Www.uis.unesco.org Measuring R&D: Challenges Faced by Developing Countries NATIONAL TRAINING WORKSHOP ON SCIENCE, TECHNOLOGY AND INNOVATION (STI) INDICATORS.

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Measuring R&D: Challenges Faced by Developing Countries

NATIONAL TRAINING WORKSHOP ON SCIENCE, TECHNOLOGY AND INNOVATION (STI) INDICATORSTehran, Iran

November 2010

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Outline

The problem

The process

Contents of the Technical Guide

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R&D statistics in developing countries (1)

Recognition, meeting targets, evidence-based S&T policy, but:

• lack of interest at the level of policy makers (low policy-relevance?)

• S&T is still not properly represented in economic/social public policies. lack of resources devoted to statistics in S&T

• lack of technical knowledge for the production of cross-nationally comparable R&D statistics

• weak statistical institutions

• difficulties in applying Frascati Manual (FM) concepts and methods

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R&D statistics in developing countries (2)

Particular characteristics of R&D activities to be taken into account:

• R&D performers function within the specific context of a national, cultural, political, financial and economic system

• different structures in terms of government, innovation system, higher education system, statistical system

• particular ‘culture of information’

• Users of R&D stat: Gov, analysts. + international donor agencies

S&T indicators • adapted to particular policy needs

• provide answers to actual policy questions

However, international comparability is foremost

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The process (1)

Experience acquired through the UIS work, in particular through direct contact with S&T statisticians in numerous workshops and other meetings around the developing world.

Advisory Meeting to the UIS S&T Statistics Programme held in Montreal, Canada, December 2007.

Papers commissioned by UIS to Jacques Gaillard (IRD, Paris), Michael Kahn et al (HSRC, South Africa), and Gustavo Arber et al (RICYT, Argentina).

Proposal for an annex to the Frascati Manual on measuring R&D in developing countries was presented at the OECD 2008 and 2009 NESTI meeting.

Expert Meeting on Measuring R&D in Developing Countries in Windhoek, Namibia, 14 to 16 September 2009

Consultant has drafted the following two documents

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The process (2)

Technical Guide on Measuring R&D: Challenges for Developing Countries released in Oct 2010

Proposed Annex to the Frascati Manual submitted to OECD 2010 NESTI meeting

Objectives are to provide:• guidance to developing countries on how to adapt the FM

standards• recommendations for specific situations that fall outside FM

framework• suggestions on how to strengthen S&T statistical system in

developing countries

Stay within boundaries of FM Some of the measurement challenges may be considered

for a future revision of the FM

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Products

NEW Annex

proposed

http://www.uis.unesco.org/template/pdf/S&T/TechPaper5_EN.pdf

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Contents of the Technical Guide

1. Introduction

2. The nature of R&D activity in developing countries

3. R&D expenditure

4. Internal and international mobility of the R&D workforce

5. Specific fields of R&D activity

6. Foreign and internationally controlled entities

7. Strengthening R&D statistical systems

8. Thinking ahead

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Thank you!

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http://www.uis.unesco.org/template/pdf/S&T/TechPaper5_EN.pdf

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Chapter 2: The nature of R&D activity in developing countries

The growing importance of R&D

• More ‘R’ than ‘D’ in developing countries.

• Strong presence of the government and higher education sectors in the performance of R&D. Lower emphasis on R&D in business sector.

• Occasional R&D / Informal R&D

• Special types of R&D

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Chapter 2: The nature of R&D activity in developing countries cont…

Heterogeneity and concentration • Developing countries are a heterogeneous group:

» Group A: countries with consolidated R&D systems and developed S&T statistics systems no major difficulties in applying Frascati Manual concepts.

» Group B: countries with consolidated R&D systems and less developed S&T statistics systems need specific guidance on how to establish and consolidate sound R&D statistics systems.

» Group C: countries with incipient R&D systems need specific guidelines on how to start creating a regular R&D statistical collection.

• High degree of concentration (in group of countries, in particular institutions, in major projects, etc) lead to volatility and inconsistencies in statistics.

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Chapter 3. R&D expenditure

Use of secondary data from national budget• New sources of funds emerging (NGOs, Foreign entities, BE) • Discrepancy between voted and allocated budget • Budgetary commitments are not followed up• Mixing of budgetary records and annual reports from performing

units• Definition of S&T / R&D budgets • Identifying R&D components in the national budget

State-owned enterprises, university-owned companies and national scientific academies

Public vs. Private universities Fiscal year vs. calendar year Information systems in government and higher education

inadequate for statistics

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Chapter 4: Internal and international mobility of the R&D workforce

Underestimation of researchers

Unpaid research

Informal research

Research outside of the normal work setting with external funding

Multiple part time positions not taken into account or undercounted

Master’s research

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Counting researchers

Overestimation of researchers

Counting the contract instead of the real effort

Multiple full-time research positions

Special cases

FTE calculation >1 and FTE>HC

R&D in times of crisis

Visiting researchers

Brain circulation

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Counting researchers

Recommendations

Peer interviews of researchers

Include a module on barriers

Use secondary sources• Publication databases, both national and international

• STMIS and other databases of researchers

• Databases and registers of clinical trials

• Databases and registers of the main foreign donors involved in funding R&D in the countries

• University accreditation databases

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Chapter 5: Specific fields of R&D activity

Traditional knowledge

Clinical trials

Industrial activities

Research in social sciences and humanities

Software development and system engineering

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Traditional knowledge (TK)

Traditional knowledge: A cumulative body of knowledge, know-how, practices and representations maintained and developed by peoples with extended histories of interaction with the natural environment.

These sophisticated sets of understandings, interpretations and meanings are part and parcel of a cultural complex that encompasses language, naming and classification systems, resource use practices, ritual, spirituality and worldview.

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Traditional knowledge cont..

Dichotomy between traditional and scientific knowledge systems

substantive grounds – because of differences in the subject matter and characteristics of traditional and scientific knowledge

methodological and epistemological grounds – because the two forms of knowledge employ different methods to investigate reality

contextual grounds – because traditional knowledge is more deeply rooted in its environment

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Traditional knowledge cont..

Links between traditional and scientific knowledge systems

Scientific approach to TK (in ethno-botany, ethno-pedology, ethno-forestry, ethno-veterinary medicine, ethno-ecology, etc).

The application of scientific methods to TK, converting it into a source of scientific information. (in biodiversity science or nature conservation; traditional health and pharmacopeia).

Interaction between scientists and communities in participatory technology development

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Traditional knowledge cont..

Measurement issues and recommendations

Establish the boundaries for TK (what qualify as R&D)

Included: activities establishing an interface between traditional knowledge and R&D

Excluded: storage and communication of TK in traditional ways

Some fields of activities in TK are trans-disciplinary (e.g. ethno-botany), making them extremely difficult to map into the current classification’s structure.

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Clinical trials

Clinical trials

(Can) involve a significant amount of R&D

Need to be conducted on a wide population

Growth area for developing countries

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Clinical trials cont..

Measurement of clinical trials

Registers of clinical trials available, e.g. WHO but also national

Funding often from abroad

Performance various possibilities• a local branch of the foreign main sponsor

• universities and university hospitals

• individual researchers

• local medical clinics

• locally registered PNPs

• international PNPs

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Clinical trials cont..

Measurement issues and recommendations

Occupation category of local staff

• Medical doctors and other professionals with at least ISCED 5A degrees should be considered as researchers

• Nurses and other staff with qualifications below ISCED 5A should be accounted for as technicians

FTE calculation is important (often part-time)

Attribution of sector of performance must be done with care to avoid double counting

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Industrial activities

Reverse engineering: understanding the structure and functioning of an object (in order to make a new device or program creates a similar object in a different way), copying it, or improving it.

Recommendation: If reverse engineering is carried out in the framework of an R&D project to develop a new (and different) product, it should be considered as R&D.

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Research in the social sciences and humanities (SSH)

Research in SSH often under-reported, especially in business sector

More in Higher education and Government sectors Reasons for more focus on SSH:

• Growing importance of service sector and transition to KE• Technology transfer and community development depends on

understanding human agency• Development research, research on sustainable development and

climate change mitigation

Recommendations: • Should measure R&D in SSH across all sectors.• Development research and other social change projects:

R&D only in development and testing phase.• Research on religion: part of humanities and should be in

R&D surveys

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Chapter 6: Foreign and internationally controlled entities

Foreign antennas

Foreign company’s R&D labs

International organizations operating in the country

Foreign universities based and conducting R&D in campuses set up in the country

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The foreign institutions sector

Recommendation

Create a “foreign institutions” (FI) sector as a separate sector of performance

Funding flowing from this sector to other sectors should be considered from “Abroad” as stated in the main body of the Frascati Manual

What is included?

• Foreign antennas

• International organizations

• Foreign company’s R&D labs (remains in the business sector)

• Foreign universities (remains in the HE sector)

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The foreign institutions sector

The principal sector sub-classification

Business enterprises

Government

Higher Education

Private non-profit

International organizations

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Chapter 7: Strategies for setting up S&T statistics systems in developing countries

Will be discussed in the next presentation.

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Chapter 8: Thinking ahead: Other products – beyond R&D

Redefine the concepts of scientific and technological education and training at broadly the third level (STET), Scientific and technological services (STS) and S&T activities (STA)

Better integrate education statistics with R&D statistics

Hands on guidance

Metadata

Model questionnaire