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Measuring R&D: Challenges Faced by Developing Countries. South Asian Regional Workshop on Science, Technology and Innovation Statistics Kathmandu, Nepal 6-9 December 2010. Outline. The problem The process Contents of the Technical Guide Thinking ahead.

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measuring r d challenges faced by developing countries

Measuring R&D: Challenges Faced by Developing Countries

South Asian Regional Workshop on Science, Technology and Innovation Statistics

Kathmandu, Nepal6-9 December 2010

outline
Outline
  • The problem
  • The process
  • Contents of the Technical Guide
  • Thinking ahead
r d statistics in developing countries 1
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 FM concepts and methods
r d statistics in developing countries 2
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
the process
The process
  • Process started in 2007
  • Lead papers by consultants
  • Meetings in 2007 and 2009
  • Experience acquired through the UIS work
  • Proposal for an annex to the Frascati Manual at the OECD 2008 and 2009 NESTI meetings; accepted at 2010 meeting
  • Technical Guide released in English
    • Translations in Spanish and French almost finished
products
Products

NEW Annex proposed

contents of the technical guide
Contents of the Technical Guide
  • Introduction
  • The nature of R&D activity in developing countries
  • R&D expenditure
  • Internal and international mobility of the R&D workforce
  • Specific fields of R&D activity
  • Foreign and internationally controlled entities
  • Strengthening R&D statistical systems
  • Thinking ahead
chapter 2 the nature of r d activity in developing countries
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
chapter 2 the nature of r d activity in developing countries cont
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.
chapter 3 r d expenditure
Chapter 3: R&D expenditure
  • Use of secondary data from national budget
  • New sources of funds emerging
  • 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
  • Private universities
  • Fiscal year vs. calendar year
  • Information systems in government and higher education inadequate for statistics
chapter 4 internal and international mobility of the r d workforce
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
counting researchers
Counting researchers

Overestimation of researchers

  • Counting the contract instead of the real effort
  • Multiple full-time research positions
counting researchers1
Counting researchers

Special cases

  • FTE calculation >1 and FTE>HC
  • R&D in times of crisis
  • Visiting researchers
  • Brain circulation
counting researchers2
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
chapter 5 specific fields of r d activity
Chapter 5: Specific fields of R&D activity
  • Traditional knowledge
  • Clinical trials
  • Industrial activities
  • Other activities
special types of r d traditional knowledge
Special types of R&D - Traditional knowledge

Traditional knowledge (TK)

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.

special types of r d traditional knowledge1
Special types of R&D - Traditional knowledge

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
special types of r d traditional knowledge2
Special types of R&D - Traditional knowledge

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
special types of r d traditional knowledge3
Special types of R&D - Traditional knowledge

Measurement issues and recommendations

  • Establish the boundaries for TK (what qualify as R&D)
  • The activities establishing an interface between traditional knowledge and R&D
  • 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.
special types of r d clinical trials
Special types of R&D - 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
special types of r d clinical trials1
Special types of R&D - Clinical trials

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
special types of r d clinical trials2
Special types of R&D - Clinical trials

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
special types of r d industrial activities
Special types of R&D - 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.
special types of r d other activities
Special types of R&D - Other activities
  • Community development and other social projects
    • R&D only in development and testing phase  experimental development (most probably in the field of social sciences)
  • Religious research
    • part of humanities,
    • should be included in R&D surveys.

 This (religious research) will not be a recommendation

chapter 6 foreign and internationally controlled entities
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
the foreign institutions sector
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)
the foreign institutions sector1
The foreign institutions sector

The principal sector sub-classification

  • Business enterprises
  • Government
  • Higher Education
  • Private non-profit
  • International organizations
chapter 7 strategies for setting up s t statistics systems in developing countries
Chapter 7: Strategies for setting up S&T statistics systems in developing countries
  • Will be discussed in session 8.
chapter 8 thinking ahead other products beyond r d
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
thank you
Thank you!

http://www.uis.unesco.org

[email protected]

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