Transcript Measuring Research and Experimental Development

Measuring R&D:
Challenges Faced by Developing Countries
South East Asian Regional Workshop on Science, Technology and Innovation Statistics
Hanoi, Viet Nam
5-8 December 2011
Martin Schaaper
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Outline
 The problem
 The process
 Contents of the Technical Guide
 Thinking ahead
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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 policyrelevance?)
• 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 crossnationally 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
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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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, ethnopedology, ethno-forestry, ethno-veterinary medicine, ethnoecology, 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 transdisciplinary (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 another 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
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Thank you!
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[email protected]
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