thls has
been a global trend, as countrles seek to use sclence
to drlve economlc competltlveness and, among the
less developed countrles, development. A challenge
for the future wlll be to ensure that lnnovatlon pollcy
ls not the sole drlver of sclence pollcy and that the
natlonal sclence base can remaln sufflclently
comprehenslve to enable global sclentlflc
collaboratlon to contlnue.
Thirdly, wlth the move from S&T to ST|, there has
been a growlng focus on pollcles to promote and
manage cross-sector P&D. Across the reglon, a range
of strategles for achlevlng thls purpose ls evldent.
Many countrles have lntroduced collaboratlve
|||SO S|||| |||O| 2010
460
7. ST| ls the acronym for sexually transmltted lnfectlons.
pro[ect-fundlng schemes. Others have lntroduced
ma[or lnltlatlves llke the Australlan Cooperatlve
Pesearch Centres programme. Thls program has been
ln place ln Australla slnce l99l and has served as a
model for slmllar pollcy lnltlatlves ln other countrles
(e.g. Thalland). Slngapore has approached the lssue
by maklng large, strateglc lnvestments to establlsh
cross-sector clusters llke 8lopolls. All countrles that
have lntroduced such programmes have tled them ln
one way or another to broad natlonal strateglc
prlorltles.
There ls also evldence of new knowledge hubs
emerglng ln some flelds llnked to those already
anchored ln North Amerlca and western Lurope and,
ln some ways, movlng beyond these hubs ln the
Northern Hemlsphere. There ls evldence, for example,
that Slngapore ls an emerglng hub for blomedlcal and
englneerlng technologles, both ln the reglon and
globally.
Another common thread runnlng through the reglon
ls the growlng attentlon belng pald to cllmate change
and sustalnable development. The role of sclence ln
lmprovlng understandlng of lssues assoclated wlth
cllmate change and ln mltlgatlng or adaptlng to the
lmpact of cllmate change are reflected ln the natlonal
plans of most countrles ln Southeast Asla and Oceanla.
|n many cases, these lssues are embedded ln general
prlorlty statements, even lf the speclflcs of tackllng the
challenge are left to publlc research lnstltutes. One
example ls the Thal 8lotechnology Center under the
Natlonal Sclence and Technology Development
Agency. |t has been conductlng research over the past
flve years on blogas from casava, corn, sugar cane and
plg's waste. However, except for some pllot pro[ects,
most are stlll ln the early stages of research and thus a
long way from attractlng markets or becomlng a future
source of energy.
|n Pl[l and elsewhere, forelgn donor funds are belng
dlrected towards sustalnable agrlculture and forestry.
|n the Phlllpplnes, prlorltles for sustalnable
agrlculture are strateglcally llnked to reglonal sclence
networks llke AC|AP. |n other countrles, there are
locallsed responses. |n |ndonesla for example,
natlonal prlorltles for renewable energy focus on
geothermal productlon and bloethanol, among
others. Australla has ldentlfled 'envlronmentally
sustalnable Australla' as a research prlorlty.
Purthermore, Australla's Commonwealth Sclentlflc
and |ndustrlal Pesearch Organlsatlon has a
programme called Plagshlp for Lnergy Transformed
whlch focuses on developlng clean, affordable
energy and transport technologles for a sustalnable
future. The envlronment ls also a key feature ln the
country's Sustalnable Agrlculture programme,
whlch addresses productlvlty and food securlty 'ln a
carbon constralned world'. |n Australla, however, the
maln drlver of alternatlve energy P&D are lncentlves
llke the lntroductlon of levles to support household
productlon of solar electrlclty for reglonal grld
systems. |n many parts of the country, householders
who have lnstalled solar energy collectors and
lnverters are pald a kllowatt hour rate for
productlon at more than twlce the scheduled peak
purchase rate for electrlclty dellvered through the
grld. Slngapore's Thematlc Strateglc Pesearch
Programme noted that lts 2005 flve-year plan
lncludes Carbon Capture and Utlllzatlon and
Sustalnable Materlals whlch are dlrected towards
key envlronmental lssues but wlth a market focus.
In sum, the sclentlflc response to cllmate change and
the quest for alternatlve energy sources ln the reglon
ls belng drlven by market demand, on the one hand,
and publlc debates and expectatlons, on the other
hand, coupled wlth local natural advantage. Lven
among those countrles wlth deflned 'green' research
prlorltles, the level of lnvestment ls drlven by a
comblnatlon of sclentlflc quallty and market demand.
The crltlcal lssue for most countrles wlll be to ensure
they have a sufflclent sclentlflc base to serve these
consumer demands as they emerge.
Lastly, one of the clear trends across the reglon ls
the greater level of lnternatlonal engagement and
co-operatlon. Thls ls evldent ln the growlng
co-publlcatlon rates but also ln the trend whlch sees
researchers spendlng tlme abroad as part of thelr
tralnlng and on-golng collaboratlon throughout thelr
careers. Thls ls a promlslng trend for many of the
smaller countrles because only through lnternatlonal
sclentlflc engagement wlll many local problems be
resolved. Only tlme wlll tell whether such an
engagement wlll serve the lnterests of the smaller
economles or slmply those more deeply embedded ln
the core of global sclentlflc networks.
46l
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
||||||||S
Ahmed Dln, P. and Krlshna, v.v. (2007) Sclence and
technology pollcy and the dynamlcs underlylng the
Malayslan lnnovatlon system, ln T. Turpln and v.v.
Krlshna (eds), 5c|ence, onJ 7echnoloy Pol|cy onJ the
0|llus|on ol lnowleJe: unJetstonJ|n the 0ynom|cs ol
lnnovot|on 5ystems |n As|o-Poc|l|c. Ldward Llgar,
Cheltenham.
Ca, Ngoc Tran (2007) |nnovatlon System ln vlet Nam:
Toward |nnovatlon Pollcy for Competltlveness and
Sustalnable Development, 1outnol ol 5c|ence Pol|cy
onJ keseotch Vononement, vol. 22. No.2.
Carr, K. (2009) Powet|n lJeos: on lnnovot|on AenJo lot the
21
st
Centuty. Commonwealth of Australla.
Cleland, Peter D. and Manly, Susan L. (2007) Sclence and
Technology pollcy and dlffuslon of knowledge ln New
Zealand, ln Tlm Turpln and v.v. Krlshna (eds), 5c|ence
onJ technoloy Pol|cy onJ the 0|llus|on ol lnowleJe:
unJetstonJ|n the 0ynom|cs ol lnnovot|on 5ystems |n
As|o-Poc|l|c. Ldward Llgar, Cheltenham.
Cutler, T. (2008) ventutous Austtol|o: ou|lJ|n 5ttenth |n
lnnovot|on. Cutler and Co., North Melbourne.
Plrdausy, C. M. (2006) lnJones|on Covetnment 587 5ttote|es
lot the lutute, Presentatlon to the Australla-|ndonesla
1olnt Symposlum on Sclence and Technology,
September 2006. 1akarta.
Garret-1ones, S. (2007) Marklng Tlme! The evolutlon of the
Australlan Natlonal |nnovatlon System, ln T. Turpln and
v.v. Krlshna (Lds.), 5c|ence, 7echnoloy Pol|cy onJ the
0|llus|on ol lnowleJe: unJetstonJ|n the 0ynom|cs ol
lnnovot|on 5ystems n the As|o oc|l|c. Ldward Llgar,
Cheltenham.
|ntarakumnerd, P. (2006) Thalland's natlonal lnnovatlon
system, ln transltlon, ln Lundvall, 8., |ntarakumnerd, P.
and vang, 1. (eds) As|os lnnovot|on 5ystems |n 7tons|t|on.
Ldward Llgar, Cheltenham, UK, and Northampton, USA.
Lall, S. (2000) 7he 7echnolo|col 5ttuctute onJ Petlotmonce ol
0evelo|n Countty VonuloctuteJ lxotts, 1985-1998.
Unlverslty of Oxford, UK.
MT|S (2006) 5usto|n|n lnnovot|on-Jt|ven Ctowth: 5c|ence onJ
7echnoloy Plon 2010, V|n|stty ol 7toJe onJ lnJustty,
Slngapore.
|||SO S|||| |||O| 2010
462
MoPST (2009) keott ol the V|n|stty ol keseotch, 5c|ence onJ
7echnoloy lot the eot lnJeJ, 30th 1une, 2009.
welllngton, New Zealand.
O'Kane, M. (2008) Colloootot|n to o Putose: kev|ew ol the
Cooetot|ve keseotch Centtes Ptotom. Department of
|nnovatlon, Sclence and Pesearch, Canberra.
Perera, S. and Lamberts, P (2006) kev|ew ol lx|st|n
l|tetotute on lotmol 5c|ence Pol|cy |n the Poc|l|c lslonJs.
Pesearch pro[ect for UNLSCO Apla's programme on
sclence pollcy development ln the Paclflc |slands.
Phasukavanlch, C. (2003) The Pace of Thalland through the ear
2020. Power polnt presentatlon, 20 May 2003, 8angkok.
Pahard[o T. (2009) Not|onol 5ttote|c Pol|c|es lot lnJones|on
587 0eveloement. Summary of document entltled
1olsttonos (587 5ttotey 2004-2014, translated from
8hassa. Avallable from Deputy Mlnlster for Pesearch,
Sclence and Technology, 1akarta.
Slnh, 8. T. (2009) Pevlew of the Natlonal System of |nnovatlon
ln vlet Nam, an unpubllshed report submltted to the
|nternatlonal Development Pesearch Center Ottawa.
Tsukuba (2008) 7suluoo 0eclotot|on. Tsukuba Porum, l 1une.
Avallable at:www.sakura.cc.tsukuba.ac.[p/~eeeforum/
2nd3LP/T3LPdeclaratlon2008e.pdf
UNCTAD (2008) 7he leost 0eveloeJ Countt|es keott 2007:
lnowleJe, 7echnolo|col leotn|n onJ lml|cot|ons lot
0eveloment. Unlted Natlons Conference on Trade and
Development, Geneva.
UNDP (2009) lumon 0eveloment keott 2009: Ovetcom|n
8ott|ets: lumon moo|l|ty onJ Jeveloment. Unlted
Natlons Development Programme, New ork.
UNLSCO (2009) 7|mot-leste. UNLSCO Country Programmlng
Document, 2009-20l3, UNLSCO Offlce, 1akarta.
wTO (20l0) Countty Ptol|les. world Trade Organlzatlon.
Avallable at: http://stat.wto.org/
\|bS||S
APLC Centre for Technology Poreslght: www.apecforeslght.org/
Aslan and Paclflc Centre for Transfer of Technology:
www.apctt.org
Australlan Sclence Portal : http://www.sclence.gov.au/
funded by the Canadlan |nternatlonal Development
Pesearch Centre. He also heads the reglonal research
pro[ect on Posterlng Productlon and Sclence and
Technology Llnkages to Stlmulate |nnovatlon ln ASLAN
organlzed by the Lconomlc Pesearch |nstltute of ASLAN
and Last Asla and by the 1apan Lxternal Trade Organlsatlon.
Dr |ntarakumnerdls also Advlsor to the Study Pro[ect on
Promotlon of P&D |nvestment by Transnatlonal
Corporatlons ln Thalland belng lmplemented by the
Natlonal Sclence, Technology and |nnovatlon Pollcy Offlce.
8orn ln l97l, he obtalned hls PhD from the Sclence
Pollcy Pesearch Unlt at the Unlverslty of Sussex ln the
UK. He then served as Pro[ect Leader of Thalland's
Natlonal |nnovatlon System Study from 2002 to 2008
commlssloned by the Natlonal Sclence and Technology
Development Agency.
Wasantha Amaradasa ls a Postdoctoral Pesearch Pellow
at the Centre for |ndustry and |nnovatlon Studles of the
Unlverslty of western Sydney and Senlor Lecturer at the
Department of Management of the Unlverslty of Pl[l.
8orn ln Srl Lanka ln l959, he began hls career as Asslstant
Lecturer ln Physlcs at the Unlverslty of Peradenlya ln Srl
Lanka ln l985.
Prom l997 to 2004, he served as Dlrector of Sclentlflc
Affalrs at the Natlonal Sclence Poundatlon ln Colombo
before belng made Head of the Technology Dlvlslon
and Prlnclpal Sclentlflc Offlcer then Manager of
Plannlng and Monltorlng at the Natlonal Lnterprlse
Development Authorlty of Srl Lanka.
|n 2008, Dr Amaradasa served on the Lxpert Commlttee
mandated by the Natlonal Sclence and Technology
Commlsslon to prepare a Draft Natlonal Sclence and
Technology Pollcy for Srl Lanka. |n 2007-2008, he acted
as convenor for the Natlonal Sclence Poundatlon of the
Draft Natlonal Pollcy on Unlverslty, |ndustry and |nstltute
Partnershlps ln Pesearch.
463
S
o
u
t
h
e
a
s
t

A
s
l
a

a
n
d

O
c
e
a
n
l
a
Tim Turpin ls Professorlal Pellow at the Centre for
|ndustry and |nnovatlon Studles at the Unlverslty of
western Sydney ln Australla. 8orn ln l945, he ls a
speclallst ln research pollcy.
|n 2004-2005, he was appolnted Actlng Dlrector of the
Australlan Lxpert Group ln |ndustry Studles at the
Unlverslty of western Sydney after servlng as Dlrector
of the |nternatlonal 8uslness Pesearch |nstltute from
l999 to 2002 and as Dlrector of the Centre for Pesearch
Pollcy at the Unlverslty of wollongong from l995 to
l999. Hls research experlence over the past l5 years
has focused on the processes through whlch
knowledge ls produced, managed and dlffused.
He has carrled out fleld work and publlshed wldely on
research culture, lnstltutlonal change and research pollcy
ln Australla and throughout the Asla-Paclflc reglon wlth
a partlcular focus on Chlna and Southeast Asla. He has
carrled out contract research ln Thalland, |ndonesla and
other members of the Assoclatlon of Southeast Aslan
Natlons (ASLAN), as well as ln Chlna, the Pepubllc of
Korea, Mozamblque, Mongolla and the Mlddle Last.
8orn ln l965, Richard Woolley ls a Postdoctoral
Pesearch Pellow at the Centre for |ndustry and
|nnovatlon Studles at the Unlverslty of western Sydney.
Hls research lnterests lnclude human resource lssues,
such as the moblllty of Australlan researchers and the
contrlbutlon that technlclans make to P&D. He
speclallzes ln devlslng solutlons for the quantltatlve and
qualltatlve collectlon of data, lncludlng the deslgn of
onllne surveys. He ls currently analyslng data from a
survey of over l0 000 sclentlsts ln the Asla-Paclflc reglon
on thelr tralnlng and career tra[ectorles, as well as the
organlzatlon of knowledge productlon ln the reglon.
Patarapong Intarakumnerdls a Lecturer at the College
of |nnovatlon at Thammasat Unlverslty ln Thalland. wlthln
the unlverslty, he heads a team studylng the 8angkok Clty
|nnovatlon System under the ASLAN Megacltles Pro[ect
Mlnlstry of Hlgher Lducatlon of Papua New Gulnea:
www.ohe.gov.pg
New Zealand Sclence Portal: http://sclencenewzealand.org/
Paclflc |slands Porum Secretarlat: www.forumsec.org
Paclflc |nstltute of Publlc Pollcy: www.paclflcpollcy.org
Samoa Sclence, Pesearch Organlzatlon: www.sros.org.ws
Secretarlat of the Paclflc Communlty: www.spc.lnt/
Unlverslty of New Caledonla: www.unlv-nc.nc
Unlverslty of South Paclflc: www.usp.ac.f[
wh|le oct|vely concetneJ w|th the |mmeJ|ote ost-J|sostet
neeJs ol tecently ollecteJ oulot|ons |n lo|t| onJ Pol|ston,
uNl5CO |s enoeJ |n ellotts to enhonce the sc|ent|l|c onJ
techn|col cooc|t|es ol cometent |nst|tut|ons |n these
countt|es to coe w|th the t|sl ol s|m|lot occuttences |n
the lutute.
Lxtract from the message from
Irina Bokova, Dlrector-General of UNLSCO,
on the occaslon of the |nternatlonal Day for
Dlsaster Peductlon, l3 October 20l0
The Tax Offlce bulldlngs ln
Port-au-Prlnce after the
earthquake that hlt Haltl on
l2 1anuary 20l0
Photo:
Pernando 8rugman/uNl5CO
464
Annex 1 - Combined [9] [P3]:Layout 1 18/10/10 20:09 Page 464
465
A
n
n
e
x
Annexes |A|
Arrox | cnpcs|t|cr c| .o|crs .rJ sJb.o|crs 466
Arrox || V|||orr|Jn |ovo|cpnort c.|s 41
466
Annex |. cnpcs|t|cr c| .o|crs .rJ sJb.o|crs
North Amerlca, Lurope, 1apan, Australla and New Zealand
Afrlca, Latln Amerlca and the Carlbbean, Asla excludlng 1apan, Oceanla excludlng
Australla and New Zealand
Afghanlstan, Angola, 8angladesh, 8enln, 8hutan, 8urklna Paso, 8urundl, Cambodla, Cape
verde, Central Afrlcan Pepubllc, Chad, Comoros, Democratlc Pepubllc of the Congo,
D[lboutl, Lquatorlal Gulnea, Lrltrea, Lthlopla, Gambla, Gulnea, Gulnea-8lssau, Haltl, Klrlbatl,
Lao People's Democratlc Pepubllc, Lesotho, Llberla, Madagascar, Malawl, Maldlves, Mall,
Maurltanla, Mozamblque, Myanmar, Nepal, Nlger, Pwanda, Samoa, Sao Tome and Prlnclpe,
Senegal, Slerra Leone, Solomon |slands, Somalla, Sudan, Tlmor-Leste, Togo, Tuvalu, Uganda,
Unlted Pepubllc of Tanzanla, vanuatu, emen, Zambla
Angullla, Antlgua and 8arbuda, Argentlna, Aruba, 8ahamas, 8arbados, 8ellze, 8ermuda,
8ollvla, 8razll, 8rltlsh vlrgln |slands, Canada, Cayman |slands, Chlle, Colombla, Costa Plca,
Cuba, Domlnlca, Domlnlcan Pepubllc, Lcuador, Ll Salvador, Palkland |slands (Malvlnas),
Prench Gulana, Grenada, Guadeloupe, Guatemala, Guyana, Haltl, Honduras, 1amalca,
Martlnlque, Mexlco, Montserrat, Netherlands Antllles, Nlcaragua, Panama, Paraguay, Peru,
Salnt Kltts and Nevls, Salnt Lucla, Salnt Plerre and Mlquelon, Salnt vlncent and the
Grenadlnes, Surlname, Trlnldad and Tobago, Turks and Calcos |slands, Unlted States of
Amerlca, Unlted States vlrgln |slands, Uruguay, venezuela
North America
Canada, Unlted States of Amerlca
Latin America and the Caribbean
Amerlca excludlng Canada and the Unlted States of Amerlca
land |slands, Albanla, Andorra, Austrla, 8elarus, 8elglum, 8osnla and Herzegovlna, 8ulgarla,
Channel |slands, Croatla, Cyprus, Czech Pepubllc, Denmark, Lstonla, Paeroe |slands, Plnland,
Prance, Germany, Glbraltar, Greece, Greenland, Guernsey, Holy See, Hungary, |celand, |reland,
|sle of Man, |taly, , 1ersey, Latvla, Llechtensteln, Llthuanla, Luxembourg, Malta, Monaco,
Montenegro, Netherlands, Norway, Poland, Portugal, Pepubllc of Moldova, Pomanla, Pusslan
Pederatlon, San Marlno, Serbla, Slovakla, Slovenla, Spaln, Svalbard and 1an Mayen |slands,
Sweden, Swltzerland, The former ugoslav Pepubllc of Macedonla, Turkey, Ukralne, Unlted
Klngdom of Great 8rltaln and Northern |reland
European Union
Austrla, 8elglum, 8ulgarla, Cyprus, Czech Pepubllc, Denmark, Lstonla, Plnland, Prance,
Germany, Greece, Hungary, |reland, |taly, Latvla, Llthuanla, Luxembourg, Malta,
||\||O|||
O|||||S
||\||O|||
O|||||S
||AS ||\||O|||
O|||||S
AV|||AS
|||O||
.cJp|rs nort|croJ |r |.pto. 1
467
AFRICA
ASIA
Netherlands; Poland; Portugal; Romania; Slovakia; Slovenia; Spain; Sweden; United
Kingdom of Great Britain and Northern Ireland
Commonwealth of Independent States in Europe
Belarus; Republic of Moldova; Russian Federation; Ukraine
Central, Eastern and Other Europe
Europe excluding European Union and Commonwealth of Independent States in Europe
Algeria; Angola; Benin; Botswana; Burkina Faso; Burundi; Cameroon; Cape Verde; Central
African Republic; Chad; Comoros; Congo; Cte dIvoire; Democratic Republic of the Congo;
Djibouti; Egypt; Equatorial Guinea; Eritrea; Ethiopia; Gabon; Gambia; Ghana; Guinea; Guinea-
Bissau; Kenya; Lesotho; Liberia; Libyan Arab Jamahiriya; Madagascar; Malawi; Mali;
Mauritania; Mauritius; Mayotte; Morocco; Mozambique; Namibia; Niger; Nigeria; Rwanda;
Saint Helena; So Tome and Principe; Senegal; Seychelles; Sierra Leone; Somalia; South Africa;
Sudan; Swaziland; Togo; Tunisia; Uganda; United Republic of Tanzania; Zambia; Zimbabwe
Sub-Saharan countries in Africa
Africa excluding African Arab States
Arab States in Africa
Algeria; Djibouti; Egypt; Libyan Arab Jamahiriya; Mauritania; Morocco; Sudan; Tunisia
Afghanistan; Armenia; Azerbaijan; Bahrain; Bangladesh; Bhutan; Brunei Darussalam; Cambodia;
China; Democratic People's Republic of Korea; Georgia; Hong Kong Special Administrative
Region of China; India; Indonesia; Iran; Iraq; Israel; Japan; Jordan; Kazakhstan; Kuwait;
Kyrgyzstan; Lao Peoples Democratic Republic; Lebanon; Macao; China; Malaysia; Maldives;
Mongolia; Myanmar; Nepal; Oman; Pakistan; Palestinian Autonomous Territories; Philippines;
Qatar; Republic of Korea; Saudi Arabia; Singapore; Sri Lanka; Syrian Arab Republic; Tajikistan;
Thailand; Timor-Leste; Turkmenistan; United Arab Emirates; Uzbekistan; Viet Nam; Yemen
Commonwealth of Independent States in Asia
Armenia; Azerbaijan; Kazakhstan; Kyrgyzstan; Tajikistan; Turkmenistan; Uzbekistan
Newly Industrialized Economies in Asia
Hong Kong Special Administrative Region of China; Indonesia; Malaysia; Philippines;
Republic of Korea; Singapore
Arab States in Asia
Bahrain; Iraq; Jordan; Kuwait; Lebanon; Oman; Palestinian Autonomous Territories; Qatar;
Saudi Arabia; Syrian Arab Republic; United Arab Emirates; Yemen
Other in Asia
Asia excluding Commonwealth of Independent States in Asia; Newly Industrialized
Economies in Asia and Asian Arab states
A
n
n
e
x
Annex 1 - Combined [3] [Ed 2]:Layout 1 10/2/11 13:43 Page 467
Annex I: Composition of regions and sub-regions
468
OCEANIA American Samoa; Australia; Cook Islands; Fiji; French Polynesia; Guam; Kiribati; Marshall
Islands; Micronesia (Federated States of ); Nauru; New Caledonia; New Zealand; Niue;
Norfolk Island; Northern Mariana Islands; Palau; Papua New Guinea; Pitcairn; Samoa;
Solomon Islands; Tokelau; Tonga; Tuvalu; Vanuatu; Wallis and Futuna Islands
Arab States all
African Arab states and Asian Arab states
Commonwealth of Independent States all
Commonwealth of Independent States in Asia plus Commonwealth of Independent
States in Europe
Organisation for Economic Co-operation and Development (OECD)
Australia; Austria; Belgium; Canada; Czech Republic; Denmark; Finland; France; Germany;
Greece; Hungary; Iceland; Ireland; Italy; Japan; Luxembourg; Mexico; Netherlands; New
Zealand; Norway; Poland; Portugal; Republic of Korea; Slovakia; Spain; Sweden; Switzerland;
Turkey; United Kingdom of Great Britain and Northern Ireland; United States of America
European Free Trade Association
Iceland; Liechtenstein; Norway; Switzerland
African Union
Africa excluding Mayotte and Saint Helena
AsiaPacific Economic Cooperation (APEC)
Australia; Brunei Darussalam; Canada; Chile; People's Republic of China; Hong Kong
(China); Indonesia; Japan; Republic of Korea; Malaysia; Mexico; New Zealand; Papua New
Guinea; Peru; The Philippines; Russian Federation; Singapore; Chinese Taipei; Thailand;
United States of America; Viet Nam
Association of Southeast Asian Nations (ASEAN)
Brunei Darussalam; Cambodia; Indonesia; Lao PDR; Malaysia; Myanmar; Philippines;
Singapore; Thailand; Viet Nam
Caribbean Common Market (CARICOM)
Antigua and Barbuda; Bahamas; Barbados; Belize; Dominica; Dominican Republic;
Grenada; Guyana; Haiti; Jamaica; Montserrat; Saint Kitts and Nevis; Saint Lucia; Saint
Vincent and the Grenadines; Suriname; Trinidad and Tobago
Economic Community of West African States
Benin; Burkina Faso; Cape Verde; Cte dIvoire; Gambia; Ghana; Guinea; Guinea-Bissau;
Liberia; Mali; Niger; Nigeria; Senegal; Sierra Leone; Togo
Economic Cooperation Organization
Afghanistan; Azerbaijan; Iran; Kazakhstan; Kyrgyzstan; Pakistan; Tajikistan; Turkey;
Turkmenistan; Uzbekistan
Groupings
mentioned
elsewhere in
the report
|||SO S|||| |||O| 2010
469
Economic and Monetary Community of Central Africa
Cameroon, Central Afrlcan Pepubllc, Chad, Pepubllc of Congo, Lquatorlal Gulnea, Gabon
Eurasian Economic Community
8elarus, Kazakhstan, Kyrgyzstan, Pusslan Pederatlon, Ta[lklstan
Greater Mekong Subregion
Cambodla, People's Pepubllc of Chlna, Lao People's Democratlc Pepubllc, Myanmar, Thalland,
vlet Nam
Indian Ocean Rim Association for Regional Cooperation
Australla, 8angladesh, |ndla, |ndonesla, |ran, Kenya, Madagascar, Malaysla, Maurltlus, Mozamblque,
Oman, Slngapore, South Afrlca, Srl Lanka, Tanzanla, Thalland, Unlted Arab Lmlrates, emen
Mercado Commn del Sur (MERCOSUR)
Argentlna, 8razll, Paraguay, Uruguay, venezuela
Organization of American States
Antlgua and 8arbuda, Argentlna, 8ahamas, 8arbados, 8ellze, 8ollvla, 8razll, Canada, Chlle,
Colombla, Costa Plca, Cuba, Domlnlca, Domlnlcan Pepubllc, Lcuador, Ll Salvador, Grenada,
Guatemala, Guyana, Haltl, Honduras, 1amalca, Mexlco, Nlcaragua, Panama, Paraguay, Peru,
Salnt Kltts and Nevls, Salnt Lucla, Salnt vlncent and the Grenadlnes, Surlname, Trlnldad and
Tobago, Unlted States of Amerlca, Uruguay, venezuela
Organisation of the Islamic Conference
Afghanlstan, Albanla, Algerla, Azerbal[an, 8ahraln, 8angladesh, 8enln, 8runel Darussalam,
8urklna Paso, Cameroon, Chad, Comoros, Cte d'|volre, D[lboutl, Lgypt, Gabon, Gambla, Gulnea,
Gulnea 8lssau, Guyana, |ndonesla, |ran, |raq, Kazakhstan, Kuwalt, Oman, 1ordan, Kazakhstan,
Lebanon, Llbyan Arab 1amahlrlya, Maldlves, Malaysla, Mall, Maurltanla, Morocco, Mozamblque,
Nlger, Nlgerla, Palestlnlan Autonomous Terrltorles, Paklstan, Qatar, Saudl Arabla, Senegal, Slerra
Leone, Somalla, Sudan, Surlname, Syrlan Arab Pepubllc, Ta[lklstan, Togo, Turkey, Turkmenlstan,
Tunlsla, Uganda, Unlted Arab Lmlrates, Uzbeklstan, emen
Pacific Islands Forum
Australla, Cook |slands, Pederated States of Mlcronesla, Pl[l, Klrlbatl, Nauru, New Zealand, Nlue, Palau,
Papua New Gulnea, Pepubllc of Marshall |slands, Samoa, Solomon |slands, Tonga, Tuvalu, vanuatu
Secretariat of the Pacific Community
Amerlcan Samoa , Cook |slands, Pederated States of Mlcronesla, Pl[l, Prench Polynesla, Guam, Krlbatl,
Marshall |slands, Nauru, New Caledonla, Nlue, Northern Marlana |slands , Palau, Papua New Gulnea ,
Pltcalrn |slands, Samoa, Solomon |slands, Tokelau, Tonga , Tuvalu, vanuatu, wallls and Putuna
Southern African Development Community
Angola, 8otswana, Democratlc Pepubllc of the Congo, Lesotho, Madagascar, Malawl,
Maurltlus, Mozamblque, Namlbla, Seychelles, South Afrlca, Swazlland, Unlted Pepubllc of
Tanzanla, Zambla, Zlmbabwe
South Asian Association for Regional Cooperation
Afghanlstan, 8angladesh, 8hutan, |ndla, Maldlves, Nepal, Paklstan, Srl Lanka
A
n
n
e
x
7he V|llenn|um 0eveloment Cools (V0Cs ote e|ht ools
to oe och|eveJ oy 2015 thot tesonJ to the wotlJs mo|n
Jeveloment chollenes. 7he V0Cs ote Jtown ltom the
oct|ons onJ totets conto|neJ |n the Mlllennlum
Declaratlon oJoteJ oy 189 not|ons onJ s|neJ oy 147
heoJs ol 5tote onJ ovetnment Jut|n the un|teJ Not|ons'
V|llenn|um 5umm|t |n 5etemoet 2000.
7he e|ht V0Cs oteol Jown |nto 21 quont|l|oole totets
thot ote meosuteJ oy 60 |nJ|cotots. 7he sec|l|c |nJ|cotots
con oe lounJ ot: www.un.erg/millenniumgenls
Mathematlcs class at Mahe
Prlmary School ln 8el[lng
Photo: uNl5CO
470
47l
A
n
n
e
x
Annex ||: V|||orr|Jn |ovo|cpnort c.|s
Goal 1: Eradicate extreme poverty and
hunger
Target 1a: Peduce by half the proportlon
of people llvlng on less than a dollar a day
Target 1b: Achleve full and productlve
employment and decent work for all,
lncludlng women and young people
Target 1c: Peduce by half the proportlon
of people who suffer from hunger
Goal 2: Achieve universal primary
education
Target 2a: Lnsure that all boys and glrls
complete a full course of prlmary schoollng
Goal 3: Promote gender equality and
empower women
Target 3a: Lllmlnate gender dlsparlty ln
prlmary and secondary educatlon,
preferably by 2005 and at all levels by 20l5
Goal 4: Reduce child mortality
Target 4a: Peduce by two-thlrds the
mortallty rate among chlldren under flve
Goal 5: Improve maternal health
Target 5a: Peduce by three-quarters the
maternal mortallty ratlo
Target 5b: Achleve, by 20l5, unlversal
access to reproductlve health
Goal 6: Combat HIV/AIDS, malaria and
other diseases
Target 6a: Halt and begln to reverse the
spread of H|v/A|DS
Target 6b: Achleve, by 20l0, unlversal
access to treatment for H|v/A|DS for all
those who need lt
Target 6c: Halt and begln to reverse the
lncldence of malarla and other ma[or
dlseases
Goal 7: Ensure environmental
sustainability
Target 7a: |ntegrate the prlnclples of
sustalnable development lnto country
pollcles and programmes, reverse loss of
envlronmental resources
Target 7b: Peduce blodlverslty loss,
achlevlng, by 20l0, a slgnlflcant reductlon ln
the rate of loss
Target 7c: Peduce by half the proportlon of
people wlthout sustalnable access to safe
drlnklng water and baslc sanltatlon
Target 7d: Achleve slgnlflcant lmprovement
ln llves of at least l00 mllllon slum dwellers,
by 2020
Goal 8: Develop a global partnership for
development
Target 8a: Develop further an open, rule-
based, predlctable, non-dlscrlmlnatory
tradlng and flnanclal system
Target 8b: Address the speclal needs of the
least developed countrles
Target 8c: Address the speclal needs of
landlocked developlng countrles and small
lsland developlng States
Target 8d: Deal comprehenslvely wlth the
debt problems of developlng countrles
through natlonal and lnternatlonal
measures ln order to make debt sustalnable
ln the long term
Target 8e: |n cooperatlon wlth
pharmaceutlcal companles, provlde access
to affordable essentlal drugs ln developlng
countrles
Target 8f: |n co-operatlon wlth the prlvate
sector, make avallable the beneflts of new
technologles, especlally lnformatlon and
communlcatlons
Not|onol 57l ol|c|es cleotly loce o toJ|colly new loool
lonJscoe toJoy, one |n wh|ch the tett|tot|ol ol|cy locus |s
com|n unJet sevete tessute. the stee Jto |n the
mot|nol cost ol tetoJuct|on onJ J|llus|on ol |nlotmot|on
hos leJ to o wotlJ |n wh|ch eotoh|col ootJets ote less
onJ less televont lot teseotch onJ |nnovot|on. lnowleJe
occumulot|on onJ lnowleJe J|llus|on ote oole to tole
loce ot o lostet oce, |nvolv|n o tow|n numoet ol
new enttonts onJ tov|J|n o thteot to estool|sheJ
|nst|tut|ons onJ os|t|ons.
Hugo Hollanders and Luc Soete (see page26)
Crop sclentlst ln the Unlted
States of Amerlca
Photo: un|teJ 5totes
0eottment ol At|cultute
472
473
A
n
n
e
x
Statlstlcal annex |A|
.b|o 1 ||| .s . po.cort.o c| ||, 20002008 44
.b|o 2 ||| |r pJ.c|.s|r pc.o. p..|ty Jc||..s, 2002 .rJ 200 48
.b|o 3 ||| by po.|c.n|r soctc. .rJ scJ.co c| |JrJs, 2002 .rJ 200 () 482
.b|o 4 ct.| .oso..c|o.s .rJ po. n||||cr |r|.b|t.rts, 2002 .rJ 200 490
.b|o 5 Sc|ort||c pJb||c.t|crs by ccJrt.y, 20002008 498
.b|o 6 |Jb||c.t|crs by n.c. |o|J c| sc|orco, 2002 .rJ 2008 502
.b|o Sc|ort||c pJb||c.t|crs |r |rto.r.t|cr.| cc||.bc..t|cr, 20002008 510
.b|o 8 |rto.r.t|cr.| t..Jo |r |||toc| p.cJJcts, 2002 .rJ 200 514
474
Table l: ||| .s . po.cort.o c| ||, 20002008
Country/Territory 2000 2001 2002 2003 2004 2005 2006 2007 2008
North America
Canada l.9l 2.09 2.04 2.04 2.07 2.05 l.97 l.90 l.84
Unlted States of Amerlca 2.75
c
2.76
c
2.66
c
2.66
c
2.58
c
2.6l
c
2.65
c
2.72
c
2.82
c
Latin America
Argentlna 0.44 0.42 0.39 0.4l 0.44 0.46 0.49 0.5l -
8ellze
8ollvla 0.29 0.29 0.28 - - - - - -
8razll l.02 l.04 0.98 0.96 0.90 0.97 l.00 l.l0 -
Chlle 0.53 0.53 0.68 0.67 0.68 - - - -
Colombla 0.l2
b
0.l2 0.l3 0.l5 0.l6 0.l6 0.l6 0.l6 -
Costa Plca 0.39 - - 0.36 0.37 - 0.39 0.32 -
Lcuador 0.08
-2
0.06 0.06 0.06 - - 0.l4
b
0.l5 -
Ll Salvador 0.08
-2
- - - - - - 0.09 -
Guatemala - - - - - 0.03
g
0.05
g
0.06
g
-
Guyana - - - - - - - - -
Honduras 0.04 0.04 0.04 0.04 0.04 - - - -
Mexlco 0.37 0.39 0.44 0.40 0.40
b
0.4l 0.39 0.37 -
Nlcaragua 0.08
-3
- 0.05 - - - - - -
Panama 0.38
b
0.38 0.36 0.34 0.24 0.25 0.25 0.20 0.2l
Paraguay - 0.09 0.ll 0.09 0.08 0.09 - - -
Peru 0.ll 0.ll 0.l0 0.l0 0.l5 - - - -
Surlname - - - - - - - - -
Uruguay 0.2l - 0.24 - - - 0.35 0.42 0.64
venezuela - - - - - - - - -
Caribbean
Antlgua and 8arbuda - - - - - - - - -
8ahamas - - - - - - - - -
8arbados - - - - - - - - -
Cuba 0.45 0.53 0.53 0.54 0.56 0.5l
e
0.4l
e
0.44 0.49
Domlnlca - - - - - - - - -
Domlnlcan Pepubllc - - - - - - - - -
Grenada - - - - - - - - -
Haltl - - - - - - - - -
1amalca - 0.05 0.06 - - - - - -
Salnt Kltts and Nevls - - - - - - - - -
Salnt Lucla 0.36
-l, h
- - - - - - - -
Salnt vlncent and the Grenadlnes - 0.05 0.l5 - - - - - -
Trlnldad and Tobago 0.ll 0.l0 0.l4 0.l2 0.l2 0.l2 0.l0 0.06 -
European Union
Austrla l.94
e
2.07
e
2.l4 2.26
e
2.26 2.44
e
2.46 2.54 2.66
e
8elglum l.97 2.08 l.94 l.88 l.87 l.84 l.86 l.90 l.92
8ulgarla 0.52 0.47 0.49 0.50 0.50 0.49 0.48 0.48 0.49
Cyprus 0.24 0.25 0.30 0.35 0.37 0.40 0.43 0.45 0.47
Czech Pepubllc l.2l l.20 l.20 l.25 l.25 l.4l l.55 l.54 l.47
Denmark 2.l8
-l
2.39 2.5l 2.58 2.48 2.46 2.48 2.56
b
2.72
e
Lstonla 0.60 0.70 0.72 0.77 0.85 0.93 l.l4 l.ll l.29
Plnland 3.35 3.30 3.36 3.43 3.45 3.48 3.45 3.47 3.46
e
Prance 2.l5
b
2.20 2.23 2.l7 2.l5
b
2.l0 2.l0 2.04 2.02
Germany 2.45 2.46 2.49 2.52 2.49 2.48 2.53 2.54 -
Greece 0.60
-l
0.58 - 0.57 0.55
e
0.58 0.57
e
0.57
e
-
Hungary 0.78
d
0.92
d
l.00
d
0.93
d
0.88
b
0.94 l.00 0.96 -
|reland l.l2
e
l.l0 l.l0 l.l7 l.24 l.25 l.25 l.28 l.42
|taly l.05 l.09 l.l3 l.ll l.l0 l.09 l.l3 l.l8 l.l8
Latvla 0.44
b
0.40 0.42 0.38 0.42 0.56 0.70 0.59 0.6l
Llthuanla 0.59 0.67 0.66 0.67 0.75 0.75 0.79 0.82 0.80
Luxembourg l.65 - - l.65 l.63 l.56 l.66 l.62
e
l.74
|||SO S|||| |||O| 2010
475
European Union cont|nueJ
Malta - - 0.26
e
0.26
e
0.53
b, e
0.57
e
0.62
e
0.59
e
-
Netherlands l.82 l.80 l.72 l.76 l.8l
b
l.79 l.78 l.72 l.63
Poland 0.64 0.62 0.56 0.54 0.56 0.57 0.56 0.57 0.6l
Portugal 0.76
e
0.80 0.76
e
0.74 0.77
e
0.8l l.02
e
l.2l l.5l
b
Pomanla 0.37 0.39 0.38 0.39 0.39 0.4l 0.45 0.53 0.59
Slovakla 0.65 0.63 0.57 0.57 0.5l 0.5l 0.49 0.46 0.47
Slovenla l.39 l.50 l.47 l.27 l.40 l.44 l.56 l.45 l.66
Spaln 0.9l 0.9l 0.99 l.05 l.06 l.l2 l.20 l.27 l.34
Sweden 3.6l
-l, g
4.l7
g
- 3.85
g
3.62
g
3.60
b
3.74
h
3.6l 3.75
e
Unlted Klngdom l.8l l.79 l.79 l.75 l.69 l.73 l.76 l.82 l.88
Southeast Europe
Albanla - - - - - - - - -
8osnla and Herzegovlna - - - 0.02
g
0.02
g
0.03
g
0.02
g
0.03
g
-
Croatla l.07 0.93 0.96 0.97 l.05 0.87 0.76 0.8l 0.90
Montenegro - - - 0.80 l.02 0.92 l.24 l.l0 -
Pepubllc of Moldova 0.8l
-3
- - 0.32
b
0.35 0.40 0.4l 0.55 -
Serbla 0.93 0.34 0.69 0.54 0.3l 0.42 0.47 0.35 -
PP Macedonla 0.44 0.32 0.26 0.23 0.25 0.25 0.2l - -
Other Europe
Andorra - - - - - - - - -
8elarus 0.72 0.7l 0.62 0.6l 0.63 0.68 0.66 0.96 -
|celand 2.67
e
2.95 2.95
e
2.82 - 2.77 2.99 2.70 2.67
Llechtensteln - - - - - - - - -
Monaco - - - - - - - - -
Norway l.64
-l
l.59 l.66 l.7l l.59 l.52 l.52 l.64 l.62
Pusslan Pederatlon l.05 l.l8 l.25 l.28 l.l5 l.07 l.07 l.l2 l.03
San Marlno - - - - - - - - -
Swltzerland 2.53 - - - 2.90 - - - -
Turkey 0.48 0.54 0.53 0.48 0.52 0.59 0.58 0.72 -
Ukralne 0.96 l.02 l.00 l.ll l.08 l.03 0.95 0.85 -
Sub-Saharan Africa
Angola - - - - - - - - -
8enln - - - - - - - - -
8otswana - - - - - 0.50 - - -
8urklna Paso 0.l8
-3, g
0.l9
g
0.33
g
0.27
g
0.23
g
0.l7
g
- 0.ll
b, g
-
8urundl - - - - - - - - -
Cameroon - - - - - - - - -
Cape verde - - - - - - - - -
Central Afrlcan Pepubllc - - - - - - - - -
Chad - - - - - - - - -
Comoros - - - - - - - - -
Congo - - - - - - - - -
Cte d'|volre - - - - - - - - -
Democratlc Pep. of the Congo - - - - 0.42
h
0.48
h
- - -
Lquatorlal Gulnea - - - - - - - - -
Lrltrea - - - - - - - - -
Lthlopla - - - - - 0.l8
g
- 0.l7
g
-
Gabon - - - - - - - - -
Gambla - - - - - - - - -
Ghana - - - - - - - - -
Gulnea - - - - - - - - -
Gulnea-8lssau - - - - - - - - -
Kenya - - - - - - - - -
Lesotho - - 0.05
g
0.05
g
0.06
g
- - - -
Llberla - - - - - - - - -
A
n
n
e
x
Table 1: GERD as a percentage of GDP, 20002008
476
Sub-Saharan Africa continued
Madagascar 0.12
g
0.22
b, g
0.25
g
0.34
b, g
0.22
g
0.18
g
0.16
g
0.14
g
Malawi
Mali
Mauritius 0.29
h
0.37
h
0.37
h
0.34
h
0.38
h
0.37
h

Mozambique 0.50
h
0.53
Namibia
Niger
Nigeria
Rwanda
Senegal 0.09
e, g

Seychelles 0.43 0.41 0.41 0.42 0.31
Sierra Leone
Somalia
South Africa 0.60
-3
0.73 0.80 0.86 0.92 0.95 0.93
Swaziland
Togo
Uganda 0.37 0.26 0.26 0.22 0.30 0.39
United Republic of Tanzania
Zambia 0.01
-3, g
0.01
b, g
0.01
g
0.03
g
0.03
g

Zimbabwe
Arab States
Algeria 0.23
g
0.36
g
0.20
g
0.16
g
0.07
g

Bahrain
Djibouti
Egypt 0.19
g
0.27
b, g
0.25
g
0.26
g
0.23
g
Iraq
Jordan 0.34
Kuwait 0.13
g
0.18
g
0.18
g
0.14
g
0.13
g
0.10
g
0.08
g
0.09
g
Lebanon
Mauritania
Morocco 0.29
-2
0.63 0.55 0.66 0.64
Oman
Palestinian Autonomous Territories
Qatar
Saudi Arabia 0.06
g
0.05
g
0.04
g
0.04
g
0.05
g
Sudan 0.47
e
0.44
e
0.39
e
0.34
e
0.29
e
0.29
e

Syrian Arab Republic
Tunisia 0.46 0.53 0.63 0.73 1.00 1.02
e

Yemen
Central and West Asia
Armenia 0.18 0.28 0.25 0.24 0.21 0.21 0.24 0.21
Azerbaijan 0.34 0.34 0.30 0.32 0.30 0.22 0.17 0.17
Georgia 0.22 0.24 0.19
b
0.22
b
0.24 0.18
Israel 4.32
d
4.60
d
4.59
d
4.32
d
4.26
d
4.37
d
4.41
d
4.76
d
4.86
d
Kazakhstan 0.18 0.22 0.26 0.25 0.25 0.28 0.24 0.21 0.22
Kyrgyzstan 0.16 0.17 0.20 0.22 0.20 0.20 0.23 0.23
Mongolia 0.20
g
0.29
b, g
0.28
g
0.28
g
0.29
g
0.26
g
0.21
g
0.23
g
Tajikistan 0.09 0.07 0.07 0.07 0.10 0.10 0.06

Turkmenistan
Uzbekistan
477
South Asia
Afghanistan
Bangladesh
Bhutan
India 0.77 0.75 0.74 0.73 0.77 0.80 0.80
e
0.80
e
Iran (Islamic Republic of ) 0.55 0.55 0.67 0.59 0.73 0.67

Maldives
Nepal
Pakistan 0.13
g
0.17
g
0.22
e, g
0.44 0.67
Sri Lanka 0.14
b, e, g
0.18
b
0.17
Southeast Asia
Brunei Darussalam 0.02
g
0.02
g
0.04
b, g

Cambodia 0.05
e, g

China 0.90
b
0.95 1.07 1.13 1.23 1.34 1.42 1.44
Democratic People's Rep. of Korea
Hong Kong SAR of China 0.47 0.55 0.59 0.69 0.74 0.79 0.81
Indonesia 0.07
g
0.05
g
0.05
b, g

Japan 3.04 3.12 3.17 3.20 3.17 3.32 3.40 3.44
Lao PDR 0.04
g

Macao, China 0.07
e, g
0.08
e, g
0.06
e, g
0.06
e, g
0.11
e, g

Malaysia 0.47 0.65 0.60 0.64
Myanmar 0.11
g
0.07
g
0.16
g

Philippines 0.15 0.14 0.12
Republic of Korea 2.30 2.47 2.40 2.49 2.68 2.79 3.01 3.21
b
Singapore 1.88 2.11 2.15 2.11 2.19 2.28 2.27 2.52

Thailand 0.25
e
0.26 0.24
e
0.26 0.26
e
0.23 0.25
e

TimorLeste
Viet Nam 0.19
Oceania
Australia 1.51 1.69 1.78 2.06
Cook Islands
Fiji
Kiribati
Marshall Islands
Micronesia (Federated States of )
Nauru
New Zealand 1.00
-1
1.14
b
1.19 1.16 1.21
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
b = break in series with previous year for which data are available; c = excluding most or all capital expenditures; d = excluding defence (all or mostly); e = estimation;
g = underestimated or partial data; h = overestimated or based on overestimated data
Source: UNESCO Institute for Statistics, July 2010
A
n
n
e
x
478
Table 2: GERD in purchasing power parity dollars, 2002 and 2007
Country/Territory GERD in PPP$ thousands GERD per capita (PPP$) GERD per researcher GERD per researcher
full-time equivalent headcount
PPP$ thousands PPP$ thousands
2002 2007 2002 2007 2002 2007 2002 2007
North America
Canada 19 145 334 23 961 471
+1
611.4 720.4
+1
165.0 170.7
-1, e
United States of America 277 066 000
c
398 086 000
+1, c
942.4
c
1 277.3
+1, c
206.4
c, e
243.9
-1, c, e

Latin America
Argentina 1 159 295 2 658 754 30.8 67.3 44.4 68.7 28.0 45.0
Belize
Bolivia 75 132 8.7 72.2 61.2
-1, b
Brazil 13 022 456 20 237 663 72.7 106.4 181.4 162.1 106.1 101.5
Chile 1 070 584 1 228 578
-3
67.8 76.2
-3
154.2 91.5
-3, b
125.8 66.9
-3, b
Colombia 319 762 600 639 7.8 13.5 61.9 107.8 31.1 50.0
Costa Rica 118 551
+1
154 875 28.4
+1
34.7 216.3
+1
289.7
-3
101.2
+1
44.0
b
Ecuador 43 400 145 947
b
3.4 10.9
b
78.9 158.0
b
62.4 90.4
b
El Salvador 19 986
-4
35 108 3.4
-4
5.7 103.6
-4
42.8
-4
128.1
Guatemala 18 077
+3, g
35 311
g
1.4
+3, g
2.6
g
46.6
+3, g
90.8
g
29.4
+3, g
55.7
g
Guyana
Honduras 7 375 8 553
-3
1.1 1.3
-3
14.3 14.7
-4
Mexico 4 171 249 5 598 448
b
40.9 52.1
b
130.9
+1
147.6 98.6
+1
Nicaragua 4 680 0.9 19.6

-5
18.3
Panama 82 541 87 817
+1
26.9 25.8
+1
277.9 157.6
b
198.4
b
132.2
Paraguay 20 370 20 133
-2
3.7 3.4
-2
44.8 48.0
-2
25.7 25.6
-2
Peru 142 461 238 147
-3
5.3 8.7
-3
48.0
-3
Suriname
Uruguay 57 684 272 194
+1
17.3 81.3
+1
46.4 235.1
+1
15.0 126.4
+1
Venezuela
Caribbean
Antigua and Barbuda
Bahamas
Barbados
Cuba
Dominica
Dominican Republic
Grenada
Haiti
Jamaica 9 769 3.7
Saint Kitts and Nevis
Saint Lucia 4 074
-3, h
26.2
-3, h
55.1
-3, h
Saint Vincent and the Grenadines 947 8.8 45.1

Trinidad and Tobago 23 962 18 736 18.4 14.1 46.4
+1
29.6
European Union
Austria 5 229 773 8 416 155
+1, e
647.0 1 009.5
+1, e
216.8 244.8
+1, e
132.2 144.7
Belgium 6 010 857 7 259 100
+1
585.4 685.4
+1
196.0 199.5
+1
136.2 136.3
Bulgaria 296 118 438 976
+1
37.5 57.8
+1
32.1 38.6
+1
28.4 29.7
Cyprus 47 809 99 974
+1
66.9
e
115.9
+1
109.9 113.0
+1
47.1 58.9
Czech Republic 2 063 863 3 767 938
+1
202.5 365.1
+1
137.8 126.5
+1, b
67.4 85.2
+1
Denmark 4 147 211 5 498 242
+1, b, e
772.1 1 007.3
+1, b, e
162.3
b
177.7
+1, e, b
109.5
b
117.8
b
Estonia 116 674 358 349
+1
86.0 267.1
+1
38.1 90.1
+1
22.9 51.6
+1, e
Finland 4 814 673 6 659 038
+1, e
926.1 1 255.4
+1, e
131.4
+2
162.9
+1, e
105.2
+2
121.6
France 38 152 962 42 892 759
+1
637.7 691.4
+1
204.7 196.1 164.6
b
154.7
Germany 56 657 086 72 241 917 689.0 877.3 213.1
e
248.4 149.6
+1
165.0
Greece 1 418 898
+1
1 801 628
e
128.7
+1
162.1
e
90.8
+1
86.5
e
50.6
+1
48.4
-2
Hungary 1 492 605
d
1 824 527 146.9
d
181.9 99.7
d
104.9 50.1
d
55.2
Ireland 1 430 225 2 636 267
+1
362.9 594.2
+1
152.5 192.3
+1
92.2 128.0
Italy 17 268 878 22 127 747
+1
299.9 371.2
+1
242.4 229.8
+1
158.6 143.7
-1
Latvia 100 643 227 050
+1
43.1 100.5
+1
29.2 52.0
+1
16.5 26.9
Lithuania 252 566 475 929
+1
72.8 143.3
+1
39.9 56.3
+1
26.5 33.9
479
full-time equivalent headcount
2002 2007 2002 2007 2002 2007 2002 2007
European Union continued
Luxembourg 451 827
+1
671 116
+1
996.9
+1
1 396.4
+1
231.8
+1
294.1
+1
223.3
+1
253.0
e
Malta 20 739
e
48 606
+1, b, e
52.6
e
119.3
+1, b, e
76.2
e
92.8
+1, b, e
30.1
e
51.1
b, e
Netherlands 8 890 819 10 973 542
+1
552.8 664.0
+1
233.0
b
214.9
+1, b
190.3 198.2
-4
Poland 2 472 248 3 990 922
+1
64.5 104.7
+1
43.6 64.5
+1
27.2 36.2
Portugal 1 453 206
e
3 734 873
+1, b
140.4
e
349.8
+1, b
76.6
e
92.1
+1, b
43.4
e
56.5
Romania 603 468 1 711 354
+1
27.5 80.1
+1
29.7 88.2
+1
24.5 42.6
Slovakia 398 306 563 470
+1
74.0 104.4
+1
43.4 44.8
+1
25.9 28.4
+1
Slovenia 577 595 935 992
+1
290.1 464.5
+1
124.4 133.1
+1
82.2 88.8
Spain 9 808 500 19 369 879
+1
237.7 435.4
+1
117.7 147.9
+1
65.3 86.8
Sweden 10 360 405
+1, g
12 781 239
+1, e
1 155.1
+1, g
1 388.6
+1, e
215.0
+1, g
265.1
+1, b, e
127.4
+3, a
166.0
b
United Kingdom 30 635 691 41 043 072
+1
515.8 670.3
+1
154.6
e
157.0
+1, e
93.4
+3, e
102.3
e
SouthEast Europe
Albania
Bosnia and Herzegovina 3 467
+1, g
7 086
g
0.9
+1, g
1.9
g
15.0
+1, g
9.5
b, g
5.2
+1, g
2.4
b, g
Croatia 558 183 703 629
+1
125.0 159.1
+1
65.1 105.1
+1
50.1 54.5
Montenegro 33 463
+1
80 474 52.3
+1
129.6 55.6
+1
119.9
Republic of Moldova 22 434
+1, b
52 997 6.2
+1, b, e
14.8
e
8.2
+1, b, h
20.4
h
8.2
+1, b, h
20.4
h
Serbia 333 439 245 276 44.5
e
33.3
e
27.9 30.7
g
23.2
b
FYR Macedonia 32 944 32 885
-1
16.3 16.1
-1
28.3 31.0
-1
12.5 14.8
-1
Other Europe
Andorra
Belarus 365 964 1 017 440 36.8 104.6 19.7 53.6
Iceland 263 812
e
313 181
+1
923.5
e
992.8
+1
130.9
+1
135.7
+1
71.3
+1
75.3
+1
Liechtenstein
Monaco
Norway 2 792 174 4 522 390
+1
615.3 948.8
+1
142.7
+1
173.5
+1, e
83.9
+1
99.6
Russian Federation 15 941 227 23 382 745
+1
109.7 165.4
+1
32.4 51.8
+1
38.4
h
62.2
+1, h
San Marino
Switzerland 5 765 769
-2
7 470 175
-3
802.6
-2
1 010.4
-3
220.9
-2
294.1
-3
130.4
-2
172.8
-3
Turkey 3 008 863 6 781 532 44.0 92.9 125.4 136.5 42.2 66.5
Ukraine 1 921 261 2 753 653 40.0 59.5 40.2
+4, h
40.8
h
22.5 34.9
SubSaharan Africa
Angola
Benin
Botswana 111 714
-2
60.7
-2
64.5
-2, h
Burkina Faso 36 171
g
18 335
b, g
2.9
g
1.2
b, g
153.3
g
98.0
b, g
Burundi
Cameroon
Cape Verde
Chad
Comoros
Congo
Cte d'Ivoire
Democratic Rep. of the Congo 60 515
+2, h
75 217
-2, h
1.1
+2, h
1.3
-2, h
6.7
+2, h
7.2
-2, h
Equatorial Guinea
Eritrea
Ethiopia 85 282
+3, g
106 300
g
1.1
+3, g
1.4
g
53.0
+3, g
65.8
g
39.0
+3, g
44.7
g
Gabon
Gambia
Ghana
Guinea
GuineaBissau
Kenya
A
n
n
e
x
Table 2: GERD in purchasing power parity dollars, 2002 and 2007
480
full-time equivalent headcounts
2002 2007 2002 2007 2002 2007 2002 2007
Lesotho 1 024
g
1 563
-3, g
0.5
g
0.8
-3, g
85.3
g
78.1
-3, g
20.9
g
23.0
-3, g
Liberia
Madagascar 29 088
g
25 790
g
1.8
g
1.4
g
36.9
g
27.5
b, g
21.9
g
13.9
b, g
Malawi
Mali
Mauritius 39 204
h
47 014
-2, h
32.2
h
37.5
-2, h
93.3
-5, h
Mozambique 52 128
h
83 158
-1
2.7
h
3.9
-1
246.8
-1, b, h
111.4
h
246.8
-1, b, h
Namibia
Niger
Nigeria
Rwanda
Senegal 16 252
-2, e, g
1.4
-2, e, g

Seychelles 5 493 4 519
-2
68.0
e
54.5
-2, e
347.6
-2, h
322.8
-2, h
Sierra Leone
Somalia
South Africa 2 727 421
+1
4 358 460 58.2
+1
88.6 193.0
+1
225.6 88.8
+1
108.7
Swaziland
Togo
Uganda 72 461 128 134 2.8 4.2 115.0 143.8
Zambia 638
b, g
3 840
-2, g
0.1
b, g
0.3
-2, g
1.45
, g
2.4
g
4.8
-2, g
Zimbabwe
Arab States
Algeria 670 180
g
157 008
-2, g
21.3
g
4.8
-2, g
28.1
-2, g
11.4
-2, g
Bahrain
Djibouti
Egypt 833 714
+2, b, g
911 473
g
11.0
+2, b, g
11.4
g
18.5
g
9.5
g
Iraq
Jordan 59 740 11.7
Kuwait 128 156
g
110 335
g
52.5
g
38.7
g
370.4
g
233.8
g
370.4
g
233.8
g
Lebanon
Mauritania
Morocco 477 528 764 824
-1
16.2 24.8
-1
38.3
-1, h
18.5
h
27.2
-1, h
Oman
Qatar
Saudi Arabia 260 541
+1, g
271 332
g
11.6
+1, g
11.0
g
265.0
g
Sudan 186 236
e
179 085
-2, e
5.1
e
4.6
-2, e
20.5
e
16.0
-2, e
Tunisia 321 589 660 607
-2, e
33.4 66.9
-2, e
32.5
g
45.1
-2, e, g
18.1
g
26.0
-2, e, g
Yemen
Armenia 20 376 36 164 6.7 11.8 4.1
h
8.8
h
Azerbaijan 67 705 114 387 8.6
e
13.8
e
6.6 10.1
Georgia 20 922
b
27 805
-2, b
4.5
b
6.2
-2, b
1.7
b
3.4
-2, b
Israel 7 102 887
d
9 921 036
+1, d
1 121.4
d
1 407.0
+1, d

Kazakhstan 235 752 384 342
+1
15.8 24.8
+1
25.2 35.7
+1
Kyrgyzstan 14 190 24 337 2.8 4.6 6.9 12.0
Mongolia 13 361
g
19 123
g
5.5
g
7.3
g
6.8
g
11.0
g
Tajikistan 4 847 7 612 0.8 1.1 2.8 5.9
Turkmenistan
Uzbekistan
481
Full-time equivalent headcount
2002 2007 2002 2007 2002 2007 2002 2007
South Asia
Afghanistan
Bangladesh
Bhutan
India 12 943 392 24 792 602
e
12.0 21.3
e
102.6
-2
126.7
-2, e

Iran (Islamic Republic of ) 2 757 714 4 699 412
-1
40.3 65.6
-1
93.0
-1
67.4
+2
69.3
-1
Maldives
Nepal
Pakistan 1 486 576
+3
2 726 960 9.0
+3
15.7 117.2
+3
103.5
b
48.0
+3
50.8
Sri Lanka 115 761
+2, b
135 013
-1
6.0
+2, b
6.9
-1
43.2
+2, b
73.7
-1
25.2
+2, b
29.9
-1
Southeast Asia
Brunei Darussalam 2 483
g
6 272
-3, b, g
7.1
g
17.3
-3, b, g
25.1
g
61.6
-3, b, g
8.4
g
25.7
-3, b, g
Cambodia 6 819
e, g
0.5
e, g
30.6
e, g
9.2
e, g
China 39 200 833 102 428 349 30.5 77.1 48.4 72.0
Dem. People's Rep. of Korea
Hong Kong SAR of China 1 105 994 2 174 326
-1
163.2 314.4
-1
104.0 118.6
-1
87.7 105.4
-1
Indonesia 249 957
-1, g
347 237
-2, b, g
1.2
-1, g
1.6
-2, b, g
5.9
-1, g
2.7
-1, g
9.8
-2, b, g
Japan 108 166 135 147 938 883 851.0 1 161.3 167.3
b
208.4 136.7 167.5
Lao PDR 2 638
g
0.5
g
30.3
g
12.6
g
Macao, China 7 798

e, g
18 569
-2, e, g
17.1
e, g
38.1
-2, e, g
74.3
e, g
62.2
-2, e, g
39.6
e, g
33.1
-2, e, g
Malaysia 1 523 027 2 090 896
-1
62.8 80.1
-1
212.8 215.7
-1
85.6 109.9
-1
Myanmar
Philippines 286 596 290 819
-2
3.5 3.4
-2
49.3
+1
42.2
-2
39.8 27.2
-2
Republic of Korea 22 506 800 41 339 086
b
479.4 861.9
b
158.6 186.3
b
118.5 143.0
b
Singapore 3 043 455 5 819 930 738.6 1 297.8 168.0 213.2 141.4 183.8
Thailand 840 232
e
1 2003 204
-1, e
13.2
e
18.1
-1, e
54.5
+1
51.0
-2
33.1
+1
30.7
-2
TimorLeste
Viet Nam 252 159 3.1 27.0 6.1
Oceania
Australia 9 885 298 15 284 418
-1
503.0 741.0
-1
135.1 175.4
-1

Cook Islands
Fiji
Kiribati
Marshall Islands
Nauru
New Zealand 1 106 484
+1
1 389 264 275.7
+1
331.3 69.9
+1
75.9 43.4
+1
46.8
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
-n/+n = data refer to n years before or after reference year; b = break in series with previous year for which data are available; c = excluding most or all capital expenditures;
d = excluding defence (all or mostly); e = estimation; g = underestimated or partial data; h = overestimated or based on overestimated data
Source: for GERD and researchers: UNESCO Institute for Statistics, July 2010. for GDP and PPP conversion factor (local currency per international $): World Bank; World Development
Indicators, as of May 2010. Population: United Nations Department of Economic and Social Aairs, (2009); World Population Prospects: the 2008 Revision
A
n
n
e
x
482
Table 3: GERD by performing sector and source of funds,
2002 and 2007 (%)
Country/Territory GERD by performing sector (%)
2002 2007
Business Government Higher Private Not Business Government Higher Private Not
enterprise education non-prot specied enterprise education non-prot specied
North America
Canada 57.6 10.5 31.7 0.3 54.2
+1
10.2
+1
35.0
+1
0.6
+1
United States of America 70.0
c
12.1 13.4
c
4.5
c
72.6
+1, c
10.6
+1
12.9
+1, c
3.9
+1, c
Latin America
Argentina 26.1 37.2 33.9 2.8 30.3 38.9 28.8 1.9
Belize
Bolivia 25.0 21.0 41.0 13.0
Brazil 40.4 20.6 38.9 0.1 40.2
-3
21.3
-3
38.4
-3
0.1
-3
Chile 35.8
b
11.0
b
38.8
b
14.3
b
46.2
-3
10.2
-3
32.0
-3
11.6
-3
Colombia 25.8 3.0 53.1 18.0 22.7 5.7 52.4 19.3
Costa Rica 32.0
+1, f
11.0
+1, f
38.0
+1, f
19.0
+1, f
33.0
b, f
16.0
b, f
45.3
b, f
5.8
b, f
Ecuador 11.4 33.5 11.4 43.7 21.5
b
58.1
b
3.9
b
3.3
b
13.2
b
El Salvador 99.6 0.4
Guatemala 2.9
+3, g
33.7
+3, g
63.3
+3, g
0.1
+3, g
1.0
g
18.9
g
74.2
g
5.9
g
Guyana
Honduras
Mexico 34.1 25.1 39.5 1.3 47.4
b
25.2 26.1
b
1.3
Nicaragua
Panama 49.3
f
7.2
f
43.6
f -2
37.1
-2
8.6
-2
54.2
-2
Paraguay 35.9 40.7
b
23.4
b
27.0
-2, b
61.7
-2, b
11.2
-2, b
Peru 10.7
f
31.7
f
47.7
f
11.4
f f
29.2
-3
25.6
-3
38.1
-3
7.1
-3
Suriname
Uruguay 49.0
b
19.4
b
31.6
b
18.1
+1, b
64.3
+1, b
17.5
+1, b
Venezuela
Caribbean
Antigua and Barbuda
Bahamas
Barbados
Cuba
Dominica
Dominican Republic
Grenada
Haiti
Jamaica
Saint Lucia 6.3
-3
58.1
-3
35.6
-3

Saint Vincent and the Grenadines 86.7 13.3
Trinidad and Tobago 10.5 71.3 18.2 25.1
-1, b
51.1
-1, b
23.8
-1, b
European Union
Austria 66.8 5.7 27.0 0.4 70.6 5.3 23.8 0.3
Belgium 70.4 7.2 21.2 1.3 68.9
+1
8.6
+1
21.2
+1
1.3
+1
Bulgaria 18.5 71.4 10.0 31.0
+1
58.3
+1
9.6
+1
1.0
+1
Cyprus 20.3 40.8 29.5 9.5 22.7
+1
22.3
+1
46.4
+1
8.6
+1
Czech Republic 61.1 23.0 15.6 0.3 61.9
+1
20.9
+1
16.8
+1
0.4
+1
Denmark 69.0 7.4
b
23.0
b
0.6 70.1
+1, e
3.2
+1, e
26.2
+1, e
0.5
+1, e
Estonia 30.7 17.0 47.9 4.5 43.2
+1
11.8
+1
42.9
+1
2.1
+1
Finland 69.9 10.4 19.2 0.6 72.3
+1, e
8.7
+1, b, e
19.0
+1, e +1, n
France 63.3 16.5 18.9 1.4 63.0
+1
16.1
+1
19.7
+1
1.2
+1
Germany 69.2 13.7
j
17.0
n
70.0 13.9
j
16.1
n
Greece 32.1
+1
20.3
+1
46.7
+1
0.9
+1
26.9
e
21.4
e
50.4
e
1.3
e
Hungary 35.5
f
32.9
d, f
25.2
f
6.5
e
50.3
f
24.2
f
23.3
f
2.2
e
Ireland 68.8 8.7 22.4 64.9
+1
7.7
+1
27.4
+1
Italy 48.3 17.6 32.8 1.3 50.9
+1
13.2
+1
32.6
+1
3.3
+1
Latvia 40.9 19.0 40.1 25.0
+1
27.5
+1
47.4
+1
Lithuania 16.9 33.4 49.8 23.8
+1
23.1
+1
53.1
+1
483
A
n
n
e
x
GERD by source of funds (%)
2002 2007
Business Government Higher Private Abroad Not Business Government Higher Private Abroad Not
51.5 31.6
e
6.1
e
2.7 8.2 47.6
+1
33.0
+1, e
6.7
+1, e
3.3
+1
9.3
+1
65.2
c
29.1
c
2.7
c
3.0
c m
67.3
+1, c
27.0
+1, c
2.7
+1, c
3.0
+1, c -+1, m
24.3 70.2 2.3 1.9 1.2 29.3 67.6 1.4 1.1 0.6

16.0 20.0 31.0 19.0 14.0
45.0 53.3 1.7 44.7 52.9 2.4
33.2 54.6 0.4 0.3 11.3 45.8
-3
44.4
-3
0.8
-3
0.3
-3
8.7
-3
29.1 22.5 39.3 1.9 7.2 27.2 37.7 25.6 5.4 4.1

17.4
+4, b
69.3
+4, b
4.0
+4, b
1.2
+4, b
4.2
+4, b
4.0
+4, b
21.5 58.1 3.9 3.3 7.0 6.2
1.2
-4
51.9
-4
13.2
-4
10.4
-4
23.4
-4
1.8 50.4 39.4 0.9 7.4
36.5
+4, b, g
23.7
+4, b, g
39.8
+4, b, g
27.9
g
21.7
g
50.5
g

34.7 55.5 8.2 0.8 0.8 45.1
b
50.2
b
3.2
b
0.1
b
1.4
b

0.6
b
26.2 2.1 0.2 70.8 0.1 0.4
-2
38.5
-2
1.4
-2
0.7
-2
58.9
-2
63.2 12.7 2.3 21.8 0.3

-2, b
74.9
-2, b
8.6
-2, b
2.0
-2, b
14.2
-2, b

46.7 17.1 31.4 0.1 4.7 24.6
+1, b
60.2
+1, b
12.9
+1, b
2.3
+1, b

35.0 60.0 5.0 18.0
+1, b
69.0
+1, b
13.0
+1, b

44.6 33.6 0.4 21.4 46.3
+1, e
37.2
+1, e
0.4
+1, e
16.1
+1, e
59.4 23.2 2.6 0.5 14.3 61.4 22.2 2.8 0.7 13.0
24.8 69.8 0.2 0.2 5.0 34.2 56.7 1.0 0.5 7.6
17.4 61.6 3.8 2.0 15.1 16.4 64.6 2.8 1.7 14.5
53.7 42.1 0.5 1.0 2.7 52.2
+1
41.3
+1
1.2
+1 +1
5.3
+1
59.9
+1
27.1
+1 n
2.7
+1
10.3
+1
61.1
+1, b, e
25.3
+1, b, e
0.3
+1, b, e
3.6
+1, b, e
9.7
+1, b, e
29.1 53.9 2.4 0.3 14.3 33.6
+1
50.0
+1
0.5
+1
0.3
+1
15.5
+1
69.5 26.1 0.2 1.0 3.1 68.2 24.1 0.3 1.0 6.5
52.1 38.3 0.7 0.9 8.0 50.5
+1
39.4
+1
1.3
+1
0.8
+1
8.0
+1
65.5
e
31.6
e
0.5
e
2.4
e
67.9 27.7 0.4 4.0
28.2
+1
46.4
+1
2.6
+1
1.2
+1
21.6
+1
31.1
-2
46.8
-2
1.7
-2
1.5
-2
19.0
-2
29.7
f
58.5
d, f
0.3
f
10.4
f
1.2
e
43.9 44.4
b
0.6 11.1
63.4 27.5 1.9 7.1 49.6 32.2 0.4 1.9 15.9
39.7
+3
50.7
+3
0.1
+3
1.6
+3
8.0
+3
42.0 44.3 1.3 2.9 9.5
21.7 42.7 35.6 27.0
+1
47.3
+1
2.5
+1
23.1
+1
27.9 65.1 7.1 21.4
+1
55.6
+1
7.2
+1
0.3
+1
15.5
+1
Table 3: GERD by performing sector and source of funds, 2002 and 2007 (%)
484
2002 2007
Luxembourg 89.1
+1
10.5
+1
0.4
+1, e
81.5
+1
15.5
+1
3.0
+1
Malta 24.7 16.5 58.8 65.3
+1, b
2.4
+1
32.2
+1, b
Netherlands 56.7 13.8 28.8 0.7 55.0
+1
13.0
+1, j
32.1
+1 +1, n
Poland 20.3 45.5 33.9 0.3 30.9
+1
35.3
+1
33.6
+1
0.1
+1
Portugal 32.5
e
18.8
e
37.5
e
11.2
e
50.0
+1
7.7
+1
33.6
+1, b
8.6
+1
Romania 60.3 24.2 15.6 30.0
+1
41.0
+1
28.9
+1
0.2
+1
Slovakia 64.3 26.6
d
9.1 42.9
+1
32.8
+1, d
24.3
+1
0.1
+1
Slovenia 59.7 23.1 15.5 1.7 64.6
+1
21.9
+1
13.4
+1
0.1
+1
Spain 54.6
b
15.4 29.8 0.2
b
54.9
+1, b
18.2
+1
26.7
+1
0.2
+1
Sweden 74.4
+1, g
3.5
+1
21.8
+1
0.4
+1
74.1
+1, e
4.4
+1, e
21.3
+1, e
0.2
+1, e
United Kingdom 64.8 9.2 24.0 1.9 64.2
+1
8.3
+1
25.2
+1
2.3
+1
Southeast Europe
Albania
Bosnia and Herzegovina 2.6
+1, g
78.8
+1, g
18.6
+1, g
12.6
g
68.7
g
1.1
g
17.6
g
Croatia 42.7 22.2 35.1 44.3
+1
25.2
+1
30.3
+1
0.1
+1
Montenegro 8.4
+1
14.9
+1
76.7
+1
5.2 14.9 80.0
Republic of Moldova 17.9
+3
72.8
+3
9.3
+3 +3
15.5 73.4 11.1
Serbia 5.4 42.7 52.0 2.5 54.2 43.3
FYR Macedonia 2.6 56.5 40.9 12.3
-1
47.9
-1
39.8
-1 -1
Other Europe
Andorra
Belarus 51.0 32.6 16.4 61.4
b
27.1
b
11.5
Iceland 57.2
e
24.5
e
16.1
e
2.2
e
54.6
+1
17.8
+1
25.1
+1
2.5
+1
Liechtenstein
Monaco 100.0
+2, g
100.0
-2, g
Norway 57.4 15.8 26.8 53.8
+1
14.6
+1
31.5
+1
Russian Federation 69.9 24.5 5.4 0.2 62.9
+1
30.1
+1
6.7
+1
0.3
+1
San Marino
Switzerland 73.9
-2
1.3
-2, b
22.9
-2
1.9
-2
73.7
-3
1.1
-3
22.9
-3
2.3
-3
Turkey 28.7 7.0 64.3 41.3 10.6 48.2
Ukraine 51.9 42.1 6.0 55.4 37.7 6.9
Sub-Saharan Africa
Angola
Benin
Botswana 15.6
-2
79.4
-2
1.2
-2
3.8
-2
Burkina Faso 100.0
g
72.2
b, g
21.1
b, g
6.7
b, g
Burundi
Cameroon
Cape Verde
Chad
Comoros
Congo
Cte d'Ivoire
Democratic Republic of the Congo 100.0
+2, h
100.0
-2, h
Equatorial Guinea
Eritrea
Ethiopia 85.6
+3, g
14.3
+3, g
0.1
+3, g
84.4
g
14.6
g
1.0
g
Gabon
Gambia
Ghana
Guinea
GuineaBissau
Kenya
485
A
n
n
e
x
2002 2007
80.4
+1
11.2
+1 +1
0.1
+1
8.3
+1
76.0 18.2
e
0.1 5.7
18.6 59.8 21.6 50.8
+1, b
28.1
+1, b
0.1
+1
21.0
+1
50.0 37.1 0.1 1.1 11.6 51.1
-4
36.2
-4
0.1
-4
1.3
-4
11.3
-4
30.1 61.9 2.9 0.3 4.8 30.5
+1
59.8
+1
4.1
+1
0.2
+1
5.4
+1
31.6
e
60.5
e
1.1
e
1.8
e
5.0
e
47.0 44.6 0.7 2.3 5.4
41.6 48.4 3.0 7.0 23.3
+1
70.1
+1
2.6
+1 +1
4.0
+1
53.6 44.1
g
0.1 0.2 2.1 34.7
+1
52.3
+1, g
0.3
+1
0.4
+1
12.3
+1
60.0 35.6 0.6 3.7 62.8
+1
31.3
+1
0.3
+1 +1
5.6
+1
48.9 39.1 4.5 0.7 6.8 45.5 43.7 3.3 0.5 7.0
65.1
+1, g
24.3
+1, g
0.1
+1, g
3.1
+1, g
7.3
+1, g
64.0
b
22.2
b
0.7
b
3.8
b
9.3
b
43.5 28.9 1.1 5.0 21.5 47.2
+1
29.5
+1
1.2
+1
4.5
+1
17.6
+1

45.7 46.4 6.4 1.5 40.8
+1
49.3
+1
1.9
+1
0.2
+1
7.9
+1

1.9
+1, b
98.1
+1, b
2.7 97.3

7.8
e
76.3
e
7.3
e e
8.6
e

24.4 63.4 2.2 10.1 45.1
b
49.2
b
0.3 0.1 5.3
43.9
+1
40.1
+1 +1
1.5
+1
14.5
+1
50.4
+1
38.8
+1 +1
0.8
+1
10.0
+1

97.0
+2, g
3.0
+2, g
98.8
-2, g
1.2
-2, g
49.2
+1
41.9
+1
0.6
+1
0.8
+1
7.4
+1
45.3 44.9 0.6 0.9 8.3
33.1 58.4 0.3 0.1 8.0 28.7
+1
64.7
+1
0.5
+1
0.2
+1
5.9
+1

69.1
-2
23.2
-2
2.1
-2
1.4
-2
4.3
-2
69.7
-3
22.7
-3
1.5
-3
0.8
-3
5.2
-3
41.3 50.6
n
6.9
i
1.3 48.4 47.1 4.0
i
0.5
33.4
e
36.3
e
0.4
e
0.4
e
26.2
e
3.4
e
30.2
b
52.2
b
0.2
b
0.1
b
15.9
b
1.3
b

100.0
g
72.3
b, g
24.5
b, g
3.2
b, g

100.0
+2, h
100.0
-2, h

69.2
+3, g +3, n
0.1
+3, g
30.8
+3, g
71.7
g n
0.7
g
27.0
g
0.5
g

2002 2007
Sub-Saharan Africa conitued
Lesotho
Liberia
Madagascar 60.5
+1, b, g
39.5
+1, b, g
40.4
g
59.6
g
Malawi
Mali
Mauritius
Mozambique 100.0
-1
Namibia
Niger
Nigeria
Rwanda
Senegal 33.3
-2, e, g
66.7
-2, e, g
Seychelles 98.1 1.9 97.1
-2
2.9
-2
Sierra Leone
Somalia
South Africa 55.5
+1
21.9
+1
20.5
+1
2.1
+1
57.7 21.7 19.4 1.2
Swaziland
Togo
Uganda 1.3 97.4 1.3 7.5 67.5 25.0
Zambia 4.0
g
71.0
g
12.0
g
13.0
g
13.8
-2, g
49.3
-2, g
24.6
-2, g
12.3
-2, g
Zimbabwe
Arab States
Algeria
Bahrain
Djibouti
Egypt
Iraq
Jordan
Kuwait 100.0
g
100.0
g
Lebanon
Mauritania
Morocco 22.0
-1
25.6
-1
52.4
-1
Oman
Qatar
Saudi Arabia
Sudan 31.8
e
39.0
e
29.2
e
33.7
-2, e
39.2
-2, e
27.1
-2, e
Tunisia 8.2 43.1 37.0 11.7 14.5
-2, e
50.8
-2, e
34.8
-2, e -2, e
Yemen
Armenia 99.6
+1
0.4
+1
93.6 6.4
Azerbaijan 21.1 54.4 24.5 20.4 69.5 10.1
Georgia 92.1
b
7.9
b
73.2
-2, b
26.8
-2, b
Israel 75.3
d
5.5
d
15.5 3.7 80.8
+1, d
4.4
+1, d
11.9
+1
2.8
+1
Kazakhstan 28.9
+1
61.5
+1
9.1
+1
0.6
+1
50.8
+1
32.2
+1
14.9
+1
2.2
+1
Kyrgyzstan 50.9 42.3 6.8 28.4 59.6 12.0
Mongolia 78.3
g
21.7
g
3.1
g
84.2
g
12.7
g
Tajikistan 96.5 3.5 93.1
-2
6.9
-2
Turkmenistan
Uzbekistan
486
487
2002 2007

22.3
+1, b, g
39.5
+1, b, g
38.2
+1, b, g
32.0
g
59.6
g
8.4
g

100.0 100.0
-2
34.7 65.3

100.0
-2, e, g

54.8
+1
34.0
+1
0.1
+1
0.2
+1
10.9
+1
44.8
-1
40.4
-1
3.3
-1
1.0
-1
10.6
-1

1.3 33.8 1.3 63.6 7.5 41.7 50.7

4.4
+1, b, g
94.7
+1, b, g +1, b, g
0.9
+1, b, g
2.4
g
97.6
g

21.6 37.1 41.2 22.7
-1
74.7
-1
2.6
-1

8.0 41.5 33.0 5.9 11.7 14.1
-2, e
45.1
-2, e
30.5
-2, e -2, e
10.4
-2, e

55.2 11.2 33.6 50.3 11.3 38.5
21.3 73.7 4.9 20.8 76.5
n
2.6 0.1

70.8
d
22.8
d
2.5 0.6 3.2
d
77.2
-1, d
15.9
-1, d
2.2
-1
1.7
-1
3.0
-1, d
25.5
+1, b
59.5
+1, b
8.8
+1, b
0.6
+1, b
5.6
+1, b
50.7
+1
31.4
+1
14.7
+1
2.2
+1
1.0
+1
52.7 45.9 0.1 1.2 36.4
-2
63.6
-2 -2 -2 -2
4.8
+1
90.5
+1, g
2.2
+1, g +1, g
0.9
+1, g
1.6
+1, g
3.1 82.4
g
0.5
g g
1.6
g
12.4
g
2.3 91.8 5.9 2.2
-2
91.9
-2
0.3
-2
5.5
-2

A
n
n
e
x
2002 2007
South Asia
Afghanistan
Bangladesh
Bhutan
India 19.3
j
76.5 4.1
m
29.6
e, j
66.0
e
4.4
e m
Iran (Islamic Republic of ) 18.6 57.5 23.9 14.2
-1
55.3
-1
30.5
-1
Maldives
Nepal
Pakistan 67.6
+3
32.4
+3
73.3 26.7
Sri Lanka 5.5
+2, b, j
61.0
+2, b
33.6
+2, b +2, m
19.1
-1, j
51.3
-1
29.6
-1 -1, m
Southeast Asia
Brunei Darussalam 0.6
g
68.5
g
30.8
g
91.6
-3, b, g
8.4
-3, b, g -3, b, g
Cambodia 12.1
e, g
25.3
e, g
11.8
e, g
50.8
e, g
China 61.2 28.7 10.1 72.3 19.2 8.5
Hong Kong SAR of China 33.2
j
3.1 63.6
m
52.6
-1, j
2.1
-1
45.3
-1 -1, m
Indonesia 14.3
-1, g
81.1
-1
4.6
-1
3.7
-2, b, g
96.2
-2, b, g -2, b, g -2, b, g
Japan 74.4 9.5 13.9 2.1 77.9 7.8 12.6 1.7
Lao PDR 36.9
g
50.9
g
12.2
g
Macao, China
Malaysia 65.3 20.3 14.4 84.9
-1
5.2
-1
9.9
-1 -1
Myanmar
Philippines 67.8 16.9 13.2 2.1 58.6
-2
18.6
-2
21.3
-2
1.5
-2
Republic of Korea 74.9 13.4 10.4 1.3 76.2
b
11.7
b
10.7
b
1.5
b
Singapore 61.4 13.2 25.4 66.8 12.2 21.0
Thailand 43.9
+1
22.5
+1
31.0
+1
2.6
+1
43.6
-2
17.2
-2
38.3
-2
1.0
-2
TimorLeste
Viet Nam 14.5 66.4 17.9 1.1
Oceania
Australia 52.5 18.8 26.0 2.7 58.3
-1
13.7
-1
25.1
-1
2.8
-1
Cook Islands
Fiji
Kiribati
Marshall Islands
Nauru
New Zealand 40.8
+1
27.8
+1
31.4
+1
42.7 27.3 30.0
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
488
-n/+n = data refer to n years before or after reference year; b = break in series with previous year for which data are show; c = excluding most or all capital expenditures;
d = excluding defense (all or mostly); e = estimation; f = the sum of the breakdown does not add to the total; g = underestimated or partial data; h = overestimated or based on
overestimated data; i = including higher education; j = including private non-prot; k = included in government; l = included in higher education; m = included in business
enterprise; n = included elsewhere; o = including government
Source: GERD data: UNESCO Institute for Statistics, July 2010
489
2002 2007

19.3
h, j
76.5
h
4.1
h m n
29.6
e, h, j
66.0
e, h
4.4
e, h m n
18.6 74.7 6.7 14.2
-1
74.6
-1
11.2
-1

87.0
+3
11.9
+3
0.3
+3
0.8
+3
82.9 12.9 1.8 1.0 1.5
0.6
+2, b, j
67.5
+2, b, i +2, k +2, m
22.6
+2, b
9.3
+2, b
19.0
-1, j
65.2
-1, i -1, k -1, m
4.8
-1
10.9
-1
8.8
g
91.2
g g g
1.6
-3, b, g
91.0
-3, b, g
7.4
-3, b, g -3, b, g -3, b, g
17.9
e, g
43.0
e, g
28.4
e, g
10.6
e, g
60.1
+1, f
29.9
+1, f
1.9
+1, f
8.0
+1, e
70.4
f
24.6
f
1.3
f
3.7
e

35.3
j
62.8 0.2
m
1.7 52.8
-1, j
43.1
-1
0.2
-1 -1, m
3.9
-1
14.7
-1, b, j
84.5
-1
0.2
-1 -1, m
0.7
-1
74.1 18.4
e
6.5
e
0.7 0.4 77.7 15.6
e
5.6
e
0.7 0.3
36.0
g
8.0
g
2.0
g n
54.0
g

51.5 32.1 4.9 11.5 84.7
-1
5.0
-1
9.7
-1 -1
0.2
-1
0.4
-1

68.6 19.1 5.9 0.2 5.5 0.7 62.6
-2
25.6
-2
6.0
-2
0.7
-2
4.8
-2
0.3
-2
72.2 25.4 1.6 0.4 0.4 73.7
b
24.8
b
1.0
b
0.3
b
0.2
b
49.9 42.3 0.7 7.2 59.8 34.9 0.9 4.3
41.8
+1
38.6
+1
15.1
+1
0.6
+1
2.6
+1
1.3
+1
48.7
-2
31.5
-2
14.9
-2
0.7
-2
1.8
-2
2.4
-2

18.1 74.1 0.7
j l
6.3 0.8
50.7
f
41.2
f
0.2
f
1.7
f
3.6
f
2.7
e
58.3
-1
37.3
-1
0.1
-1
1.8
-1
2.4
-1

38.2
+1
43.8
+1
8.8
+1
2.1
+1
7.1
+1
40.1 42.7 8.7 3.7 4.8

A
n
n
e
x
Country/Territory
North America
Canada
United States of Americ
Latin America
Argentina
Belize
Bolivia
Brazil
Chile
Colombia
Costa Rica
Ecuador
El Salvador
Guatemala
Guyana
Honduras
Mexico
Nicaragua
Panama
Paraguay
Peru
Suriname
Uruguay
Venezuela
Caribbean
Antigua and Barbuda
Bahamas
Barbados
Cuba
Dominica
Dominican Republic
Grenada
Haiti
Jamaica
Saint Lucia
Saint Vincent and the Gr
Trinidad and Tobago
European Union
Austria
Belgium
Bulgaria
Cyprus
Czech Republic
Denmark
Estonia
Finland
France
Germany
Greece
Hungary
Ireland
Italy
Latvia
490
Table 4: Total researchers and per million inhabitants, 2002 and 2007
Researchers in full-time equivalents
2002 2007
Total Female per million Total Female per million
Country/Territory researchers researchers (%)* inhabitants researchers researchers (%)* inhabitants
North America
Canada 116 032 3 705 139 011
-1, e
4 260
-1, e
United States of America 1 342 450
e
4 566
e
1 425 550
-1, e
4 663
-1, e
Latin America
Argentina 26 083 48.3 692 38 681 52.8
e
980
Belize
Bolivia 1 040 120
Brazil 71 806 401 133 266
+1
48.0 694
+1
Chile 6 943 440 13 427
-3, b
30.2
-3
Colombia 5 167 126 5 570 36.6 126

Costa Rica 548
+1
131
+1
527
-2
40.9
-2
122
-2
Ecuador 550 44 924
b
69
El Salvador 293
-2
49
-2

Guatemala 388
+3, g
32.1
+4, g
31
+3, g
389
g
33.1
g
29
g
Guyana
Honduras
Mexico 31 132
e
305
e
37 930 353
Nicaragua 340
-5
70
-5

Panama 297 25.2
-6
97 480
b
27.7 144
b
Paraguay 455 82 419
-2
71
-2
Peru
Suriname
Uruguay 1 242 373 1 158
+1
45.9
+1
346
+1
Venezuela 1 761
g
70
g
5 261
+1, g
52.8
+1, g
187
+1, g
Caribbean
Antigua and Barbuda
Bahamas
Barbados
Cuba
Dominica
Dominican Republic
Grenada
Haiti
Jamaica
Saint Lucia
Saint Vincent and the Grenadines
Trinidad and Tobago
European Union
Austria 24 124 15.8 2 984 34 377
+1
20.6 4 123
+1
Belgium 30 668 27.1 2 987 36 382
+1
30.7 3 435
+1
Bulgaria 9 223 47.2 1 169 11 384
+1
47.8 1 499
+1
Cyprus 435 31.5 608
e
885
+1
34.0 1 026
+1
Czech Republic 14 974 26.2 1 469 29 785
+1, b
25.4
+1, b
2 886
+1
Denmark 25 547
b
26.6
b
4 756
b
30 945
+1, b, e
29.3
b
5 670
+1, e
Estonia 3 059 41.3 2 254 3 979
+1
41.5 2 966
+1
Finland 38 630
a
7 431
a
40 879
+1
7 707
+1
France 186 420 3 116 215 755 3 496
Germany 265 812
e
16.3
+1
3 232
e
290 853 17.7
-2
3 532
Greece 15 631
+1
33.3
+1
1 418
+1
20 817
e
31.7
-2
1 873
e
Hungary 14 965
d
31.4
+4
1 473
d
17 391
b
31.7 1 733
Ireland 9 376 27.8 2 379 13 709
+1
30.4 3 090
+1
Italy 71 242 28.6
+1
1 237 96 303
+1
32.9
-1
1 616
+1
Latvia 3 451 53.2 1 477 4 370
+1
48.9 1 935
+1
2002
Total Female
Country/Territory researchers researchers (%
North America
Canada
United States of America
Latin America
Argentina 41 356 50.5
Belize
Bolivia 1 250
-1, b
39.6
-1, b
Brazil 122 699 46.0
e
Chile 8 507 32.7
Colombia 10 292 34.4
Costa Rica 1 193 38.0
Ecuador 696 23.0
El Salvador 252
+1, b
31.0
+1, b
Guatemala 615
+3, g
42.6
+3, g
Guyana
Honduras 516 28.9
Mexico 44 577
+1
31.6
+1, e
Nicaragua 256 42.5
g
Panama 416
b
37.0
Paraguay 794 50.1
Peru
Suriname
Uruguay 3 839 47.2
Venezuela 2 077
g
44.4
g
Caribbean
Antigua and Barbuda
Bahamas
Barbados
Cuba 6 057 48.9
+3
Dominica
Dominican Republic
Grenada
Haiti
Jamaica
Saint Lucia 74
-3
33.3
-3, g
Saint Vincent and the Grenadines 21
Trinidad and Tobago 518
+1
40.2
+1
European Union
Austria 24 124 15.8
Belgium 30 668 27.1
Bulgaria 9 223 47.2
Cyprus 435 31.5
Czech Republic 14 974 26.2
Denmark 25 547
b
26.6
b
Estonia 3 059 41.3
Finland 38 630
a
France 186 420

Germany 265 812
e
16.3
+1
Greece 15 631
+1
33.3
+1
Hungary 14 965
d
31.4
+4
Ireland 9 376 27.8
Italy 71 242 28.6
+1
Latvia 15 385 39.6
Researchers in headcounts
2002 2007
ory researchers researchers (%)* inhabitants researchers researchers (%)* inhabitants

f America
41 356 50.5 1 098 59 052 51.5 1 495

1 250
-1, b
39.6
-1, b
147
-1, b

122 699 46.0
e
685 210 716
+1
48.0 1 098
+1
8 507 32.7 539 18 365
-3, b
30.0
-3, b
1 139
-3
10 292 34.4 250 12 017 36.4 271
1 193 38.0 291 3 521
b
40.0
b
790
696 23.0 55 1 615
b
44.9
b
121
252
+1, b
31.0
+1, b
42
+1,b
401
+1
32.9
+1
65
+1
615
+3, g
42.6
+3, g
48
+3, g
634
g
31.7
g
47
g

516 28.9 80 539
-4
26.5
-4
81
-4
44 577
+1
31.6
+1, e
432
+1

256 42.5
g
49 326
-3
61
-3
416
b
37.0 136
b
572 32.7 171
794 50.1 143 787
-2
46.8
-2
133
-2
4 965
-3
81
-3

3 839 47.2 1 154 2 153
+1
52.3
+1
643
+1
2 077
g
44.4
g
82
g
6 038
+1, g
53.1
+1, g
215
+1, g
rbuda

6 057 48.9
+3
544 5 525
+1
48.5
+1
493
+1

ublic

Nevis
74
-3
33.3
-3, g
477
-3

nd the Grenadines 21 194
bago 518
+1
40.2
+1
396
+1
634 38.0 477
n
39 557 20.7 4 893 53 590 26.4 6 451
44 133 27.7 4 298 51 278 31.1 4 869
10 445 46.3 1 323 13 090 46.8 1 713
1 014 29.4 1 418
e
1 532 32.6 1 941
e
30 635 29.5 3 006 44 240
+1
28.5
+1
4 287
+1
37 883
b
26.2
b
7 053
b
42 992
b
30.2
b
7 895
b
5 089 42.6 3 750 6 940
+1, e
44.3 5 174
+1
50 215
a
29.9
a
9 659
a
53 420 31.5
b
10 111
231 816
b
27.8
b
3 874
b
273 542 27.4
-1
4 432
397 130
+1
19.5
+1
4 824
+1
437 780 23.2 5 317
28 058
+1
37.1
+1
2 546
+1
33 396
-2
36.4
-2
3 019
-2
29 764
d
33.7
d
2 930
d
33 059 33.5 3 295
15 512 30.2 3 936 19 380 32.0 4 450
108 882 28.7 1 891 137 163
-1
33.3
-1
2 326
-1
6 101 51.8 2 611 7 823 52.4 3 448
491
A
n
n
e
x
Country/Territory
Sub-Saharan Africa co
Lithuania
Luxembourg
Malta
Netherlands
Poland
Portugal
Romania
Slovakia
Slovenia
Spain
Sweden
United Kingdom
SouthEast Europe
Albania
Bosnia and Herzegovin
Croatia
Montenegro
Republic of Moldova
Serbia
FYR Macedonia
Other Europe
Andorra
Belarus
Iceland
Liechtenstein
Monaco
Norway
Russian Federation
San Marino
Switzerland
Turkey
Ukraine
SubSaharan Africa
Angola
Benin
Botswana
Burkina Faso
Burundi
Cameroon
Cape Verde
Central African Republi
Chad
Comoros
Congo
Cte d'Ivoire
Democratic Rep. of the
Equatorial Guinea
Eritrea
Ethiopia
Gabon
Gambia
Ghana
Guinea
GuineaBissau
492
2002 2007
Lithuania 6 326 47.2 1 824 8 458
+1
48.5 2 547
+1
Luxembourg 1 949
+1
4 300
+1
2 282
+1
17.6
-2
4 748
+1
Malta 272 25.0
+2, b
690 524
+1, b
25.7 1 286
+1
Netherlands 38 159
b
2 373
b
51 052
+1, b
3 089
+1
Poland 56 725 37.5
+1
1 480 61 831
+1
39.4 1 623
+1
Portugal 18 984
e
45.0
e
1 834
e
40 563
+1, b
43.9 3 799
+1, b
Romania 20 286 45.3 925 19 394
+1
43.8 908
+1
Slovakia 9 181 40.8 1 706 12 587
+1
42.3
+1
2 331
+1
Slovenia 4 642 34.6 2 331 7 032
+1
33.7 3 490
+1
Spain 83 318 35.7 2 019 130 986
+1
37.9 2 944
+1
Sweden 48 186
+1
29.0
+3, a
5 372
+1
48 220
+1, b, e
28.8
b, g
5 239
+1, e
United Kingdom 198 163
e
3 337
e
261 406
+1, e
4 269
+1
Southeast Europe
Albania
Bosnia and Herzegovina 232
+1, g
61
+1, g
745
b, g
197
g
Croatia 8 572 42.6 1 919 6 697
+1
47.2 1 514
+1
Montenegro
+1, g
45.4
+1
759
+1, e, g
2 592
g
45.1 726
e, g
Serbia 8 806 47.2 1 196
e
FYR Macedonia 1 164 49.1 575 1 062
-1
51.5
-1
521
-1
Other Europe
Andorra
Belarus
Iceland 1 917
+1
36.0
+1
6 653
+1
2 308
+1
36.4
+1
7 315
+1
Liechtenstein
Monaco 9
+2, g
44.4
+2, g
278
+2, e, g
10
-2, g
50.0
-2, g
308
-2, e, g
Norway 20 989
+1
4 596
+1
26 062
+1, e
5 468
+1, e
Russian Federation 491 944 3 385 451 213
+1
3 191
+1
San Marino
Switzerland 26 105
-2
3 634
-2
25 400
-3

Turkey 23 995 34.2 351 49 668 34.1 680
Ukraine 68 764
+4, g
1 476
+4, g
67 493
g
43.9 1 458
g
Sub-Saharan Africa
Angola
Benin
Botswana
Burkina Faso
Burundi
Cameroon
Cape Verde 60 132
Chad
Comoros
Congo 102
-2, g
12.8
-2, g
34
-2, g

Cte d'Ivoire 1 269
-2, g
16.5
-2, g
66
-2, g
Democratic Rep. of the Congo
Equatorial Guinea
Eritrea
Ethiopia 1 608
+3
6.9
+3
22
+3
1 615 7.7 21
Gabon
Gambia
Ghana
Guinea
GuineaBissau
2002
Total Female
Lithuania 9 517 47.7
Luxembourg 2 023
+1
17.4
+1, e
Malta 689 23.6
+2, b
Netherlands 46 730
Poland 90 842 39.3
+1
Portugal 33 501
e
44.0
e
Romania 24 636 44.2
Slovakia 15 385 39.6
Slovenia 7 027 35.1
Spain 150 098 35.2
Sweden 82 496
+3, a, b
35.8
+3, a, b
United Kingdom 364 807
+3, e
35.7
+3, e
SouthEast Europe
Albania
Bosnia and Herzegovina 662
+1, g
Croatia 11 136 41.7

Montenegro 602
+1
39.0
+1
+1, g
45.4
+1
Serbia 10 855
h
43.0
h
FYR Macedonia 2 636 47.4
Other Europe
Andorra
Belarus 18 557 45.1
Iceland 3 517
+1
39.4
+1
Liechtenstein
Monaco 9
+2, g
44.4
+2, g
Norway 35 700
+1
29.4
+1
Russian Federation 414 676
g
43.2
g
San Marino
Switzerland 44 230
-2
20.3
-2
Turkey 71 288 35.6
Ukraine 85 211 42.9
SubSaharan Africa
Angola
Benin
Botswana
Burkina Faso 236
g
14.4
g
Burundi
Cameroon
Cape Verde 107 52.3
Central African Republic 11
+3, g
Chad
Comoros
Congo
Cte d'Ivoire
Democratic Rep. of the Congo 9 072
+2, h
Equatorial Guinea
Eritrea
Ethiopia 2 187
+3
6.3
+3
Gabon 80
+2, g
31.3
+2, g
Gambia 40
g
g
Ghana
Guinea 2 117
-2, g
5.8
-2, g
GuineaBissau
2002 2007
tory researchers researchers (%)* inhabitants researchers researchers (%)* inhabitants
Africa continued
9 517 47.7 2 745 13 393 50.4 3 991
2 023
+1
17.4
+1, e
4 463
+1
2 470
e
24.1
e
5 200
e
689 23.6
+2, b
1 747 997 25.5 2 455
46 730 2 905 45 554
-4
17.2
-4
2 818
-4
90 842 39.3
+1
2 370 97 289 39.9 2 551
33 501
e
44.0
e
3 236
e
51 443 43.4 4 834
24 636 44.2 1 123 30 740 44.7 1 433
15 385 39.6 2 859 19 814
+1
42.3
+1
3 669
+1
7 027 35.1 3 529 8 742 34.9 4 349
150 098 35.2 3 638 206 190 37.0 4 681
82 496
+3, a, b
35.8
+3, a, b
9 099
+3, a, b
73 112
b
34.5
b
7 982
b
m 364 807
+3, e
35.7
+3, e
6 054
+3, e
378 710
e
36.6
e
6 219
e
rope

zegovina 662
+1, g
175
+1, g
2 953
b, g
782
g
11 136 41.7 2 494 11 109 44.6 2 508
602
+1
39.0
+1
940
+1
671 41.3 1 081
ldova 2 737
+1, g
45.4
+1
759
+1,, e, g
2 592
g
45.1 726
e, g
10 855
h
43.0
h
1 449
e, h
10 580
b
47.0
b
1 436
b, e
a 2 636 47.4 1 302 2 218
-1
50.1
-1
1 088
-1

18 557 45.1 1 864 18 995 43.3 1 953
3 517
+1
39.4
+1
12 207
+1
4 158
+1
37.8
+1
13 181
+1

9
+2, g
44.4
+2, g
278
+2, g
10
-2, g
50.0
-2, g
308
-2, e, g
35 700
+1
29.4
+1
7 817
+1
41 752 33.3 8 845
tion 414 676
g
43.2
g
2 853
g
375 804
+1, g
41.8
+1, g
2 658
+1g

44 230
-2
20.3
-2
6 157
-2, a
43 220
-3
26.7
-3
5 846
-3
71 288 35.6 1 042 101 961 36.7 1 397
85 211 42.9 1 774 78 832 43.9 1 703
Africa

1 000
e
119
e
1 732
-2, g
30.8
-2, g
942
-2, g
236
g
14.4
g
19
g
187
b, g
13.4
b, g
13
b, g

462
-2, g
19.0
-2, g
26
-2, g
107 52.3 235
Republic 11
+3, g
3
+3,g
41
g
41.5
g
10
g

2 397
-2, g
16.5
-2, g
125
-2, g
p. of the Congo 9 072
+2, h
158
+2, h
10 411
-2, h
176
-2, g
nea

2 187
+3
6.3
+3
29
+3
2 377 7.4 30
80
+2, g
31.3
+2, g
60
+2, g
150
-1, g
24.7
-1, g
107
-1, g
40
g
g
29
g
46
-2, g
8.7
-2, g
30
-2, g

2 117
-2, g
5.8
-2, g
253
-2, g

A
n
n
e
x
493
Country/Territory
Sub-Saharan Africa con
Kenya
Lesotho
Liberia
Madagascar
Malawi
Mali
Mauritius
Mozambique
Namibia
Niger
Nigeria
Rwanda
Senegal
Seychelles
Sierra Leone
Somalia
South Africa
Swaziland
Togo
Uganda
United Republic of Tanz
Zambia
Zimbabwe
Arab states
Algeria
Bahrain
Djibouti
Egypt
Iraq
Jordan
Kuwait
Lebanon
Mauritania
Morocco
Oman
Palestinian Autonomou
Qatar
Saudi Arabia
Sudan
Tunisia
Yemen
Armenia
Azerbaijan
Georgia
Israel
Kazakhstan
Kyrgyzstan
Mongolia
Tajikistan
Turkmenistan
Uzbekistan
494
2002 2007
Kenya
Lesotho 12
g
62.5
h
6
g
20
-3, g
58.8
-3, h
10
-3
Liberia
Madagascar 788
g
30.6
g
49
g
937
g
34.2
g
50
g
Malawi
Mali 513
-1, g
13.3
-1, g
42
-1, g
Mauritius
Mozambique 337
-1, b, g
33.5 16
-1, b, g
Namibia
Niger 104
g
9
g
101
-2, g
8
-2, g
Nigeria
Rwanda
Senegal 3 011
+4, e, g
10.0
+4, e, g
260
+4,e, g
3 277
e, g
10.0
e, g
276
e, g
Seychelles 13
-2, g
30.8
-2, g
157
+2, e, g
Sierra Leone
Somalia
South Africa 14 131
+1
35.8
+1
302
+1
19 320 38.3
-1
393
Swaziland
Togo 142
+1
25
+1
216
b
12.2
g
34
b
Uganda
Zambia 536
-3, g
14.2
-4, g
53
-3, g

Zimbabwe
Arab States
Algeria 5 593
-2, g
36.5
-2, g
170
2, g
Bahrain
Djibouti
Egypt 49 363
g
617
g
Iraq
Jordan 9 090
-4
17.9
-4
1 952
-4

Kuwait 346
g
142
g
472
g
35.2
g
166
g
Lebanon
Mauritania
Morocco 19 972
-1, g
29.8
-1, g
647
-1, g
Oman
Qatar
Saudi Arabia
Sudan
Tunisia 9 910
h
48.6
+1
1 030
h
15 833
-1, h
47.7
-2
1 588
-1, h
Yemen
Armenia
Azerbaijan
Georgia
Israel
Kazakhstan
Kyrgyzstan
Mongolia
Tajikistan
Turkmenistan
Uzbekistan
2002
Total Female
Kenya
Lesotho 49
g
75.6
h
Liberia
Madagascar 1 329
g
31.2
g
Malawi
Mali
Mauritius 231
-5
19.9
-5
Mozambique 468
g
Namibia
Niger 128
g
Nigeria 18 973
g
18.3
g
Rwanda
Senegal 8 043
+4, e, g
9.9
+4, e, g
Seychelles
Sierra Leone
Somalia
South Africa 30 707
+1
38.0
+1
Swaziland
Togo 428
+1
Uganda 630 37.5

Zambia 268
b, g
12.4
b, g
Zimbabwe
Arab States
Algeria
Bahrain
Djibouti
Egypt
Iraq
Jordan 15 891
+1, b
21.3
+1, b
Kuwait 346
g
Lebanon
Libyan Arab Jamahiriya 215
+2
Mauritania
Morocco 25 790
g
26.4
g
Oman
Qatar
Saudi Arabia 1 513
g
17.4
g
Sudan 9 100
e
30.3
e
Tunisia 17 725
h
44.9
+1
Yemen
Armenia
Azerbaijan
Georgia
Israel
Kazakhstan
Kyrgyzstan
Mongolia
Tajikistan
Turkmenistan
Uzbekistantan
2002 2007
Africa continued

49
g
75.6
h
25
g
68
-3, g
55.7
-3, h
34
-3, g

1 329
g
31.2
g
82
g
1 852
g
35.2
g
100
g

1 236
-1, g
12.1
-1, g
102
-1, g
231
-5
19.9
-5
200
-5

468
g
24
g
337
-1, b, g
33.5
-1, b, g
16
-1, b, g

128
g
11
g
129
-2, g
10
-2, g
18 973
g
18.3
g
145
g
28 533
-2, g
17.0
-2, g
203
-2, g

rincipe
8 043
+4, e, g
9.9
+4, e, g
694
e, g
8 709
e, g
9.9
e, g
732
e, g
14
-2, g
35.7
-2, g
169
-2, g

30 707
+1
38.0
+1
655
+1
40 084 40.3
e
815

428
+1
75
+1
834
b
12.0
g
132
b
630 37.5 24 891 41.0 29
c of Tanzania
268
b, g
12.4
b, g
24
b, g
792
-2, g
27.4
-2, g
67
-2, g

13 805
-2, g
34.8
-2, g
420
-2, g

95 947
g
36.2
e, g
1 198
g

15 891
+1, b
21.3
+1, b
3 030
+1, b

346
g
142
g
472
g
35.2
g
166
g

mahiriya 215
+2
37
+2
373 60

25 790
g
26.4
g
874
g
28 089
-1, g
28.2
-1, g
910
-1, g

onomous Territories

1 513
g
17.4
g
69
g
1 024
b, g
41
b, g
9 100
e
30.3
e
250
e
11 208
-2, e
40.0
-2, e
290
-2, e
ublic
17 725
h
44.9
+1
1 842
h
27 529
-1, h
44.6
-2
2 761
-1, h
irates

est Asia
4 927
g
47.0
g
1 610
g
4 114
g
44.7
g
1 339
g
10 195 51.4 1 293
e
11 280 52.0 1 358
e
11 997 51.4 2 592 8 112
-2
52.7
-2
1 817
-2

9 366 48.7 627 10 780
+1
51.3
+1
695
+1
2 065 49.3 407 2 034 43.7 380
1 973
g
46.8
g
805
g
1 740
g
48.1
g
666
g
1 752 40.0 278 1 286 38.8
-1
191

495
A
n
n
e
x
Country/Territory
South Asia
Afghanistan
Bangladesh
Bhutan
India
Iran (Islamic Republic of
Maldives
Nepal
Pakistan
Sri Lanka
South-East Asia
Brunei Darussalam
Cambodia
China
Democratic People's Re
Hong Kong SAR of Chin
Indonesia
Japan
Lao PDR
Macao, China
Malaysia
Myanmar
Philippines
Republic of Korea
Singapore
Thailand
TimorLeste
Viet Nam
Oceania
Australia
Cook Islands
Fiji
Kiribati
Marshall Islands
Micronesia (Federated S
Nauru
New Zealand
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
496
2002 2007
South Asia
Afghanistan
Bangladesh
Bhutan
India 115 936
-2
12.0
-2, g
111
-2
154 827
-2, e
14.8
-2, e, g
137
-2, e
Iran (Islamic Republic of ) 50 546
-1
24.0
-1
706
-1
Maldives
Nepal 1 500
e
59
e

Pakistan 12 689
+3
16.2
+3
77
+3
26 338
b
23.4
b
152
b
Sri Lanka 2 679
+2, b
32.1
+2, b
138
+2, b
1 833
-1
41.1
-1
93
-1
Southeast Asia
Brunei Darussalam 99
g
284
g
102
-3, b, g
281
-3, b, g
Cambodia 223
e, g
22.6
e, g
17
e, g

China 810 525 630 1 423 380 1 071
Hong Kong SAR of China 10 639 1 570 18 326
-1
2 650
-1
Indonesia 42 722
-1
205
-1

Japan 646 547
b
5 087
b
709 974 5 573
Lao PDR 87 16
Macao, China 105
e, g
15.4
e, g
230
e, g
298
-2, e, g
20.8
-2, e, g
612
-2, e, g
Malaysia 7 157 34.2 295 9 694
-1
38.8
-1
372
-1
Myanmar 837
g
18
g

Philippines 5 860
+1
52.7
+1, e
71
+1
6 896
-2
50.7
-2
81
-2
Republic of Korea 141 917 6.5
-4
3 023 221 928
b
4 627
b
Singapore 18 120 4 398 27 301 6 088
Thailand 18 114
+1
281
+1
20 506
-2
49.9
-2
311
-2
TimorLeste
Viet Nam 9 328 115
Oceania
Australia 73 173 3 723 87 140
-1
4 224
-1
Cook Islands
Fiji
Kiribati
Marshall Islands
Nauru
New Zealand 15 822
+1
3 943
+1
18 300 4 365
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
2002
Total Female
South Asia
Afghanistan
Bangladesh 6 097
-5
14.0
-5
Bhutan
India
Iran (Islamic Republic of ) 51 899
+2
19.8
+2
Maldives
Nepal 3 000
e
15.0
e
Pakistan 30 982
+3
23.4
+3
Sri Lanka 4 602
+2, b
35.4
+2, b
Southeast Asia
Brunei Darussalam 294
g
26.9
g
Cambodia 744
e, g
20.7
e, g
China
Hong Kong SAR of China 12 611
Indonesia 92 817
-1
Japan 791 224 11.2

Lao PDR 209 23.0
e
Macao, China 197
e, g
18.8
e, g
Malaysia 17 790 35.8
+2
Myanmar 4 725
g
85.5
h
Philippines 7 203 54.0
Republic of Korea 189 888 11.6
Singapore 21 531 25.6
Thailand 29 850
+1
45.6
+1
TimorLeste
Viet Nam 41 117 42.8
Oceania
Australia
Cook Islands
Fiji
Kiribati
Marshall Islands
Nauru 19
+1, g
15.8
+1, g
New Zealand 25 486
+1
39.3
-1
Niue
Palau
Papua New Guinea
Samoa
Solomon Islands
Tonga
Tuvalu
Vanuatu
2002 2007

6 097
-5
14.0
-5
46
-5

public of ) 51 899
+2
19.8
+2
742
+2
67 795
-1
23.0
-1
947
-1

3 000
e
15.0
e
117
e

30 982
+3
23.4
+3
187
+3
53 729
b
27.3
b
310
b
4 602
+2, b
35.4
+2, b
238
+2, b
4 520
-1
41.5
-1
229
-1
a
am 294
g
26.9
g
844
g
244
-3, b, g
40.6
-3, b, g
673
-3, b, g
744
e, g
20.7
e, g
56
e, g

ople's Rep. of Korea
R of China 12 611 1 861 20 634
-1
2 984
-1
92 817
-1
446
-1
35 564
-2, b, g
30.6
-2
162
-2, b, g
791 224 11.2 6 225 883 386 13.0 6 934
209 23.0
e
37
197
e, g
18.8
e, g
431
e, g
561
-2, e, g
21.6
-2, e, g
1 150
-2, e, g
17 790 35.8
+2
734 19 021
-1
37.7
-1
729
-1
4 725
g
85.5
h
100
g

7 203 54.0 89 10 690
-2
52.0
-2
125
-2
ea 189 888 11.6 4 045 289 098
b
14.9
b
6 028
b
21 531 25.6 5 225 31 657 27.4 7 059
29 850
+1
45.6
+1
463
+1
34 084
-2
50.3
-2
517
-2

41 117 42.8 508

s
erated States of )
19
+1, g
15.8
+1, g
1 925
+1, e, g

25 486
+1
39.3
-1
5 635
-1
29 700 7 084

nea

s

497
-n/+n = data refer to n years before or after reference year; a = university graduates instead of researchers; b = break in series with previous year for which data are show;
e = estimation; g = underestimated or partial data; h = overestimated or based on overestimated data
Note: The year for the share of female researchers may not be the same as the year for total researchers for some countries.
Source: UNESCO Institute for Statistics A
n
n
e
x
498
Table 5: Scientic publications by country, 20002008
Country/Territory Scientic publications
2000 2001 2002 2003 2004 2005 2006 2007 2008
North America
Canada 29 813 29 211 30 310 32 813 34 574 37 844 40 343 41 179 43 539
United States of America 224 643 223 085 226 894 237 139 247 301 256 956 264 079 267 488 272 879
Latin America
Argentina 4 297 4 394 4 719 4 613 4 755 4 959 5 317 5 630 6 197
Belize 2 4 5 8 6 12 12 6 6
Bolivia 59 76 85 107 105 118 120 175 175
Brazil 10 521 11 201 12 573 13 331 15 436 16 503 18 473 22 289 26 482
Chile 1 817 1 990 2 271 2 484 2 600 2 847 3 042 3 335 3 646
Colombia 627 602 698 682 767 834 1 005 1 265 1 856
Costa Rica 192 253 235 253 276 292 283 306 375
Ecuador 115 96 135 151 149 192 188 241 266
El Salvador 11 11 12 6 20 19 14 16 17
Guatemala 32 49 46 43 53 57 50 61 55
Guyana 10 12 13 7 8 20 11 21 17
Honduras 19 17 20 25 18 25 28 23 22
Mexico 4 610 4 966 5 239 5 798 6 409 6 742 6 860 7 697 8 262
Nicaragua 25 18 14 23 26 37 50 35 50
Panama 78 121 120 129 154 145 178 203 235
Paraguay 24 24 23 26 38 28 29 37 34
Peru 179 222 220 302 279 317 365 439 453
Suriname 4 7 6 7 10 12 6 6 7
Uruguay 311 307 317 353 386 416 419 447 559
Venezuela 976 974 1 051 1 083 980 1 081 1 109 1 097 1 263
Caribbean
Antigua and Barbuda 0 2 2 3 0 5 4 6 8
Bahamas 6 6 6 3 6 7 9 16 9
Barbados 31 37 30 45 55 42 38 39 50
Cuba 610 674 583 669 617 652 709 708 775
Dominica 1 5 1 3 3 4 5 5 2
Dominican Republic 35 20 14 17 23 18 18 24 35
Grenada 4 2 2 13 6 7 23 44 53
Haiti 11 7 11 11 8 12 21 11 20
Jamaica 106 142 138 126 143 130 124 132 160
Saint Kitts and Nevis 4 2 3 4 1 3 6 5 8
Saint Lucia 2 3 4 1 0 2 1 2 1
Saint Vincent and the Grenadines 2 1 1 0 1 1 2 1 0
Trinidad and Tobago 94 110 111 111 113 136 106 134 127
European Union
Austria 6 915 7 370 7 460 7 925 8 233 8 439 8 607 9 218 9 656
Belgium 9 436 9 706 10 217 10 918 11 370 12 157 12 357 13 087 13 773
Bulgaria 1 519 1 450 1 528 1 512 1 602 1 742 1 682 2 215 2 227
Cyprus 152 149 186 169 223 250 286 320 370
Czech Republic 4 176 4 399 4 700 5 036 5 549 5 663 6 390 6 980 7 565
Denmark 7 445 7 536 7 469 7 856 8 145 8 435 8 761 9 011 9 316
Estonia 519 566 543 582 662 724 758 896 918
Finland 7 007 7 128 7 161 7 319 7 612 7 689 8 152 8 161 8 328
France 47 068 46 717 47 219 48 341 49 132 51 447 53 444 53 757 57 133
Germany 64 745 64 675 65 500 66 319 68 599 71 709 73 319 74 481 76 368
Greece 4 808 5 170 5 588 5 944 6 723 7 337 8 429 8 998 9 296
Hungary 4 103 4 129 4 140 4 458 4 352 4 765 4 919 4 921 5 399
Ireland 2 431 2 493 2 656 2 852 3 325 3 750 4 147 4 356 4 824
Italy 31 020 32 246 33 221 35 867 37 615 39 293 41 247 43 474 45 273
Latvia 323 339 349 309 336 306 293 357 408
Lithuania 466 501 602 650 806 864 1 098 1 635 1 672
Luxembourg 93 99 103 107 157 166 192 211 302
499
2000 2001 2002 2003 2004 2005 2006 2007 2008
Malta 28 32 41 57 40 60 52 67 98
Netherlands 17 383 17 250 18 037 18 880 19 757 21 182 21 783 22 128 22 945
Poland 9 890 10 913 11 340 12 591 13 702 13 615 14 795 15 850 17 916
Portugal 3 117 3 450 3 847 4 318 4 907 5 123 6 336 6 056 7 106
Romania 1 918 1 934 2 127 2 166 2 290 2 492 2 856 3 865 4 975
Slovakia 1 799 1 838 1 840 1 841 2 091 1 898 2 206 2 433 2 632
Slovenia 1 550 1 497 1 609 1 778 1 735 1 996 2 065 2 359 2 766
Spain 21 537 22 663 24 105 25 154 27 045 29 108 31 446 33 498 35 739
Sweden 14 242 14 568 14 686 14 593 15 130 15 719 16 094 16 244 16 068
United Kingdom 62 478 60 738 61 073 62 645 64 646 66 390 69 047 71 001 71 302
Southeast Europe
Albania 30 26 35 33 28 35 24 39 52
Bosnia and Herzegovina 24 42 35 52 51 90 89 249 287
Croatia 1 151 1 155 1 254 1 352 1 481 1 596 1 672 2 040 2 348
Montenegro 0 0 0 0 0 1 7 61 93
Republic of Moldova 173 156 160 199 162 211 219 180 223
Serbia 1 041 988 1 003 1 160 1 397 1 604 1 755 2 264 2 729
FYR Macedonia 123 132 104 100 111 105 124 171 197
Other Europe
Andorra 1 3 3 2 1 3 8 8 1
Belarus 1 079 954 975 980 927 961 931 908 1 021
Iceland 266 318 328 363 374 402 428 467 531
Liechtenstein 27 13 12 26 26 30 35 36 44
Monaco 32 45 42 52 62 61 58 55 56
Norway 4 462 4 702 4 592 4 812 5 263 5 782 6 358 6 619 6 958
Russian Federation 26 939 25 168 25 493 24 930 24 774 24 365 23 730 25 266 27 083
San Marino 1 0 0 0 1 1 1 4 3
Switzerland 13 583 13 065 13 403 14 300 15 311 15 777 17 083 17 535 18 156
Turkey 5 159 6 351 8 608 10 182 12 764 13 573 14 460 16 863 17 787
Ukraine 4 137 4 173 3 990 3 807 3 868 3 967 3 900 4 131 4 979
SubSaharan Africa
Angola 12 13 11 5 9 17 13 15 12
Benin 64 52 70 66 86 84 113 126 153
Botswana 92 82 97 101 105 106 133 141 138
Burkina Faso 64 80 87 110 117 105 149 137 179
Burundi 4 7 2 11 6 7 5 14 6
Cameroon 172 180 227 261 282 293 386 405 463
Cape Verde 0 1 0 3 1 1 6 1 3
Central African Republic 13 11 10 12 16 20 19 19 16
Chad 6 9 11 12 7 21 24 11 12
Comoros 1 1 1 2 3 4 1 6 3
Congo 26 20 37 36 41 48 75 76 61
Cte d'Ivoire 129 112 111 140 119 106 122 151 171
Democratic Rep. of the Congo 23 10 11 16 14 21 12 24 30
Equatorial Guinea 1 3 2 4 4 1 2 2 1
Eritrea 11 18 22 16 18 23 29 21 14
Ethiopia 208 191 239 246 267 259 275 362 364
Gabon 45 56 56 57 56 57 70 70 76
Gambia 53 66 59 67 68 65 86 64 77
Ghana 153 143 158 159 172 195 214 255 267
Guinea 5 19 13 11 12 13 27 21 14
Guinea Bissau 11 11 21 19 19 19 15 25 16
Kenya 465 471 507 558 541 533 642 699 763
Lesotho 5 5 5 4 3 3 11 7 11
Liberia 0 3 5 1 3 4 3 0 6
A
n
n
e
x
Table 5: Scientic publications by country, 20002008
500
2000 2001 2002 2003 2004 2005 2006 2007 2008
Madagascar 69 70 51 96 80 104 131 146 141
Malawi 103 96 105 107 103 106 121 155 161
Mali 30 46 52 52 67 68 95 74 88
Mauritius 38 43 53 33 44 42 46 36 39
Mozambique 24 40 27 31 38 51 57 72 76
Namibia 24 58 41 46 45 76 73 61 59
Niger 39 37 40 44 30 65 60 63 77
Nigeria 723 623 694 681 737 940 1 097 1 537 1 869
Rwanda 5 8 7 5 14 11 23 32 23
Sao Tome and Principe 2 1 3 5 1 0 2 1 1
Senegal 165 152 148 197 178 201 180 210 211
Seychelles 13 6 7 13 6 11 20 24 19
Sierra Leone 7 11 5 3 4 4 4 7 10
Somalia 1 0 1 0 1 0 2 0 1
South Africa 3 241 3 435 3 538 3 546 3 782 4 026 4 539 4 885 5 248
Swaziland 5 11 11 14 6 19 8 13 19
Togo 32 22 17 33 36 32 35 36 43
Uganda 142 146 133 174 231 221 271 377 354
United Republic of Tanzania 201 190 207 252 256 298 359 395 376
Zambia 61 77 64 68 71 91 111 122 121
Zimbabwe 188 184 199 199 153 159 170 204 194
Arab States
Algeria 410 445 483 582 703 770 948 1 157 1 289
Bahrain 49 59 43 68 83 91 112 116 98
Djibouti 0 1 1 1 3 2 2 3 2
Egypt 2 304 2 407 2 569 2 850 2 809 2 828 3 139 3 506 3 963
Iraq 55 73 63 81 52 84 122 167 184
Jordan 459 454 511 549 594 624 646 792 928
Kuwait 469 481 448 449 492 494 518 545 607
Lebanon 256 312 312 348 385 453 531 520 591
Libyan Arab Jamahiriya 41 48 42 65 56 67 90 96 100
Mauritania 16 13 14 20 11 25 20 19 13
Morocco 1 041 1 082 1 071 991 969 970 977 1 064 1 167
Oman 185 210 237 262 251 268 269 309 315
Palestinian Autonomous Territories 0 1 0 0 0 0 0 0 0
Qatar 38 47 47 69 106 106 121 159 195
Saudi Arabia 1 321 1 252 1 329 1 340 1 336 1 277 1 348 1 483 1 745
Sudan 76 69 92 98 100 115 108 142 146
Syrian Arab Republic 106 117 102 129 143 160 149 186 198
Tunisia 540 667 747 876 933 1 199 1 485 1 727 2 026
United Arab Emirates 270 302 327 400 441 506 562 595 660
Yemen 35 40 31 26 41 41 51 53 56
Armenia 313 317 363 389 400 377 395 414 544
Azerbaijan 160 137 183 227 210 234 233 224 292
Georgia 246 224 271 231 290 300 355 319 328
Israel 8 880 8 752 9 136 9 498 9 624 9 619 10 077 9 962 10 069
Kazakhstan 184 190 211 244 230 189 206 253 218
Kyrgyzstan 36 47 38 24 30 43 46 50 54
Mongolia 40 41 43 57 62 65 69 94 115
Tajikistan 29 34 44 29 31 32 30 44 45
Turkmenistan 13 7 10 6 3 4 6 8 3
Uzbekistan 329 289 299 292 302 291 282 331 301
501
2000 2001 2002 2003 2004 2005 2006 2007 2008
South Asia
Afghanistan 0 0 0 3 8 7 7 6 16
Bangladesh 335 377 385 430 446 474 554 614 729
Bhutan 3 2 7 5 11 8 22 5 6
India 16 650 17 635 18 911 20 772 22 375 24 422 27 418 32 041 36 261
Iran (Islamic Republic of ) 1 296 1 571 2 102 2 869 3 534 4 610 6 000 8 770 10 894
Maldives 1 2 1 2 0 1 3 5 3
Nepal 103 113 117 134 148 148 196 193 223
Pakistan 553 535 703 808 885 1 104 1 525 2 303 2 994
Sri Lanka 158 159 185 256 226 266 265 305 400
Southeast Asia
Brunei Darussalam 31 26 25 32 34 27 26 35 40
Cambodia 14 14 20 23 41 50 64 80 75
China 28 916 33 996 38 206 46 428 56 815 69 175 83 419 92 380 104 968
Democratic People's Rep. of Korea 1 0 4 5 15 11 10 21 35
Hong Kong SAR of China 334 52 1 0 0 0 0 0 0
Indonesia 429 449 421 428 471 526 597 582 650
Japan 72 681 72 213 73 429 75 779 76 156 75 608 76 039 74 468 74 618
Lao PDR 9 12 16 24 27 34 49 44 52
Macao, China 9 7 9 11 14 0 0 0 0
Malaysia 805 906 961 1 123 1 308 1 520 1 757 2 151 2 712
Myanmar 19 21 12 21 30 38 42 40 37
Philippines 353 317 398 418 427 467 464 535 624
Republic of Korea 13 374 15 507 17 072 20 076 23 571 25 576 27 828 28 305 32 781
Singapore 3 465 3 781 4 135 4 621 5 434 5 971 6 300 6 249 6 813
Thailand 1 182 1 344 1 636 1 940 2 116 2 409 3 000 3 582 4 134
TimorLeste 0 0 0 0 0 0 0 0 0
Viet Nam 315 353 343 458 434 540 617 698 875
Oceania
Australia 18 945 19 155 19 645 20 920 22 456 23 376 25 449 26 619 28 313
Cook Islands 2 0 1 0 0 1 1 3 0
Fiji 23 23 33 33 41 58 62 60 59
Kiribati 0 0 0 0 0 0 1 2 0
Marshall Islands 1 0 2 3 4 1 5 0 1
Micronesia (Federated States of ) 5 1 0 6 6 4 5 6 3
Nauru 0 0 0 0 0 0 0 0 0
New Zealand 3 762 3 772 3 819 3 935 4 260 4 590 4 739 4 974 5 236
Niue 0 0 0 0 0 0 0 1 0
Palau 2 7 2 3 6 7 8 10 3
Papua New Guinea 68 72 65 62 53 43 50 81 79
Samoa 2 2 7 1 5 3 6 1 0
Solomon Islands 11 4 4 9 5 5 7 8 4
Tonga 2 2 1 5 4 0 3 4 4
Tuvalu 1 0 0 1 0 0 1 0 0
Vanuatu 7 3 5 8 9 12 9 6 9
Note: The term publications encompasses articles, notes and reviews.
Source: Thomson Reuters (Scientic) Inc. Web of Science (Science Citation Index Expanded), compiled
for UNESCO by the Canadian Observatoire des sciences et des technologies, May 2010
A
n
n
e
x
502
Table 6: Publications by major eld of science, 2002 and 2008
Country/Territory Biology Biomedical research Chemistry Clinical medicine
2002 2008 2002 2008 2002 2008 2002 2008
North America
Canada 3 351 4 571 4 779 6 018 2 306 3 022 9 761 14 683
United States of America 17 349 21 234 41 135 45 125 17 334 18 984 81 871 103 835
Latin America
Argentina 826 1 287 664 883 536 669 1 078 1 316
Belize 3 3 0 0 0 0 1 2
Bolivia 33 75 6 19 2 8 28 42
Brazil 1 572 5 526 1 583 3 467 1 656 2 390 3 243 8 799
Chile 322 633 249 430 271 303 494 778
Colombia 141 329 79 129 83 168 184 543
Costa Rica 108 175 28 54 21 11 44 89
Ecuador 34 82 14 32 3 3 37 50
El Salvador 2 3 2 5 0 0 5 4
Guatemala 13 14 13 8 0 0 17 28
Guyana 7 6 0 0 3 4 1 6
Honduras 6 5 4 1 0 0 8 14
Mexico 874 1 669 558 911 474 716 994 1 749
Nicaragua 2 8 0 8 0 1 7 15
Panama 73 140 27 47 0 4 10 26
Paraguay 5 8 3 5 2 0 12 20
Peru 50 102 25 53 4 9 87 189
Suriname 3 3 0 0 0 0 3 3
Uruguay 71 125 60 105 22 55 78 148
Venezuela 125 241 142 162 150 136 289 334
Caribbean
Antigua and Barbuda 0 1 0 2 0 0 2 5
Bahamas 0 5 0 2 0 0 4 2
Barbados 6 8 3 11 1 3 7 18
Cuba 129 156 65 81 71 96 151 214
Dominica 0 1 0 0 0 0 1 0
Dominican Republic 4 12 2 1 0 1 6 17
Grenada 0 2 0 21 0 0 1 30
Haiti 0 0 1 3 0 2 9 13
Jamaica 18 23 13 10 16 10 71 92
Saint Kitts and Nevis 0 0 0 0 0 0 2 8
Saint Lucia 2 0 0 1 0 0 2 0
Saint Vincent and the Grenadines 0 0 0 0 0 0 0 0
Trinidad and Tobago 28 25 8 11 9 5 50 54
European Union
Austria 490 682 982 1 273 647 765 2 955 3 515
Belgium 809 1 278 1 441 1 740 1 079 1 197 3 512 5 030
Bulgaria 88 477 152 209 336 409 183 292
Cyprus 12 21 11 28 22 34 34 55
Czech Republic 519 1 040 632 986 871 1 102 726 1 473
Denmark 881 1 015 1 302 1 569 504 558 2 612 3 674
Estonia 62 153 70 135 56 76 101 174
Finland 755 871 1 057 1 189 562 591 2 562 2 835
France 2 975 3 865 6 563 7 169 5 401 6 090 13 069 16 034
Germany 3 838 5 155 8 742 10 006 7 399 8 344 20 781 24 708
Greece 476 760 472 793 575 720 1 617 3 513
Hungary 319 743 574 712 741 715 1 030 1 385
Ireland 349 486 359 753 231 380 898 1 626
Italy 1 711 2 941 3 912 5 179 3 413 3 805 11 280 16 673
Latvia 18 28 36 32 82 65 38 59
Lithuania 33 146 65 94 99 123 67 301
Luxembourg 11 29 17 36 5 21 48 99
503
A
n
n
e
x
Earth and space Engineering and technology Mathematics Physics Total
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
2 620 3 877 3 763 5 971 1 102 1 763 2 628 3 634 30 310 43 539
15 206 19 819 23 939 28 572 6 724 9 356 23 336 25 954 226 894 272 879
407 631 362 487 118 229 728 695 4 719 6 197
1 1 0 0 0 0 0 0 5 6
12 23 2 3 0 0 2 5 85 175
657 1 028 1 259 2 209 398 708 2 205 2 355 12 573 26 482
440 650 163 346 114 208 218 298 2 271 3 646
36 67 62 345 19 56 94 219 698 1 856
14 20 10 10 2 7 8 9 235 375
21 41 5 5 0 2 21 51 135 266
2 4 1 0 0 0 0 1 12 17
2 3 1 1 0 0 0 1 46 55
2 0 0 1 0 0 0 0 13 17
0 0 1 1 0 0 1 1 20 22
484 739 610 996 219 322 1 026 1 160 5 239 8 262
5 17 0 0 0 0 0 1 14 50
8 18 2 0 0 0 0 0 120 235
0 0 1 1 0 0 0 0 23 34
31 62 4 20 2 6 17 12 220 453
0 1 0 0 0 0 0 0 6 7
19 34 17 34 14 18 36 40 317 559
40 58 137 162 51 63 117 107 1 051 1 263
0 0 0 0 0 0 0 0 2 8
1 0 1 0 0 0 0 0 6 9
1 3 4 3 3 1 5 3 30 50
18 33 57 90 14 26 78 79 583 775
0 0 0 0 0 0 0 1 1 2
1 2 1 2 0 0 0 0 14 35
1 0 0 0 0 0 0 0 2 53
1 1 0 1 0 0 0 0 11 20
17 12 2 9 1 4 0 0 138 160
1 0 0 0 0 0 0 0 3 8
0 0 0 0 0 0 0 0 4 1
1 0 0 0 0 0 0 0 1 0
4 19 9 12 1 1 2 0 111 127
420 748 764 1 070 241 444 961 1 159 7 460 9 656
605 951 1 040 1 483 310 531 1 421 1 563 10 217 13 773
100 146 236 264 74 97 359 333 1 528 2 227
7 21 43 109 12 41 45 61 186 370
262 510 542 969 214 413 934 1 072 4 700 7 565
644 757 526 724 149 180 851 839 7 469 9 316
78 125 69 103 15 27 92 125 543 918
501 709 808 955 157 226 759 952 7 161 8 328
3 457 4 899 5 260 7 123 2 399 3 113 8 095 8 840 47 219 57 133
4 256 5 978 7 059 7 746 1 903 2 725 11 522 11 706 65 500 76 368
441 639 1 010 1 556 220 359 777 956 5 588 9 296
169 262 352 462 241 373 714 747 4 140 5 399
136 317 314 528 86 167 283 567 2 656 4 824
2 268 3 721 3 663 4 996 1 342 2 002 5 632 5 956 33 221 45 273
6 17 70 95 3 18 96 94 349 408
42 88 122 545 38 85 136 290 602 1 672
6 19 11 53 0 20 5 25 103 302
504
2002 2008 2002 2008 2002 2008 2002 2008
Malta 3 15 3 8 4 1 16 37
Netherlands 1 369 1 654 2 729 3 273 1 421 1 378 7 127 10 374
Poland 775 1 627 1 086 1 734 2 296 2 690 1 855 3 543
Portugal 427 908 497 874 607 1 067 564 1 279
Romania 32 115 67 332 518 661 91 451
Slovakia 267 314 258 338 288 346 220 417
Slovenia 87 231 175 242 252 341 281 692
Spain 2 576 4 306 2 956 4 293 3 918 4 510 6 423 9 744
Sweden 1 124 1 268 2 407 2 453 1 161 1 143 5 492 6 263
United Kingdom 4 515 4 975 9 586 10 789 5 469 5 352 22 007 26 754
Southeast Europe
Albania 3 12 1 1 10 0 8 14
Bosnia and Herzegovina 3 25 2 14 3 3 13 170
Croatia 121 413 153 229 191 254 373 648
Montenegro 0 12 0 7 0 1 0 17
Republic of Moldova 8 7 5 10 40 87 5 7
Serbia 65 199 73 283 191 299 205 791
FYR Macedonia 7 16 10 26 32 35 21 52
Other Europe
Andorra 0 0 0 0 0 0 2 1
Belarus 29 26 89 61 226 253 51 60
Iceland 57 70 34 66 11 18 121 181
Liechtenstein 1 0 0 3 2 7 2 15
Monaco 7 10 3 4 4 1 13 21
Norway 715 917 596 837 253 364 1 602 2 499
Russian Federation 1 050 1 317 1 851 1 835 5 240 5 308 1 599 1 914
San Marino 0 0 0 0 0 0 0 1
Switzerland 757 1 305 2 147 2 475 1 359 1 640 4 646 6 491
Turkey 546 1 435 532 1 155 844 1 639 4 243 7 978
Ukraine 75 113 151 175 712 820 129 168
Sub-Saharan Africa
Angola 2 1 1 1 2 0 3 9
Benin 30 70 5 21 1 2 19 39
Botswana 30 29 8 17 14 20 15 24
Burkina Faso 15 57 15 26 3 5 49 74
Burundi 0 1 0 0 0 1 1 3
Cameroon 71 119 25 56 11 32 74 109
Cape Verde 0 1 0 1 0 0 0 0
Central African Republic 1 1 1 4 0 0 8 9
Chad 1 3 3 0 0 0 4 6
Comoros 1 0 0 0 0 0 0 3
Congo 9 21 0 5 1 2 24 27
Cte d'Ivoire 30 36 12 20 10 15 56 73
Democratic Rep. of the Congo 3 5 2 7 1 0 4 16
Equatorial Guinea 1 0 0 0 0 0 1 1
Eritrea 7 4 2 3 0 0 4 4
Ethiopia 70 108 18 44 9 11 114 125
Gabon 8 17 14 18 0 0 31 34
Gambia 2 1 11 23 0 0 45 52
Ghana 49 74 14 48 3 6 73 95
Guinea 1 6 1 1 0 1 8 6
GuineaBissau 1 0 1 3 0 0 19 13
Kenya 232 283 53 138 7 8 170 288
Lesotho 2 1 0 2 1 2 1 2
Liberia 1 1 0 2 0 0 4 1
Madagascar 22 57 12 20 2 3 12 41
505
A
n
n
e
x
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
7 10 5 13 1 4 2 10 41 98
1 346 1 764 1 687 2 051 360 507 1 998 1 944 18 037 22 945
615 1 400 1 476 2 938 512 889 2 725 3 095 11 340 17 916
243 599 738 1 147 161 316 610 916 3 847 7 106
67 268 517 1 263 220 555 615 1 330 2 127 4 975
94 198 237 415 71 133 405 471 1 840 2 632
42 124 401 588 112 158 259 390 1 609 2 766
1 481 2 811 2 716 4 428 1 018 1 661 3 017 3 986 24 105 35 739
859 1 228 1 496 1 614 275 404 1 872 1 695 14 686 16 068
4 678 6 079 6 715 7 612 1 383 2 197 6 720 7 544 61 073 71 302
7 21 4 2 2 1 0 1 35 52
0 9 3 41 1 9 10 16 35 287
52 129 143 361 46 112 175 202 1 254 2 348
0 4 0 33 0 2 0 17 0 93
0 3 19 20 3 8 80 81 160 223
35 109 174 479 69 208 191 361 1 003 2 729
1 15 6 18 8 9 19 26 104 197
1 0 0 0 0 0 0 0 3 1
14 24 157 184 62 85 347 328 975 1 021
60 113 17 26 6 22 22 35 328 531
0 1 6 13 0 0 1 5 12 44
14 20 0 0 0 0 1 0 42 56
589 957 416 688 111 212 310 484 4 592 6 958
2 468 2 981 3 144 3 329 1 251 1 584 8 890 8 815 25 493 27 083
0 0 0 2 0 0 0 0 0 3
870 1 591 1 116 1 816 270 423 2 238 2 415 13 403 18 156
450 1 025 1 223 2 910 162 559 608 1 086 8 608 17 787
217 260 860 1 339 167 401 1 679 1 703 3 990 4 979
1 0 2 1 0 0 0 0 11 12
2 9 5 0 3 4 5 8 70 153
10 25 4 10 8 5 8 8 97 138
1 8 1 3 2 2 1 4 87 179
0 1 0 0 0 0 1 0 2 6
13 45 7 26 4 19 22 57 227 463
0 0 0 1 0 0 0 0 0 3
0 2 0 0 0 0 0 0 10 16
3 3 0 0 0 0 0 0 11 12
0 0 0 0 0 0 0 0 1 3
0 3 1 0 0 3 2 0 37 61
1 10 0 3 1 10 1 4 111 171
0 2 1 0 0 0 0 0 11 30
0 0 0 0 0 0 0 0 2 1
8 1 0 0 0 1 1 1 22 14
22 45 2 7 0 9 4 15 239 364
2 3 0 1 1 1 0 2 56 76
1 0 0 1 0 0 0 0 59 77
11 31 6 8 0 3 2 2 158 267
3 0 0 0 0 0 0 0 13 14
0 0 0 0 0 0 0 0 21 16
25 33 13 9 1 1 6 3 507 763
0 2 0 1 0 0 1 1 5 11
0 0 0 1 0 0 0 1 5 6
1 9 0 1 0 7 2 3 51 141
2002 2008 2002 2008 2002 2008 2002 2008
SubSaharan Africa continued
Malawi 17 27 10 28 0 0 70 94
Mali 16 36 7 16 0 1 26 30
Mauritius 18 10 2 4 5 5 4 5
Mozambique 7 11 3 9 0 1 14 42
Namibia 21 22 4 2 0 0 5 3
Niger 21 24 3 11 0 0 11 20
Nigeria 243 367 80 492 36 52 204 701
Rwanda 0 4 0 2 1 0 6 15
Sao Tome and Principe 1 1 1 0 0 0 1 0
Senegal 36 36 19 35 5 13 65 79
Seychelles 4 11 0 3 0 0 3 5
Sierra Leone 4 1 0 5 0 0 1 2
Somalia 0 0 0 1 0 0 1 0
South Africa 828 1 163 481 690 307 410 841 1 453
Swaziland 2 8 0 2 1 3 2 5
Togo 4 13 2 2 1 1 6 20
Uganda 30 69 21 43 1 3 76 218
United Rep. of Tanzania 49 98 26 41 3 1 107 193
Zambia 13 16 5 10 0 0 39 88
Zimbabwe 65 59 26 27 1 1 72 74
Arab States
Algeria 32 78 12 51 103 206 21 74
Bahrain 3 8 2 8 6 3 17 38
Djibouti 0 1 0 0 0 1 1 0
Egypt 192 259 146 295 672 861 478 992
Iraq 7 12 0 10 11 24 24 73
Jordan 46 100 39 51 61 126 130 211
Kuwait 15 22 63 55 37 57 165 259
Lebanon 16 34 30 57 16 37 150 285
Libyan Arab Jamahiriya 3 6 5 3 7 19 12 22
Mauritania 2 4 1 1 2 6 5 0
Morocco 99 107 49 62 220 155 232 292
Oman 22 30 10 16 21 24 72 79
Palestinian Autonomous Territories 0 0 0 0 0 0 0 0
Qatar 3 3 2 19 4 10 18 70
Saudi Arabia 43 44 62 134 137 157 627 723
Sudan 19 25 7 22 4 5 47 73
Syrian Arab Republic 30 75 4 19 13 14 16 39
Tunisia 63 283 63 230 115 196 160 512
United Arab Emirates 14 32 33 91 25 29 97 213
Yemen 4 3 3 3 1 6 13 21
Armenia 9 6 23 26 32 66 20 44
Azerbaijan 2 4 5 4 43 81 10 11
Georgia 3 12 14 22 31 36 32 26
Israel 643 662 1 264 1 411 694 706 3 134 3 357
Kazakhstan 9 16 14 15 69 63 11 10
Kyrgyzstan 3 3 1 5 3 3 3 9
Mongolia 2 24 3 12 7 13 12 20
Tajikistan 3 1 1 3 8 14 2 3
Turkmenistan 2 0 0 0 1 0 2 0
Uzbekistan 12 18 8 21 92 61 15 22
506
507
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
5 8 2 3 0 0 1 1 105 161
2 4 1 0 0 0 0 1 52 88
14 4 6 3 3 6 1 2 53 39
3 13 0 0 0 0 0 0 27 76
7 28 0 1 0 0 4 3 41 59
2 16 1 3 0 2 2 1 40 77
50 96 50 109 12 26 19 26 694 1 869
0 2 0 0 0 0 0 0 7 23
0 0 0 0 0 0 0 0 3 1
8 19 7 8 2 12 6 9 148 211
0 0 0 0 0 0 0 0 7 19
0 2 0 0 0 0 0 0 5 10
0 0 0 0 0 0 0 0 1 1
434 520 294 467 127 227 226 318 3 538 5 248
1 1 1 0 2 0 2 0 11 19
2 2 0 3 1 1 1 1 17 43
2 11 1 6 1 3 1 1 133 354
14 30 4 11 0 0 4 2 207 376
3 4 1 1 0 0 3 2 64 121
27 23 5 3 1 4 2 3 199 194
S
25 75 117 415 37 131 136 259 483 1 289
3 4 6 16 3 5 3 16 43 98
0 0 0 0 0 0 0 0 1 2
111 205 510 714 121 167 339 470 2 569 3 963
0 9 15 27 1 5 5 24 63 184
34 75 115 222 20 64 66 79 511 928
14 27 114 137 25 30 15 20 448 607
19 33 38 86 9 19 34 40 312 591
5 9 6 31 0 2 4 8 42 100
1 1 1 0 2 1 0 0 14 13
93 133 111 151 85 127 182 140 1 071 1 167
16 35 60 75 17 19 19 37 237 315
0 0 0 0 0 0 0 0 0 0
2 5 14 45 1 10 3 33 47 195
28 63 280 329 52 151 100 144 1 329 1 745
1 5 6 10 0 1 8 5 92 146
9 13 14 20 3 5 13 13 102 198
30 106 143 377 80 138 93 184 747 2 026
20 46 88 175 28 30 22 44 327 660
1 5 6 8 2 2 1 8 31 56
57 67 19 33 24 51 179 251 363 544
10 13 20 34 19 36 74 109 183 292
34 31 20 29 42 70 95 102 271 328
372 506 1 011 1 143 524 754 1 494 1 530 9 136 10 069
17 20 30 38 9 18 52 38 211 218
10 17 1 6 0 2 17 9 38 54
10 23 5 5 1 2 3 16 43 115
7 5 9 3 11 4 3 12 44 45
1 0 1 1 0 1 3 1 10 3
12 16 30 28 20 22 110 113 299 301
A
n
n
e
x
2002 2008 2002 2008 2002 2008 2002 2008
South Asia
Afghanistan 0 0 0 3 0 0 0 12
Bangladesh 66 136 41 70 38 64 93 210
Bhutan 1 4 0 0 0 0 1 0
India 1 579 3 339 1 901 3 821 4 552 7 163 3 367 7 514
Iran (Islamic Republic of ) 150 772 129 681 645 2 198 369 2 626
Maldives 1 0 0 0 0 0 0 0
Nepal 26 29 11 15 2 3 54 137
Pakistan 135 628 60 230 179 542 131 685
Sri Lanka 48 76 23 73 11 21 57 135
Southeast Asia
Brunei Darussalam 3 7 1 2 3 1 1 19
Cambodia 3 11 2 14 0 3 14 31
China 1 716 5 672 2 682 9 098 9 499 23 032 3 863 13 595
Democratic People's Rep. of Korea 0 2 0 2 0 4 0 6
Hong Kong SAR of China 0 0 0 0 0 0 0 0
Indonesia 106 154 74 83 25 46 91 148
Japan 4 682 5 479 9 723 9 771 9 908 9 809 21 426 21 729
Lao PDR 7 9 0 9 0 2 7 27
Macao China 1 0 0 0 1 0 0 0
Malaysia 145 293 82 300 240 588 148 535
Myanmar 1 11 0 4 0 1 8 15
Philippines 206 227 40 100 9 23 72 164
Republic of Korea 617 1 755 1 893 3 824 2 545 4 006 3 017 7 610
Singapore 133 173 346 811 426 756 729 1 427
Thailand 261 591 202 730 216 491 580 1 227
TimorLeste 0 0 0 0 0 0 0 0
Viet Nam 62 123 29 93 14 39 83 173
Oceania
Australia 3 092 3 944 2 722 3 750 1 314 1 780 6 483 10 119
Cook Islands 0 0 0 0 0 0 1 0
Fiji 13 20 3 4 3 8 4 8
Kiribati 0 0 0 0 0 0 0 0
Marshall Islands 1 1 0 0 0 0 0 0
Micronesia (Federated States of ) 0 2 0 1 0 0 0 0
Nauru 0 0 0 0 0 0 0 0
New Zealand 936 1 167 431 676 258 293 1 125 1 698
Niue 0 0 0 0 0 0 0 0
Palau 1 1 0 0 0 0 1 0
Papua New Guinea 20 20 9 19 1 0 27 38
Samoa 3 0 0 0 0 0 3 0
Solomon Islands 1 0 0 1 0 0 2 3
Tonga 1 0 0 0 0 0 0 4
Tuvalu 0 0 0 0 0 0 0 0
Vanuatu 2 6 0 0 0 0 3 2
508
Source: Thomson Reuters (Scientic) Inc. Web of Science (Science Citation Index Expanded), compiled for UNESCO by the Canadian Observatoire des sciences et des technologies, May 2010
509
2002 2008 2002 2008 2002 2008 2002 2008 2002 2008
0 1 0 0 0 0 0 0 0 16
28 64 60 100 13 9 46 76 385 729
3 1 0 1 0 0 2 0 7 6
1 160 2 306 2 980 6 108 506 974 2 866 5 036 18 911 36 261
57 433 390 2 484 97 554 265 1 146 2 102 10 894
0 2 0 0 0 0 0 1 1 3
17 33 2 4 1 0 4 2 117 223
38 102 61 293 12 141 87 373 703 2 994
11 48 12 31 1 3 22 13 185 400
6 3 4 2 7 4 0 2 25 40
1 15 0 1 0 0 0 0 20 75
2 036 5 746 8 734 22 800 1 850 5 384 7 826 19 641 38 206 104 968
0 3 2 13 0 2 2 3 4 35
0 0 0 0 1 0 0 0 1 0
45 90 46 78 8 14 26 37 421 650
2 505 3 552 10 633 10 194 1 300 1 661 13 252 12 423 73 429 74 618
1 2 0 1 0 0 1 2 16 52
1 0 4 0 2 0 0 0 9 0
58 121 189 594 14 58 85 223 961 2 712
2 6 0 0 0 0 1 0 12 37
14 53 15 17 14 11 28 29 398 624
539 1 160 4 526 8 004 497 895 3 438 5 527 17 072 32 781
80 136 1 421 1 953 214 227 786 1 330 4 135 6 813
80 178 229 607 18 65 50 245 1 636 4 134
0 0 0 0 0 0 0 0 0 0
20 62 20 77 50 121 65 187 343 875
1 731 2 789 2 199 3 021 578 824 1 526 2 086 19 645 28 313
0 0 0 0 0 0 0 0 1 0
4 6 4 10 2 3 0 0 33 59
0 0 0 0 0 0 0 0 0 0
1 0 0 0 0 0 0 0 2 1
0 0 0 0 0 0 0 0 0 3
0 0 0 0 0 0 0 0 0 0
434 567 310 404 146 168 179 263 3 819 5 236
0 0 0 0 0 0 0 0 0 0
0 2 0 0 0 0 0 0 2 3
6 2 1 0 0 0 1 0 65 79
1 0 0 0 0 0 0 0 7 0
0 0 1 0 0 0 0 0 4 4
0 0 0 0 0 0 0 0 1 4
0 0 0 0 0 0 0 0 0 0
0 1 0 0 0 0 0 0 5 9
A
n
n
e
x
510
Table 7: Scientic publications in international collaboration, 20002008
2000 2001 2002 2003 2004 2005 2006 2007 2008
North America
Canada 10 821 11 240 12 144 13 338 14 617 16 165 17 492 18 446 20 030
United States of America 51 272 53 719 57 161 61 524 66 021 70 250 74 448 79 388 83 854
Latin America
Argentina 1 540 1 660 1 778 1 889 2 129 2 182 2 304 2 497 2 766
Belize 2 4 5 7 6 10 12 6 5
Bolivia 52 69 78 94 98 109 107 160 165
Brazil 3 555 3 631 4 141 4 180 4 770 4 986 5 487 5 998 6 837
Chile 888 1 026 1 175 1 332 1 393 1 604 1 758 1 965 2 058
Colombia 398 392 446 448 516 560 663 743 1 017
Costa Rica 126 147 160 186 170 221 204 234 278
Ecuador 82 66 99 114 120 160 147 198 229
El Salvador 9 5 7 6 17 15 14 14 16
Guatemala 27 44 34 37 45 48 41 56 50
Guyana 6 8 7 4 4 8 8 17 13
Honduras 16 14 18 22 18 25 27 20 21
Mexico 1 964 2 212 2 279 2 413 2 755 2 901 3 049 3 241 3 589
Nicaragua 21 16 14 21 24 37 49 35 48
Panama 67 95 105 108 134 127 161 179 214
Paraguay 21 22 18 25 30 25 28 30 30
Peru 147 179 174 260 231 271 318 374 398
Suriname 2 7 5 5 7 11 4 5 6
Uruguay 204 202 197 231 254 265 280 293 381
Venezuela 398 477 468 505 516 590 579 551 639
Caribbean
Antigua and Barbuda 0 1 0 3 0 5 4 5 5
Bahamas 3 4 5 2 6 6 5 11 9
Barbados 19 21 17 22 32 29 23 26 31
Cuba 312 371 309 384 369 388 437 462 506
Dominica 1 2 0 1 1 4 5 5 1
Dominican Republic 35 18 13 16 23 18 17 22 32
Grenada 4 1 1 11 4 6 23 43 53
Haiti 8 6 10 10 7 12 20 11 20
Jamaica 39 54 47 56 56 63 63 64 73
Saint Kitts and Nevis 2 2 3 3 1 2 6 5 8
Saint Lucia 2 3 2 1 0 2 1 2 1
Saint Vincent and the Grenadines 2 0 1 0 1 1 2 1 0
Trinidad and Tobago 38 52 50 50 59 55 49 70 76
European Union
Austria 3 197 3 576 3 662 3 939 4 330 4 633 4 802 5 315 5 850
Belgium 4 728 5 007 5 461 5 808 6 161 6 732 6 962 7 560 8 135
Bulgaria 736 786 833 871 969 1 002 1 048 1 211 1 152
Cyprus 106 97 132 111 151 180 209 239 261
Czech Republic 1 917 2 117 2 210 2 371 2 640 2 798 3 103 3 350 3 587
Denmark 3 648 3 747 3 805 3 948 4 228 4 541 4 855 5 161 5 478
Estonia 279 301 286 304 366 380 393 464 507
Finland 2 978 3 005 3 099 3 300 3 429 3 574 3 835 4 106 4 305
France 18 374 18 998 19 782 21 037 22 167 23 835 25 121 26 130 28 046
Germany 23 905 25 259 26 930 28 020 30 065 31 966 33 628 35 391 36 668
Greece 1 800 1 915 2 000 2 236 2 474 2 703 3 118 3 442 3 531
Hungary 2 097 2 107 2 146 2 339 2 351 2 519 2 491 2 677 2 712
Ireland 1 050 1 077 1 218 1 360 1 604 1 860 2 107 2 262 2 635
Italy 11 155 11 885 12 553 13 401 14 605 15 656 16 376 17 845 19 027
Latvia 171 190 181 183 207 198 203 192 237
Lithuania 267 281 292 303 363 392 453 514 528
Luxembourg 65 75 78 86 112 130 161 177 243
511
2000 2001 2002 2003 2004 2005 2006 2007 2008
Malta 11 20 18 17 23 45 42 43 48
Netherlands 7 666 7 792 8 322 9 000 9 632 10 285 11 059 11 523 12 207
Poland 3 962 4 316 4 477 4 908 5 413 5 386 5 843 5 676 5 854
Portugal 1 517 1 727 1 930 2 184 2 498 2 646 3 262 3 177 3 746
Romania 919 954 1 093 1 169 1 250 1 299 1 475 1 745 1 888
Slovakia 854 918 955 990 1 199 1 043 1 262 1 313 1 440
Slovenia 568 569 632 720 730 885 886 1 026 1 196
Spain 7 253 7 874 8 630 9 160 10 264 11 402 12 580 13 613 15 193
Sweden 6 379 6 711 7 048 7 106 7 495 7 880 8 394 9 023 9 114
United Kingdom 21 903 22 602 23 898 25 400 27 506 29 207 31 373 33 808 35 663
Southeast Europe
Albania 17 19 25 28 26 30 21 31 36
Bosnia and Herzegovina 14 31 28 39 41 80 68 115 124
Croatia 363 422 448 517 574 624 648 738 789
Montenegro 0 0 0 0 0 0 7 49 69
Republic of Moldova 100 112 121 151 129 155 171 131 151
Serbia 318 340 386 429 484 582 670 808 954
FYR Macedonia 62 67 53 50 68 69 77 87 123
Other Europe
Andorra 1 3 2 2 1 3 7 7 1
Belarus 430 445 465 466 445 481 466 468 486
Iceland 172 219 201 245 240 282 293 338 390
Liechtenstein 17 9 6 17 17 23 25 28 37
Monaco 28 33 29 31 47 49 47 48 47
Norway 1 986 2 240 2 277 2 497 2 833 3 034 3 374 3 710 3 962
Russian Federation 8 301 8 524 8 884 8 658 9 043 9 162 8 792 8 823 8 778
San Marino 0 0 0 0 1 0 1 2 2
Switzerland 6 832 6 802 7 487 7 996 8 794 9 099 10 129 10 871 11 600
Turkey 1 011 1 166 1 499 1 737 2 103 2 081 2 306 2 583 2 860
Ukraine 1 610 1 871 1 814 1 855 1 931 1 856 1 918 2 080 2 079
SubSaharan Africa
Angola 10 11 8 5 9 16 13 15 12
Benin 44 42 56 56 75 73 94 114 131
Botswana 35 29 58 40 53 75 84 97 96
Burkina Faso 44 54 66 102 110 98 141 128 165
Burundi 4 6 2 10 5 6 5 14 6
Cameroon 118 132 165 196 222 215 303 308 373
Cape Verde 0 1 0 3 1 1 6 1 3
Central African Republic 11 9 9 10 14 13 17 19 13
Chad 5 9 10 12 5 20 23 11 12
Comoros 1 1 1 2 2 2 0 5 3
Congo 20 13 27 30 33 38 67 68 55
Cte d'Ivoire 103 72 84 116 97 88 109 116 115
Democratic Rep. of the Congo 19 7 10 15 11 20 12 21 24
Equatorial Guinea 1 3 2 4 4 1 2 2 1
Eritrea 8 13 18 14 17 20 25 19 11
Ethiopia 110 108 132 165 177 181 219 269 251
Gabon 38 46 53 52 56 54 68 69 74
Gambia 42 58 56 65 63 62 75 57 74
Ghana 98 104 95 105 128 151 168 184 200
Guinea 5 11 12 10 11 12 24 20 14
GuineaBissau 11 11 21 18 18 19 15 23 16
Kenya 290 336 377 453 447 434 544 576 638
Lesotho 3 3 2 4 2 3 9 5 9
Liberia 0 3 5 1 3 4 3 0 6
A
n
n
e
x
Table 7: Scientic publications in international collaboration, 20002008
512
2000 2001 2002 2003 2004 2005 2006 2007 2008
Madagascar 53 51 46 80 68 89 118 127 123
Malawi 74 76 83 85 76 87 105 128 141
Mali 30 36 43 48 62 64 87 70 81
Mauritius 22 27 27 19 26 24 24 22 18
Mozambique 21 29 24 31 33 38 52 65 73
Namibia 16 26 24 29 34 60 66 54 50
Niger 27 22 26 32 22 50 48 49 71
Nigeria 193 183 229 220 229 271 305 378 460
Rwanda 5 7 6 5 14 10 21 30 20
Sao Tome and Principe 2 1 3 5 1 0 2 1 1
Senegal 117 115 121 150 152 163 147 161 167
Seychelles 12 4 6 7 4 9 16 23 18
Sierra Leone 5 10 5 2 3 4 3 4 8
Somalia 1 0 1 0 1 0 2 0 1
South Africa 1 161 1 315 1 414 1 576 1 767 1 885 2 170 2 410 2 629
Swaziland 5 8 4 10 2 11 5 9 13
Togo 17 9 12 28 33 23 27 27 30
Uganda 89 105 96 148 179 191 245 290 296
United Republic of Tanzania 135 146 160 212 208 252 309 330 324
Zambia 48 63 51 52 57 75 97 115 111
Zimbabwe 108 116 135 145 112 128 124 153 162
Arab States
Algeria 256 273 278 333 412 440 562 642 711
Bahrain 10 19 18 31 37 36 54 55 53
Djibouti 0 1 1 1 3 2 2 3 2
Egypt 683 640 761 869 913 971 1 065 1 208 1 421
Iraq 15 16 12 20 20 27 47 57 82
Jordan 153 151 181 200 207 247 270 345 420
Kuwait 149 142 157 168 211 192 195 193 248
Lebanon 108 144 154 159 217 237 290 292 329
Libyan Arab Jamahiriya 19 24 21 36 37 38 57 54 74
Mauritania 15 12 13 18 10 22 17 17 12
Morocco 605 624 604 574 579 599 574 618 688
Oman 78 80 103 126 117 125 145 166 184
Palestinian Autonomous Territories 0 1 0 0 0 0 0 0 0
Qatar 13 17 19 37 46 48 70 115 152
Saudi Arabia 304 314 353 434 418 427 490 578 720
Sudan 46 38 63 67 69 69 82 91 97
Syrian Arab Republic 55 63 56 74 70 92 94 101 114
Tunisia 264 319 378 436 467 592 708 793 967
United Arab Emirates 144 139 172 226 238 283 348 404 434
Yemen 25 22 15 18 22 25 34 38 40
Armenia 158 192 203 224 214 219 233 240 252
Azerbaijan 45 40 67 97 93 99 108 97 123
Georgia 126 141 157 140 171 176 206 191 196
Israel 3 484 3 575 3 706 3 916 4 011 4 060 4 236 4 274 4 443
Kazakhstan 65 76 101 117 126 105 117 158 113
Kyrgyzstan 22 26 26 15 17 29 29 37 35
Mongolia 33 35 40 55 55 60 65 91 109
Tajikistan 11 9 18 9 10 19 13 27 32
Turkmenistan 11 7 9 4 2 4 6 6 2
Uzbekistan 102 110 114 148 149 160 165 205 178
513
2000 2001 2002 2003 2004 2005 2006 2007 2008
South Asia
Afghanistan 0 0 0 2 6 6 6 6 14
Bangladesh 179 199 219 245 290 338 395 397 481
Bhutan 3 1 6 1 10 8 19 4 5
India 2 626 3 022 3 341 3 738 4 183 4 644 5 376 5 954 6 541
Iran (Islamic Republic of ) 313 372 501 700 820 1 088 1 326 1 818 2 208
Maldives 1 2 1 2 0 0 1 5 3
Nepal 77 88 80 99 104 111 141 144 145
Pakistan 208 220 268 312 326 369 564 806 1 027
Sri Lanka 90 97 89 153 140 154 188 220 239
Southeast Asia
Brunei Darussalam 14 21 13 17 24 17 21 22 22
Cambodia 10 9 16 20 38 46 59 77 74
China 6 535 7 606 8 778 10 609 12 665 14 788 17 637 19 518 23 043
Democratic People's Rep. of Korea 0 0 4 4 13 9 8 18 31
Hong Kong SAR of China 143 32 1 0 0 0 0 0 0
Indonesia 361 369 348 368 424 462 515 502 565
Japan 12 717 13 333 14 213 15 476 16 375 16 509 17 667 17 572 18 162
Lao PDR 7 12 14 22 26 32 44 44 50
Macao, China 7 6 6 8 12 0 0 0 0
Malaysia 360 402 443 544 595 715 842 1 011 1 121
Myanmar 17 18 10 19 29 37 39 38 36
Philippines 265 193 241 286 295 323 344 372 396
Republic of Korea 2 957 3 658 4 203 5 057 5 833 6 420 7 184 7 498 8 527
Singapore 1 079 1 242 1 374 1 672 2 031 2 361 2 691 2 906 3 294
Thailand 618 743 946 1 092 1 223 1 407 1 660 1 919 2 106
TimorLeste 0 0 0 0 0 0 0 0 0
Viet Nam 238 270 256 359 368 446 509 557 680
Oceania
Australia 6 298 6 887 7 435 8 088 9 090 9 642 10 662 11 729 13 139
Cook Islands 2 0 1 0 0 1 1 3 0
Fiji 15 15 20 25 28 39 38 48 48
Kiribati 0 0 0 0 0 0 1 2 0
Marshall Islands 1 0 2 3 4 1 5 0 1
Micronesia (Federated States of ) 4 1 0 6 6 4 5 4 2
Nauru 0 0 0 0 0 0 0 0 0
New Zealand 1 418 1 435 1 600 1 732 1 918 2 199 2 346 2 592 2 790
Niue 0 0 0 0 0 0 0 1 0
Palau 2 7 2 3 5 5 8 10 3
Papua New Guinea 50 47 47 50 44 37 46 61 72
Samoa 0 0 3 0 1 2 0 1 0
Solomon Islands 11 3 4 8 4 5 6 8 4
Tonga 2 2 1 5 4 0 3 3 4
Tuvalu 0 0 0 1 0 0 1 0 0
Vanuatu 7 1 2 6 7 10 9 6 8
Source: Thomson Reuters (Scientic) Inc. Web of Science (Science Citation Index Expanded),
compiled for UNESCO by the Canadian Observatoire des sciences et des technologies, May 2010
A
n
n
e
x
5l4
Table 8: |rto.r.t|cr.| t..Jo |r |||toc| p.cJJcts,
2002 .rJ 200 (|r |S, n||||crs)
Aerospace
Imports World share Exports World share
of imports (%) of exports (%)
2002 2007 2002 2007 2002 2007 2002 2007
World 89 627 145 247 100.0 100.0 114 940 184 219 100.0 100.0
Developed countrles 73 949 l03 54l 82.5 7l.3 l09 573 l72 549 95.3 93.7
Developlng countrles l5 6l0 40 976 l7.4 28.2 5 362 ll 638 4.7 6.3
Least developed countrles 68 730 0.l 0.5 5 32 0.0 0.0
Americas 29 091 39 300 32.5 27.1 52 120 90 105 45.3 48.9
North Amerlca 26 567 34 204 29.6 23.5 48 4ll 83 407 42.l 45.3
Latln Amerlca and the Carlbbean 2 524 5 096 2.8 3.5 3 708 6 699 3.2 3.6
Europe 39 653 58 973 44.2 40.6 59 730 87 678 52.0 47.6
Luropean Unlon 36 782 53 728 4l.0 37.0 54 l86 82 609 47.l 44.8
Commonwealth of |ndependent States ln Lurope 354 373 0.4 0.3 2 754 l 500 2.4 0.8
Central, Lastern and Other Lurope 2 5l8 4 872 2.8 3.4 2 789 3 569 2.4 l.9
Africa 1 768 3 448 2.0 2.4 118 738 0.1 0.4
South Afrlca 8l8 l 565 0.9 l.l 67 483 0.l 0.3
Other Sub-Saharan countrles (excl. South Afrlca) 323 852 0.4 0.6 37 245 0.0 0.l
Arab States ln Afrlca 626 l 03l 0.7 0.7 l5 9 0.0 0.0
Asia 16 149 40 512 18.0 27.9 2 239 5 409 1.9 2.9
1apan 5 327 8 472 5.9 5.8 877 l 830 0.8 l.0
Chlna 3 488 l0 704 3.9 7.4 l34 732 0.l 0.4
|srael 559 956 0.6 0.7 l5 28 0.0 0.0
|ndla l57 2 304 0.2 l.6 4 l3 0.0 0.0
Commonwealth of |ndependent States ln Asla l60 77l 0.2 0.5 l00 487 0.l 0.3
Newly |ndustrlallsed Lconomles ln Asla 5 882 l4 ll5 6.6 9.7 l 074 2 l98 0.9 l.2
Arab States ln Asla l94 l 255 0.2 0.9 l l 0.0 0.0
Other ln Asla (excl. 1apan, Chlna, |ndla, |srael) 382 l 934 0.4 l.3 35 l20 0.0 0.l
Oceania 2 967 3 014 3.3 2.1 734 289 0.6 0.2
Other groupings
Arab States all 820 2 286 0.9 l.6 l6 l0 0.0 0.0
Commonwealth of |ndependent States all 5l3 l l44 0.6 0.8 2 854 l 987 2.5 l.l
OLCD 74 792 l06 998 83.4 73.7 l07 983 l73 047 93.9 93.9
Luropean Pree Trade Assoclatlon 2 256 3 706 2.5 2.6 2 6l0 2 879 2.3 l.6
Sub-Saharan Afrlca (lncl. South Afrlca) l l42 2 4l7 l.3 l.7 l03 728 0.l 0.4
Other ln Asla (lncl. 1apan, Chlna, |ndla, |srael) 9 9l3 24 37l ll.l l6.8 l 064 2 723 0.9 l.5
Selected countries
Argentlna l89 809 0.2 0.6 83 34l 0.l 0.2
8razll 732 2 228 0.8 l.5 2 768 4 942 2.4 2.7
Canada 8 3l2 l0 640 7.2 5.8 4 40l 7 l23 4.9 4.9
Cuba 55 62 0.l 0.0 l0 9l 0.0 0.0
Lgypt 0 0 0.0 0.0 - - - -
Prance 6 773 l0 997 7.6 7.6 l8 277 33 554 l5.9 l8.2
Germany ll 599 l6 l86 l2.9 ll.l l7 430 24 46l l5.2 l3.3
|ran (|slamlc Pepubllc of ) 62 l 0.l 0.0 l 0 0.0 0.0
Mexlco 355 962 0.4 0.7 790 l 250 0.7 0.7
Pepubllc of Korea 738 2 648 0.8 l.8 326 393 0.3 0.2
Pusslan Pederatlon 3l7 225 0.4 0.2 2 565 l 07l 2.2 0.6
Turkey 249 l 058 0.3 0.7 l63 650 0.l 0.4
Unlted Klngdom 5 l42 7 234 5.7 5.0 9 503 l2 995 8.3 7.l
Unlted States of Amerlca 22 l66 27 082 24.7 l8.6 40 099 72 766 34.9 39.5
|||SO S|||| |||O| 2010
5l5
A
n
n
e
x
Armament Chemistry
Imports World share Exports World share Imports World share Exports World share
of imports (%) of exports (%) of imports (%) of exports (%)
2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007
4 846 9 064 100.0 100.0 5 712 9 466 100.0 100.0 34 574 70 325 100.0 100.0 30 580 63 053 100.0 100.0
3 329 6 7l4 68.7 74.l 5 280 8 437 92.4 89.l 24 796 50 25l 7l.7 7l.5 23 3l9 43 956 76.3 69.7
l 470 2 l72 30.3 24.0 429 l 026 7.5 l0.8 9 496 l9 508 27.5 27.7 7 247 l9 080 23.7 30.3
47 l78 l.0 2.0 3 2 0.0 0.0 282 565 0.8 0.8 l4 l7 0.0 0.0
1 840 3 923 38.0 43.3 3 306 5 004 57.9 52.9 8 501 16 463 24.6 23.4 6 859 14 767 22.4 23.4
l 68l 3 633 34.7 40.l 3 072 4 764 53.8 50.3 5 548 ll 20l l6.0 l5.9 5 5ll ll 850 l8.0 l8.8
l59 290 3.3 3.2 235 240 4.l 2.5 2 953 5 263 8.5 7.5 l 349 2 9l7 4.4 4.6
1 624 2 471 33.5 27.3 2 075 3 618 36.3 38.2 16 680 33 670 48.2 47.9 16 646 29 713 54.4 47.1
l ll0 2 003 22.9 22.l l 283 2 680 22.5 28.3 l4 322 28 898 4l.4 4l.l l4 433 26 509 47.2 42.0
3 25 0.l 0.3 378 42 6.6 0.4 949 2 2l4 2.7 3.l 287 568 0.9 0.9
5l0 443 l0.5 4.9 4l4 896 7.3 9.5 l 409 2 557 4.l 3.6 l 926 2 636 6.3 4.2
112 442 2.3 4.9 20 324 0.4 3.4 1 054 1 903 3.0 2.7 276 669 0.9 1.1
0 - 0.0 - 7 - 0.l - 209 336 0.6 0.5 224 529 0.7 0.8
99 400 2.0 4.4 l3 324 0.2 3.4 572 994 l.7 l.4 46 l3l 0.2 0.2
l3 42 0.3 0.5 0 0 0.0 0.0 273 574 0.8 0.8 5 l0 0.0 0.0
1 041 1 725 21.5 19.0 281 419 4.9 4.4 7 861 17 546 22.7 25.0 6 579 17 653 21.5 28.0
2l7 l60 4.5 l.8 l55 92 2.7 l.0 2 562 5 608 7.4 8.0 l 007 2 282 3.3 3.6
4 2 0.l 0.0 l8 59 0.3 0.6 978 3 399 2.8 4.8 2 569 7 83l 8.4 l2.4
- - - - - 20 - 0.2 ll2 225 0.3 0.3 228 l6 0.7 0.0
l 6 0.0 0.l 3 4 0.0 0.0 l73 545 0.5 0.8 8l8 2 007 2.7 3.2
0 70 0.0 0.8 0 7 0.0 0.l 8l 328 0.2 0.5 37 966 0.l l.5
29l 556 6.0 6.l 70 209 l.2 2.2 2 472 4 283 7.2 6.l l 598 3 239 5.2 5.l
307 848 6.3 9.4 0 l6 0.0 0.2 296 892 0.9 l.3 4l l23 0.l 0.2
220 83 4.5 0.9 36 ll 0.6 0.l l l88 2 266 3.4 3.2 28l l l88 0.9 l.9
229 503 4.7 5.6 30 100 0.5 1.1 478 742 1.4 1.1 221 251 0.7 0.4
320 890 6.6 9.8 l l6 0.0 0.2 569 l 466 l.6 2.l 46 l33 0.2 0.2
4 95 0.l l.0 378 50 6.6 0.5 l 029 2 542 3.0 3.6 324 l 534 l.l 2.4
3 732 7 l08 77.0 78.4 5 005 8 603 87.6 90.9 25 258 50 567 73.l 7l.9 23 989 45 264 78.4 7l.8
306 387 6.3 4.3 345 665 6.0 7.0 825 l 255 2.4 l.8 l 852 2 438 6.l 3.9
99 400 2.0 4.4 20 324 0.4 3.4 78l l 330 2.3 l.9 270 660 0.9 l.0
443 25l 9.l 2.8 2ll l86 3.7 2.0 5 0l3 l2 043 l4.5 l7.l 4 902 l3 324 l6.0 2l.l
2 9 0.0 0.l 7 l7 0.l 0.2 2l2 635 0.6 0.9 230 389 0.8 0.6
l3 9 0.3 0.l 205 200 3.6 2.l 650 l 378 l.9 2.0 457 9l0 l.5 l.4
382 668 6.7 7.l 43l 572 8.9 6.3 l 060 3 332 3.5 5.3 l l3l 2 072 3.3 2.9
0 0 0.0 0.0 0 0 0.0 0.0 53 46 0.2 0.l l 0 0.0 0.0
l l 0.0 0.0 0 - 0.0 - 67 l27 0.2 0.2 l 2 0.0 0.0
86 l87 l.8 2.l 252 44l 4.4 4.7 2 850 5 308 8.2 7.5 3 267 6 04l l0.7 9.6
l05 l6l 2.2 l.8 226 458 4.0 4.8 2 355 5 7l9 6.8 8.l 4 450 7 074 l4.6 ll.2
l79 0 3.7 0.0 27 0 0.5 0.0 2l0 87 0.6 0.l l6 335 0.l 0.5
30 47 0.6 0.5 l8 l8 0.3 0.2 663 873 l.9 l.2 27l 820 0.9 l.3
225 4l7 4.6 4.6 56 l67 l.0 l.8 852 l 953 2.5 2.8 690 l 737 2.3 2.8
3 25 0.l 0.3 378 42 6.6 0.4 695 l 290 2.0 l.8 234 366 0.8 0.6
l92 36 4.0 0.4 49 l34 0.9 l.4 438 929 l.3 l.3 64 l39 0.2 0.2
ll8 249 2.4 2.8 82 l45 l.4 l.5 l 428 2 490 4.l 3.5 l 857 2 l00 6.l 3.3
l 250 3 060 25.8 33.8 2 689 4 097 47.l 43.3 4 4l7 9 l29 l2.8 l3.0 4 45l 8 5l8 l4.6 l3.5
Table 8: |rto.r.t|cr.| t..Jo |r |||toc| p.cJJcts, 2002 .rJ 200 (|r |S, n||||crs)
5l6
Computers-oce machines
2002 2007 2002 2007 2002 2007 2002 2007
World 297 979 398 047 100.0 100.0 255 982 362 381 100.0 100.0
Developed countrles 2l9 553 275 588 73.7 69.2 l37 746 l32 l22 53.8 36.5
Developlng countrles 78 ll5 l2l 865 26.2 30.6 ll8 235 230 253 46.2 63.5
Least developed countrles 3l2 593 0.l 0.l l 6 0.0 0.0
Americas 90 020 111 423 30.2 28.0 38 988 34 627 15.2 9.6
North Amerlca 78 360 92 6ll 26.3 23.3 26 937 23 792 l0.5 6.6
Latln Amerlca and the Carlbbean ll 660 l8 8l2 3.9 4.7 l2 05l l0 836 4.7 3.0
Europe 118 708 160 506 39.8 40.3 87 081 99 873 34.0 27.6
Luropean Unlon lll 936 l47 4l9 37.6 37.0 86 2l7 98 709 33.7 27.2
Commonwealth of |ndependent States ln Lurope 790 4 2l4 0.3 l.l 52 l45 0.0 0.0
Central, Lastern and Other Lurope 5 98l 8 873 2.0 2.2 8l3 l 0l9 0.3 0.3
Africa 2 012 4 100 0.7 1.0 101 201 0.0 0.1
South Afrlca 853 l 90l 0.3 0.5 79 l58 0.0 0.0
Other Sub-Saharan countrles (excl. South Afrlca) 504 l 023 0.2 0.3 l3 20 0.0 0.0
Arab States ln Afrlca 655 l l76 0.2 0.3 9 23 0.0 0.0
Asia 82 891 115 026 27.8 28.9 129 076 226 913 50.4 62.6
1apan l9 076 l7 992 6.4 4.5 23 026 7 79l 9.0 2.l
Chlna l2 402 24 l94 4.2 6.l 32 93l l39 858 l2.9 38.6
|srael 872 l 295 0.3 0.3 237 4l8 0.l 0.l
|ndla l 227 3 782 0.4 l.0 l63 277 0.l 0.l
Commonwealth of |ndependent States ln Asla l47 445 0.0 0.l 4 6 0.0 0.0
Newly |ndustrlallsed Lconomles ln Asla 44 259 55 503 l4.9 l3.9 64 984 62 794 25.4 l7.3
Arab States ln Asla 896 4 2l0 0.3 l.l l2 23 0.0 0.0
Other ln Asla (excl. 1apan, Chlna, |ndla, |srael) 4 0l2 7 604 l.3 l.9 7 720 l5 747 3.0 4.3
Oceania 4 348 6 992 1.5 1.8 735 766 0.3 0.2
Other groupings
Arab States all l 552 5 386 0.5 l.4 2l 46 0.0 0.0
Commonwealth of |ndependent States all 937 4 659 0.3 l.2 56 l5l 0.0 0.0
OLCD 230 923 286 660 77.5 72.0 l64 7l3 l58 663 64.3 43.8
Luropean Pree Trade Assoclatlon 4 665 5 537 l.6 l.4 756 775 0.3 0.2
Sub-Saharan Afrlca (lncl. South Afrlca) l 357 2 924 0.5 0.7 92 l78 0.0 0.0
Other ln Asla (lncl. 1apan, Chlna, |ndla, |srael) 37 589 54 868 l2.6 l3.8 64 077 l64 090 25.0 45.3
Selected countries
Argentlna l55 l 0ll 0.l 0.3 33 23 0.0 0.0
8razll l 097 2 289 0.4 0.6 l54 2l9 0.l 0.l
Canada 2 377 2 l70 0.9 0.6 7 860 9 543 2.6 2.4
Cuba 55 70 0.0 0.0 l 5 0.0 0.0
Lgypt l65 l80 0.l 0.0 l l 0.0 0.0
Prance ll 034 l3 0l9 3.7 3.3 6 005 4 45l 2.3 l.2
Germany 24 993 28 46l 8.4 7.2 l4 590 20 569 5.7 5.7
|ran (|slamlc Pepubllc of ) 282 66 0.l 0.0 l l 0.0 0.0
Mexlco 7 880 9 642 2.6 2.4 l0 9l9 9 4ll 4.3 2.6
Pepubllc of Korea 5 l3l 7 l04 l.7 l.8 l6 l9l l7 956 6.3 5.0
Pusslan Pederatlon 638 3 829 0.2 l.0 36 l04 0.0 0.0
Turkey 78l 2 305 0.3 0.6 32 99 0.0 0.0
Unlted Klngdom l9 069 2l 260 6.4 5.3 l4 738 9 9ll 5.8 2.7
Unlted States of Amerlca 70 500 83 068 23.7 20.9 24 560 2l 622 9.6 6.0
|||SO S|||| |||O| 2010
5l7
A
n
n
e
x
Electrical machinery Electronics-telecommunications
2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007
32 023 55 724 100.0 100.0 27 530 46 771 100.0 100.0 461 776 808 595 100.0 100.0 406 510 621 558 100.0 100.0
l9 224 28 l26 60.0 50.5 20 220 29 054 73.4 62.l 245 998 33l 393 53.3 4l.0 243 508 275 363 59.9 44.3
l2 78l 27 555 39.9 49.4 7 308 l7 7l4 26.5 37.9 2l5 l02 473 686 46.6 58.6 l62 994 346 089 40.l 55.7
l8 42 0.l 0.l 2 4 0.0 0.0 676 3 5l6 0.l 0.4 8 l05 0.0 0.0
7 159 10 227 22.4 18.4 6 175 8 393 22.4 17.9 109 441 133 348 23.7 16.5 72 298 71 721 17.8 11.5
5 324 7 837 l6.6 l4.l 4 24l 5 7l8 l5.4 l2.2 87 l34 l0l 605 l8.9 l2.6 58 4l5 52 906 l4.4 8.5
l 835 2 390 5.7 4.3 l 934 2 675 7.0 5.7 22 307 3l 743 4.8 3.9 l3 884 l8 8l4 3.4 3.0
11 602 18 332 36.2 32.9 10 379 14 643 37.7 31.3 133 358 194 659 28.9 24.1 136 876 156 116 33.7 25.1
l0 94l l5 50l 34.2 27.8 9 698 l3 774 35.2 29.4 l24 205 l73 432 26.9 2l.4 l33 798 l5l l83 32.9 24.3
l02 460 0.3 0.8 256 l4l 0.9 0.3 2 203 l0 066 0.5 l.2 49l l 200 0.l 0.2
558 2 372 l.7 4.3 425 729 l.5 l.6 6 950 ll l6l l.5 l.4 2 587 3 733 0.6 0.6
237 510 0.7 0.9 59 195 0.2 0.4 4 295 10 047 0.9 1.2 932 1 715 0.2 0.3
70 l63 0.2 0.3 29 53 0.l 0.l l 743 2 68l 0.4 0.3 245 39l 0.l 0.l
37 ll5 0.l 0.2 2 3 0.0 0.0 l 045 2 87l 0.2 0.4 37 205 0.0 0.0
l29 232 0.4 0.4 28 l39 0.l 0.3 l 507 4 495 0.3 0.6 650 l l20 0.2 0.2
12 693 25 994 39.6 46.6 10 768 23 330 39.1 49.9 210 329 464 350 45.5 57.4 195 660 391 000 48.1 62.9
2 ll5 2 89l 6.6 5.2 5 460 8 522 l9.8 l8.2 22 776 33 l70 4.9 4.l 47 6l7 65 702 ll.7 l0.6
2 887 7 646 9.0 l3.7 l 939 6 682 7.0 l4.3 4l 80l l45 475 9.l l8.0 26 875 ll4 674 6.6 l8.4
920 280 2.9 0.5 485 435 l.8 0.9 l 809 2 ll0 0.4 0.3 3 592 346 0.9 0.l
l39 470 0.4 0.8 l2 47 0.0 0.l 2 l40 l0 856 0.5 l.3 403 l 023 0.l 0.2
l4 67 0.0 0.l 0 l 0.0 0.0 368 l 462 0.l 0.2 l4 22 0.0 0.0
5 756 l2 404 l8.0 22.3 2 4ll 6 425 8.8 l3.7 l28 884 24l 242 27.9 29.8 l09 623 l95 0l7 27.0 3l.4
l0l 607 0.3 l.l 2 2 0.0 0.0 l 624 9 l07 0.4 l.l 28 56 0.0 0.0
760 l 628 2.4 2.9 460 l 2l6 l.7 2.6 l0 928 20 928 2.4 2.6 7 509 l4 l60 l.8 2.3
332 660 1.0 1.2 149 210 0.5 0.4 4 353 6 192 0.9 0.8 743 1 006 0.2 0.2
230 839 0.7 l.5 3l l42 0.l 0.3 3 l3l l3 602 0.7 l.7 678 l l76 0.2 0.2
ll6 527 0.4 0.9 256 l42 0.9 0.3 2 570 ll 528 0.6 l.4 506 l 222 0.l 0.2
22 039 33 940 68.8 60.9 22 l34 32 6l3 80.4 69.7 276 88l 369 244 60.0 45.7 280 965 34l 8l8 69.l 55.0
3l4 60l l.0 l.l 353 588 l.3 l.3 4 667 5 943 l.0 0.7 2 286 3 l90 0.6 0.5
l08 278 0.3 0.5 3l 56 0.l 0.l 2 788 5 552 0.6 0.7 282 595 0.l 0.l
6 822 l2 9l6 2l.3 23.2 8 355 l6 902 30.3 36.l 79 454 2l2 538 l7.2 26.3 85 995 l95 905 2l.2 3l.5
24 l50 0.l 0.3 7 9 0.0 0.0 l43 2 095 0.0 0.3 5l 47 0.0 0.0
205 3l3 0.6 0.6 52 75 0.2 0.2 2 663 2 075 0.6 0.3 l 485 2 279 0.4 0.4
564 827 2.0 l.8 497 827 l.6 l.5 6 824 4 586 l.7 0.7 9 668 l0 654 2.l l.3
4 9 0.0 0.0 0 0 0.0 0.0 88 l25 0.0 0.0 3 l5 0.0 0.0
29 23 0.l 0.0 0 0 0.0 0.0 254 809 0.l 0.l l l 0.0 0.0
994 l 483 3.l 2.7 648 763 2.4 l.6 l2 789 l6 569 2.8 2.0 l4 227 l3 9ll 3.5 2.2
3 238 3 8l3 l0.l 6.8 2 9l2 4 854 l0.6 l0.4 27 040 4l 823 5.9 5.2 30 549 42 572 7.5 6.8
22 l8 0.l 0.0 3 l 0.0 0.0 5l2 4l0 0.l 0.l ll 42 0.0 0.0
l 420 l 547 4.4 2.8 l 67l 2 37l 6.l 5.l l4 5l4 l7 095 3.l 2.l l2 07l l4 922 3.0 2.4
l 748 3 742 5.5 6.7 6ll l 598 2.2 3.4 20 898 33 669 4.5 4.2 27 726 55 3l7 6.8 8.9
72 304 0.2 0.5 2l8 96 0.8 0.2 l 733 8 603 0.4 l.l 338 697 0.l 0.l
l35 l 579 0.4 2.8 9 39 0.0 0.l l 422 3 933 0.3 0.5 l40 299 0.0 0.0
l 64l l 820 5.l 3.3 2 250 2 0l2 8.2 4.3 l9 862 20 l69 4.3 2.5 28 5l7 ll 900 7.0 l.9
4 827 7 0ll l5.l l2.6 3 677 4 892 l3.4 l0.5 77 466 90 95l l6.8 ll.2 5l 59l 48 320 l2.7 7.8
5l8
Non-electrical machinery
2002 2007 2002 2007 2002 2007 2002 2007
World 30 778 52 355 100.0 100.0 33 549 59 434 100.0 100.0
Developed countrles 2l 4l6 33 743 69.6 64.4 3l 82l 53 92l 94.8 90.7
Developlng countrles 9 3l4 l8 408 30.3 35.2 l 725 5 467 5.l 9.2
Least developed countrles 48 204 0.2 0.4 3 46 0.0 0.l
Americas 7 940 10 833 25.8 20.7 8 803 12 230 26.2 20.6
North Amerlca 5 982 7 653 l9.4 l4.6 8 366 ll 3l0 24.9 l9.0
Latln Amerlca and the Carlbbean l 957 3 l80 6.4 6.l 437 920 l.3 l.5
Europe 14 305 24 337 46.5 46.5 19 177 35 402 57.2 59.6
Luropean Unlon l2 350 20 027 40.l 38.3 l5 737 29 229 46.9 49.2
Commonwealth of |ndependent States ln Lurope 587 l 708 l.9 3.3 844 l 272 2.5 2.l
Central, Lastern and Other Lurope l 369 2 602 4.4 5.0 2 596 4 90l 7.7 8.2
Africa 418 1 066 1.4 2.0 22 44 0.1 0.1
South Afrlca l04 267 0.3 0.5 9 20 0.0 0.0
Other Sub-Saharan countrles (excl. South Afrlca) 66 278 0.2 0.5 l0 l2 0.0 0.0
Arab States ln Afrlca 248 520 0.8 l.0 2 l2 0.0 0.0
Asia 7 791 15 475 25.3 29.6 5 479 11 662 16.3 19.6
1apan l l96 l 777 3.9 3.4 4 246 7 286 l2.7 l2.3
Chlna 2 l0l 4 55l 6.8 8.7 226 l 206 0.7 2.0
|srael 97 l69 0.3 0.3 l47 336 0.4 0.6
|ndla l33 60l 0.4 l.l 85 l84 0.3 0.3
Commonwealth of |ndependent States ln Asla l06 l77 0.3 0.3 3 3 0.0 0.0
Newly |ndustrlallsed Lconomles ln Asla 2 403 3 8l3 7.8 7.3 699 2 3l9 2.l 3.9
Arab States ln Asla 579 2 98l l.9 5.7 l 6 0.0 0.0
Other ln Asla (excl. 1apan, Chlna, |ndla, |srael) l l76 l 407 3.8 2.7 73 322 0.2 0.5
Oceania 324 645 1.1 1.2 68 96 0.2 0.2
Other groupings
Arab States all 827 3 50l 2.7 6.7 3 l8 0.0 0.0
Commonwealth of |ndependent States all 693 l 884 2.3 3.6 846 l 275 2.5 2.l
OLCD 22 828 34 8l3 74.2 66.5 3l 55l 54 346 94.0 9l.4
Luropean Pree Trade Assoclatlon 953 l 783 3.l 3.4 2 532 4 625 7.5 7.8
Sub-Saharan Afrlca (lncl. South Afrlca) l7l 545 0.6 l.0 20 32 0.l 0.l
Other ln Asla (lncl. 1apan, Chlna, |ndla, |srael) 4 703 8 505 l5.3 l6.2 4 776 9 334 l4.2 l5.7
Selected countries
Argentlna 78 223 0.3 0.4 l5 24 0.0 0.0
8razll 463 573 l.5 l.l 28 70 0.l 0.l
Canada l l34 687 3.4 l.2 l 287 l 536 4.2 2.9
Cuba 3 l6 0.0 0.0 l 4 0.0 0.0
Lgypt 3 l7 0.0 0.0 0 0 0.0 0.0
Prance l 737 2 677 5.6 5.l l 988 2 729 5.9 4.6
Germany 3 09l 5 l67 l0.0 9.9 4 752 9 028 l4.2 l5.2
|ran (|slamlc Pepubllc of ) 5l4 20 l.7 0.0 0 2 0.0 0.0
Mexlco l 090 l 767 3.5 3.4 362 789 l.l l.3
Pepubllc of Korea 895 l l78 2.9 2.3 303 l l64 0.9 2.0
Pusslan Pederatlon 30l 966 l.0 l.8 7l3 l 079 2.l l.8
Turkey 38l 632 l.2 l.2 36 l72 0.l 0.3
Unlted Klngdom 2 l27 2 475 6.9 4.7 2 58l 3 338 7.7 5.6
Unlted States of Amerlca 4 695 6 ll7 l5.3 ll.7 7 232 l0 623 2l.6 l7.9
|||SO S|||| |||O| 2010
5l9
A
n
n
e
x
Pharmacy Scientic instruments
2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007 2002 2007
53 106 120 519 100.0 100.0 50 805 111 292 100.0 100.0 102 420 239 160 100.0 100.0 97 187 224 953 100.0 100.0
44 048 99 065 82.9 82.2 47 200 l02 756 92.9 92.3 7l 53l l3l 486 69.8 55.0 84 229 l57 5l3 86.7 70.0
8 726 20 203 l6.4 l6.8 3 600 8 5l8 7.l 7.7 30 684 l07 0l5 30.0 44.7 l2 953 67 423 l3.3 30.0
332 l 25l 0.6 l.0 5 l8 0.0 0.0 206 659 0.2 0.3 5 l8 0.0 0.0
11 606 25 930 21.9 21.5 8 295 17 888 16.3 16.1 29 219 54 144 28.5 22.6 28 046 43 388 28.9 19.3
8 662 l8 l77 l6.3 l5.l 7 534 l6 839 l4.8 l5.l 24 088 37 587 23.5 l5.7 25 205 38 736 25.9 l7.2
2 944 7 753 5.5 6.4 762 l 049 l.5 0.9 5 l30 l6 557 5.0 6.9 2 84l 4 652 2.9 2.l
33 042 77 179 62.2 64.0 38 520 84 328 75.8 75.8 39 396 79 979 38.5 33.4 45 895 94 935 47.2 42.2
26 649 64 l92 50.2 53.3 30 558 67 585 60.l 60.7 35 394 68 634 34.6 28.7 40 694 84 922 4l.9 37.8
652 2 689 l.2 2.2 92 l72 0.2 0.2 l 056 4 896 l.0 2.0 70l 825 0.7 0.4
5 74l l0 298 l0.8 8.5 7 869 l6 57l l5.5 l4.9 2 945 6 449 2.9 2.7 4 50l 9 l88 4.6 4.l
1 123 2 518 2.1 2.1 51 84 0.1 0.1 1 331 2 971 1.3 1.2 166 318 0.2 0.1
l7l 375 0.3 0.3 2l 28 0.0 0.0 450 l 084 0.4 0.5 68 l72 0.l 0.l
348 7l3 0.7 0.6 l3 33 0.0 0.0 279 7l6 0.3 0.3 23 38 0.0 0.0
603 l 430 l.l l.2 l7 23 0.0 0.0 602 l l72 0.6 0.5 76 l08 0.l 0.0
6 659 13 169 12.5 10.9 3 731 8 513 7.3 7.6 30 865 98 717 30.1 41.3 22 565 85 529 23.2 38.0
2 442 3 506 4.6 2.9 99l l 236 2.0 l.l 7 l03 l2 368 6.9 5.2 l2 659 23 209 l3.0 l0.3
68l l 677 l.3 l.4 l 235 3 l68 2.4 2.8 9 440 52 765 9.2 22.l 3 3l8 28 622 3.4 l2.7
l04 l54 0.2 0.l 38 l57 0.l 0.l 686 l 032 0.7 0.4 892 l 328 0.9 0.6
383 l 090 0.7 0.9 6l0 l 880 l.2 l.7 775 2 402 0.8 l.0 260 566 0.3 0.3
99 249 0.2 0.2 l l5 0.0 0.0 l63 706 0.2 0.3 25 30 0.0 0.0
l 244 2 644 2.3 2.2 77l l 866 l.5 l.7 l0 3l3 23 683 l0.l 9.9 5 209 3l 027 5.4 l3.8
8l7 2 53l l.5 2.l 37 97 0.l 0.l l 073 3 009 l.0 l.3 l7 ll 0.0 0.0
889 l 3l6 l.7 l.l 46 94 0.l 0.l l 3l3 2 752 l.3 l.2 l87 735 0.2 0.3
676 1 723 1.3 1.4 208 479 0.4 0.4 1 609 3 349 514 783 0.5 0.3
l 420 3 962 2.7 3.3 54 l20 0.l 0.l l 675 4 l8l l.6 l.7 93 ll9 0.l 0.l
75l 2 938 l.4 2.4 93 l87 0.2 0.2 l 2l9 5 602 l.2 2.3 725 855 0.7 0.4
44 725 98 54l 84.2 8l.8 47 276 l02 65l 93.l 92.2 76 599 l43 934 74.8 60.2 86 746 l8l 8l2 89.3 80.8
4 797 8 370 9.0 6.9 7 655 l6 308 l5.l l4.7 2 088 4 l94 2.0 l.8 4 40l 8 89l 4.5 4.0
520 l 088 l.0 0.9 34 60 0.l 0.l 729 l 800 0.7 0.8 9l 2l0 0.l 0.l
4 500 7 744 8.5 6.4 2 92l 6 536 5.8 5.9 l9 3l6 7l 3l9 l8.9 29.8 l7 3l5 54 460 l7.8 24.2
l93 529 0.4 0.4 l38 203 0.3 0.2 ll6 578 0.l 0.2 43 l04 0.0 0.0
943 l 940 l.8 l.6 97 l97 0.2 0.2 l l74 3 300 l.l l.4 l83 385 0.2 0.2
36l l 245 0.7 l.l l l4l 2 684 2.l 2.2 l 905 2 956 2.0 l.3 4 334 5 8l5 4.2 2.4
2l 23 0.0 0.0 44 99 0.l 0.l 46 99 0.0 0.0 6 33 0.0 0.0
l94 l25 0.4 0.l 9 l 0.0 0.0 86 l54 0.l 0.l 0 l 0.0 0.0
4 006 6 522 7.5 5.4 4 ll5 7 345 8.l 6.6 4 840 9 078 4.7 3.8 4 75l l0 026 4.9 4.5
5 090 l3 98l 9.6 ll.6 4 2l9 l3 633 8.3 l2.2 7 856 l5 4ll 7.7 6.4 l4 675 3l 227 l5.l l3.9
304 l74 0.6 0.l 5 l6 0.0 0.0 40l l78 0.4 0.l l 5 0.0 0.0
777 l 454 l.5 l.2 3l9 355 0.6 0.3 2 760 9 533 2.7 4.0 2 535 3 563 2.6 l.6
479 l 005 0.9 0.8 206 420 0.4 0.4 3 659 8 25l 3.6 3.5 882 22 448 0.9 l0.0
480 2 050 0.9 l.7 75 ll9 0.l 0.l 844 4 00l 0.8 l.7 485 577 0.5 0.3
7l4 l 408 l.3 l.2 5l 97 0.l 0.l 597 l 680 0.6 0.7 42 l49 0.0 0.l
2 995 7 l70 5.6 5.9 4 0l6 8 427 7.9 7.6 5 4l0 8 209 5.3 3.4 6 430 l0 466 6.6 4.7
7 522 l5 493 l4.2 l2.9 7 l73 l5 594 l4.l l4.0 l9 755 3l 772 l9.3 l3.3 23 30l 35 780 24.0 l5.9
520
Note: Methodology based on Standard |nternatlonal Trade Classlcatlon, as proposed ln OCDL/GD(97)2l6, all |mport gures are mlnus re-lmports,
all export gures are mlnus re-exports.
5outce: COMTPADL Database of the Unlted Natlons Statlstlcal Dlvlslon, as of May 20l0, and UNLSCO |nstltute for Statlstlcs estlmatlons
Total
2002 2007 2002 2007 2002 2007 2002 2007
World 1 107 129 1 899 035 100.0 100.0 1 022 794 1 683 127 100.0 100.0
Developed countrles 723 843 l 059 908 65.4 55.8 702 895 975 67l 68.7 58.0
Developlng countrles 38l 297 83l 389 34.4 43.8 3l9 853 707 209 3l.3 42.0
Least developed countrles l 988 7 739 0.2 0.4 46 247 0.0 0.0
Americas 294 816 405 591 26.6 21.4 224 890 298 124 22.0 17.7
North Amerlca 243 346 3l4 507 22.0 l6.6 l87 69l 249 323 l8.4 l4.8
Latln Amerlca and the Carlbbean 5l 470 9l 084 4.6 4.8 37 l99 48 80l 3.6 2.9
Europe 408 367 650 104 36.9 34.2 416 379 606 308 40.7 36.0
Luropean Unlon 373 689 573 833 33.8 30.2 386 604 557 20l 37.8 33.l
Commonwealth of |ndependent States ln Lurope 6 696 26 646 0.6 l.4 5 854 5 865 0.6 0.3
Central, Lastern and Other Lurope 27 98l 49 625 2.5 2.6 23 92l 43 242 2.3 2.6
Africa 12 350 27 006 1.1 1.4 1 746 4 288 0.2 0.3
South Afrlca 4 4l9 8 370 0.4 0.4 749 l 833 0.l 0.l
Other Sub-Saharan countrles (excl. South Afrlca) 3 274 7 963 0.3 0.4 l93 l 0l0 0.0 0.l
Arab States ln Afrlca 4 657 l0 673 0.4 0.6 803 l 445 0.l 0.l
Asia 376 280 792 514 34.0 41.7 376 378 770 429 36.8 45.8
1apan 62 8l4 85 944 5.7 4.5 96 037 ll7 950 9.4 7.0
Chlna 73 782 250 4l3 6.7 l3.2 69 244 302 832 6.8 l8.0
|srael 5 l58 6 222 0.5 0.3 5 633 3 085 0.6 0.2
|ndla 5 l29 22 056 0.5 l.2 2 356 6 002 0.2 0.4
Commonwealth of |ndependent States ln Asla l l37 4 274 0.l 0.2 l83 l 538 0.0 0.l
Newly |ndustrlallsed Lconomles ln Asla 20l 505 358 245 l8.2 l8.9 l86 439 305 095 l8.2 l8.l
Arab States ln Asla 5 886 25 44l 0.5 l.3 l40 335 0.0 0.0
Other ln Asla (excl. 1apan, Chlna, |ndla, |srael) 20 868 39 9l9 l.9 2.l l6 346 33 59l l.6 2.0
Oceania 15 315 23 820 1.4 1.3 3 400 3 979 0.3 0.2
Other groupings
Arab States all l0 543 36 ll4 l.0 l.9 943 l 780 0.l 0.l
Commonwealth of |ndependent States all 7 834 30 9l9 0.7 l.6 6 037 7 402 0.6 0.4
OLCD 777 776 l l3l 807 70.3 59.6 770 362 l 098 8l7 75.3 65.3
Luropean Pree Trade Assoclatlon 20 87l 3l 776 l.9 l.7 22 790 40 359 2.2 2.4
Sub-Saharan Afrlca (lncl. South Afrlca) 7 693 l6 333 0.7 0.9 943 2 843 0.l 0.2
Other ln Asla (lncl. 1apan, Chlna, |ndla, |srael) l67 752 404 554 l5.2 2l.3 l89 6l6 463 46l l8.5 27.5
Selected countries
Argentlna l ll2 6 040 0.l 0.3 607 l l56 0.l 0.l
8razll 7 940 l4 l06 0.7 0.7 5 429 9 276 0.5 0.6
Canada 22 9l9 27 lll 2.2 l.6 30 748 40 825 2.8 2.l
Cuba 325 45l 0.0 0.0 66 248 0.0 0.0
Lgypt 798 l 436 0.l 0.l l3 6 0.0 0.0
Prance 45 l08 65 84l 4.l 3.5 53 529 79 263 5.2 4.7
Germany 85 367 l30 723 7.7 6.9 93 803 l53 876 9.2 9.l
|ran (|slamlc Pepubllc of ) 2 487 955 0.2 0.l 65 403 0.0 0.0
Mexlco 29 489 42 92l 2.7 2.3 28 955 33 500 2.8 2.0
Pepubllc of Korea 34 626 59 967 3.l 3.2 46 992 l0l l99 4.6 6.0
Pusslan Pederatlon 5 082 2l 293 0.5 l.l 5 042 4 l5l 0.5 0.2
Turkey 4 909 l3 559 0.4 0.7 585 l 778 0.l 0.l
Unlted Klngdom 57 792 7l 077 5.2 3.7 69 974 6l 294 6.8 3.6
Unlted States of Amerlca 2l2 598 273 682 l9.2 l4.4 l64 77l 222 2l2 l6.l l3.2
UNESCO
Publishing
United Nations
In the decade to 2007, the world experienced
an unprecedented period of economic growth.
This cycle was brought to a halt when the fall-out
from the subprime mortgage crisis in the USA in 2008
triggered a global economic recession. Two years on, what
impact has the global recession had on knowledge creation
around the world?
Written by a team of independent experts who are each covering the country or
region from which they hail, the UNESCO Science Report 2010 analyses the trends and
developments that have shaped scientific research, innovation and higher education
over the past five years. The report depicts an increasingly competitive environment,
one in which the flow of information, knowledge, personnel and investment has
become a two-way traffic. Both China and India, for instance, are using their newfound
economic might to invest in high-tech companies in Europe and elsewhere to acquire
technological expertise overnight. Other large emerging economies are also spending
more on research and development than before, among them Brazil, Mexico, South
Africa and Turkey.
If more countries are participating in science, we are also seeing a shift in global
influence. China is a hairs breadth away from counting more researchers than either
the USA or the European Union, for instance, and now publishes more scientific articles
than Japan.
Even countries with a lesser scientific capacity are finding that they can acquire, adopt
and sometimes even transform existing technology and thereby leapfrog over certain
costly investments, such as in infrastructure like land lines for telephones. Technological
progress is allowing these countries to produce more knowledge and participate more
actively than before in international networks and research partnerships with countries
in both North and South. This trend is fostering a democratization of science worldwide.
In turn, science diplomacy is becoming a key instrument of peace-building and
sustainable development in international relations.
Taking up from where its predecessor left off in 2005, the UNESCO Science Report 2010
proposes a world tour of the status of science today that should enable science watchers
everywhere to decipher the trends that are shaping our rapidly changing world.
Increasingly, international
diplomacy will take the form
of science diplomacy in the
years to come.
Irina Bokova
Director-General
of UNESCO

CP II

Uploaded by

Document Information

Original Description:

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

CP II

Uploaded by

Copyright:

Available Formats

5

Figure 5: Composition of GDP in sub-Saharan Africa by economic sector, 2009 (%)

Tajikistan 0.09 0.07 0.07 0.07 0.10 0.10 0.06

Iran (Islamic Republic of ) 0.55 0.55 0.67 0.59 0.73 0.67

Singapore 1.88 2.11 2.15 2.11 2.19 2.28 2.27 2.52

Nicaragua 4 680 0.9 19.6

Saint Vincent and the Grenadines 947 8.8 45.1

Macao, China 7 798

63.2 12.7 2.3 21.8 0.3

Colombia 5 167 126 5 570 36.6 126

France 186 420

Croatia 11 136 41.7

Uganda 630 37.5

Japan 791 224 11.2

You might also like